Regulatory Compliance
Are you aware of all the relevant laws, policies, and procedures for your FI? Are you taking steps to comply? Browse upcoming events and on-demand videos and register for your Regulatory Compliance event today.
Calendar of Events
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Legalized Cannabis and the Workplace: What Employers Need to Know
Legalized Cannabis and the Workplace: What Employers Need to Know
The legalization of cannabis use in the United States has created confusion in the workplace, especially in states and locales where cannabis/THC […]
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ACH and Wire Fraud Trends, Identification, Investigation and Recovery
ACH and Wire Fraud Trends, Identification, Investigation and Recovery
This webinar takes attendees through trends in ACH and wire transfer fraud from the time an ACH file and/or wire transfer request […]
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Account Officer Training on ACH/RDC Credit and Transactional Underwriting, Setting Exposure Limits and Performing Periodic Reviews
Account Officer Training on ACH/RDC Credit and Transactional Underwriting, Setting Exposure Limits and Performing Periodic Reviews
Account officers/relationship officers may not understand the regulatory requirements for assessing the risks of ACH and RDC clients. What is the difference […]
1 event,
Implementing a Remote Cash Vault Program and Assessing Your Risks
Implementing a Remote Cash Vault Program and Assessing Your Risks
Remote cash vault service is an electronic service that allows treasury clients to place cash in a vault at their business and […]
1 event,
Fair Lending Enforcement: Understanding Regulatory Requirements and Redlining Enforcement Actions
Fair Lending Enforcement: Understanding Regulatory Requirements and Redlining Enforcement Actions
On October 22, 2021, the Justice Department announced the launch of an aggressive new initiative to combat the practice of redlining. The […]
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Regulation O Training – Loans to Insiders
Regulation O Training – Loans to Insiders
This webinar provides the attendee with an easy path for understanding Regulation O governing loans that a bank makes to insiders such […]
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Implementing Zelle and P2P: Understanding Risks, the Regulations and Implementing the Right Controls
Implementing Zelle and P2P: Understanding Risks, the Regulations and Implementing the Right Controls
Many financial institutions are evaluating the option of implementing Zelle, a popular payment channel for sending money between people. Person to Person […]
1 event,
Flood Insurance – Compliance Case Studies plus Regulatory Challenges (2-Part Series)
Flood Insurance – Compliance Case Studies plus Regulatory Challenges (2-Part Series)
This 2-part compliance webinar series addresses flood insurance regulation and compliance requirements designed for both new and experienced personnel. We’ll dive into […]
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Treasury Services Training – Setting Limits and Approving Over-Limits for ACH and RDC Clients
Treasury Services Training – Setting Limits and Approving Over-Limits for ACH and RDC Clients
Many financial institutions struggle with effectively setting exposure limits for ACH and RDC clients. This session covers exposure as defined by NACHA […]
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1 event,
Upgrading Your BSA/AML/OFAC Program to Align With External Threats
Upgrading Your BSA/AML/OFAC Program to Align With External Threats
There is a significant shift in the BSA/AML industry to streamline current risk management controls to align with external threats. Based on […]
1 event,
Wire Transfer Basics for New Employees and Refresher for Existing Employees
Wire Transfer Basics for New Employees and Refresher for Existing Employees
This webinar covers the basics of wire transfer and is great for new employees or as a refresher for existing employees. Areas […]
1 event,
Capital Ratios: 4 Key Call Report Ratios, How they are Developed, and What they Mean
Capital Ratios: 4 Key Call Report Ratios, How they are Developed, and What they Mean
This accounting webinar focuses on the scarcity of capital for both banks and bank holding companies (BHCs). It shows statistically how banks […]
1 event,
Understanding the Difference Between: Money Service Businesses, Money Transmitters, and Agents of Money Transmitters
Understanding the Difference Between: Money Service Businesses, Money Transmitters, and Agents of Money Transmitters
Understanding the difference between MSBs, Money Transmitters and agents of money transmitters are important to determine the level of risk and required […]
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Dormant Accounts and the Escheatment Process: Best Practices for Overcoming Challenges
Dormant Accounts and the Escheatment Process: Best Practices for Overcoming Challenges
Dormant accounts can take a backseat to more pressing compliance matters until you are required to report this inactivity and transfer any […]
1 event,
Real Estate Appraisals – Regulations, Processes, and Pitfalls
Real Estate Appraisals – Regulations, Processes, and Pitfalls
A key part of commercial real estate (CRE) lending is assessing the bank’s secondary source of repayment for the loan i.e. liquidation […]
2 events,
Virtual Currency Risk Awareness and Client Education
Virtual Currency Risk Awareness and Client Education
Virtual currencies are commonly targeted by hackers and criminals who perpetrate fraud. There is no assurance of recourse if virtual currency is […]
Handling Reclamations and Death Notification Entries (DNEs) – Requirements and Best Business Practices
Handling Reclamations and Death Notification Entries (DNEs) – Requirements and Best Business Practices
Processing ACH payments from the Federal Government can be a challenge based on the decision to post, return and those situations requiring […]
1 event,
Cannabis Banking: Opportunities and Challenges
Cannabis Banking: Opportunities and Challenges
This compliance webinar explores the latest developments on banking Marijuana Related Businesses (MRBs), including the opportunities, risks, legal requirements, and challenges associated […]
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Upcoming Courses
Implementing Zelle and P2P: Understanding Risks, the Regulations and Implementing the Right Controls
Many financial institutions are evaluating the option of implementing Zelle, a popular payment channel for sending money between people. Person to Person […]
Flood Insurance – Compliance Case Studies plus Regulatory Challenges (2-Part Series)
This 2-part compliance webinar series addresses flood insurance regulation and compliance requirements designed for both new and experienced personnel. We’ll dive into […]
Treasury Services Training – Setting Limits and Approving Over-Limits for ACH and RDC Clients
Many financial institutions struggle with effectively setting exposure limits for ACH and RDC clients. This session covers exposure as defined by NACHA […]
Upgrading Your BSA/AML/OFAC Program to Align With External Threats
There is a significant shift in the BSA/AML industry to streamline current risk management controls to align with external threats. Based on […]
Wire Transfer Basics for New Employees and Refresher for Existing Employees
This webinar covers the basics of wire transfer and is great for new employees or as a refresher for existing employees. Areas […]
Capital Ratios: 4 Key Call Report Ratios, How they are Developed, and What they Mean
This accounting webinar focuses on the scarcity of capital for both banks and bank holding companies (BHCs). It shows statistically how banks […]
Understanding the Difference Between: Money Service Businesses, Money Transmitters, and Agents of Money Transmitters
Understanding the difference between MSBs, Money Transmitters and agents of money transmitters are important to determine the level of risk and required […]
Dormant Accounts and the Escheatment Process: Best Practices for Overcoming Challenges
Dormant accounts can take a backseat to more pressing compliance matters until you are required to report this inactivity and transfer any […]
Recent Playback Courses
Online Account Application Fraud: Identification Prevention and Recovery
Crimes related to identity theft continue to rise. It can be difficult for financial institutions to verify the individual or business opening […]
Cannabis Banking: Opportunities and Challenges
This compliance webinar explores the latest developments on banking Marijuana Related Businesses (MRBs), including the opportunities, risks, legal requirements, and challenges associated […]
Regulation O Training – Loans to Insiders
This webinar provides the attendee with an easy path for understanding Regulation O governing loans that a bank makes to insiders such […]
Dormant Accounts and the Escheatment Process: Best Practices for Overcoming Challenges
Dormant accounts can take a backseat to more pressing compliance matters until you are required to report this inactivity and transfer any […]
Check Rules and Regulations: Understanding UCC 3, 4 and Reg CC (2-Part Series)
The most confusing thing about check processing is that there are so many areas of governance. Uniform Commercial Code (UCC) sections 3 […]
Treasury Services Training – Setting Limits and Approving Over-Limits for ACH and RDC Clients
Many financial institutions struggle with effectively setting exposure limits for ACH and RDC clients. This session covers exposure as defined by NACHA […]
Trends in Call Center Fraud and Leading Practices for Identification and Response
Call centers are targets for fraudsters looking to gain access to financial information and other sensitive information. Fraudsters typically navigate through a […]
Wire Transfer Basics for New Employees and Refresher for Existing Employees
This webinar covers the basics of wire transfer and is great for new employees or as a refresher for existing employees. Areas […]
