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.
Upcoming Courses
Overview of ALM Asset Liability Management for Interest Rate Risk and the Role of ALCO
This 90-minute accounting training provides an overview of ALM. It focuses on ALM principles and ALM measurement techniques, and auditor or reviewer […]
Overview of FDICIA and SOX for Bank Internal and External Auditors
This banking webinar identifies and explains historical events and legislative milestones. It especially focuses on two major laws: FDICIA of 1991 SOX […]
Remember Us? Compliance Requirements for Safe Deposit, Mobile Banking and Remote Deposit Capture
Reg CC, URLAs, and even Reg D have had their moments to shine in the last year. But sometimes it’s those seemingly […]
Lending to Hemp, CBD and Cannabis Banking Customers: Opportunities, Challenges and Regulatory Hurdles
Of approximately 12,000 banks across the country, 710 banks and 150 credit unions reported servicing marijuana-related businesses last year, according to FinCEN. […]
Understanding the New URLA 1003/65 – Mandatory for All Lenders
Changes in the mortgage industry and regulations created a need for the Government Sponsored Enterprises, (GSEs) to evaluate information taken at time […]
Documenting Your Payments Business Continuity Plan for Different Disaster Events
COVID-19 taught the payments industry the importance of ensuring a contingency plan included which payment types were more vulnerable to risks based […]
Modern Bank Risk-Based Auditors: From ‘Cash Counter’ to Today’s Auditor and What’s Next
This bank accounting webinar provides specific explanations about what exactly is internal control audited by the internal auditors with a focus on […]
Differences Between BSA Model Validation, AML System Optimization and BSA Independent Audit
Over the past five years, financial institutions have experienced regulatory criticism for not having a model validation performed on their BSA program. […]
Recent Playback Courses
Compliance Training for the Frontline: What You Need to Know
Did you know that one “simple” transaction-a deposit of some cash and a few checks into a checking account-can be governed by […]
Call Center/Client Facing Fraud Management: Important Red Flags for Identifying Fraud
Call centers and departments responsible for receiving customer calls are feeling the increasingly numbers of fraud attempts and have even been the […]
Payments Training for New Employees
This payments webinar will focus on training for new staff that work with or in areas such as ACH, Wire Transfer, Merchant […]
Identification of Elder Financial Exploitation to Your Payments Program
This compliance training will take attendees through the different types of payment channels that are susceptible to elder financial exploitation and discuss […]
Banking Non-Resident and Resident Aliens: Documentation and Ongoing Monitoring Best Practices
Because residents and nonresident aliens are taxed differently, it’s important to understand the difference and how to identify/distinguish at account opening. A […]
Non-Resident Alien (NRA) Accounts: Opening, Monitoring and Tax Reporting
Opening and managing accounts for nonresident aliens (NRAs) can be overwhelming tasks. What kind of identification can I request? What if the […]
Proper Classification of Loans on Call Report Schedule RC-C, Part I – Loans and Leases
There is no doubt that the instructions for properly completing the Call Report are challenging. The most confusing of all the Schedules, […]
Applying BSA Laws and Demystifying Guidance to High Risk Businesses – Marijuana-Related Businesses, Fentanyl, Synthetic Opioids and CBD
Cannabis is arguably the fastest growing industry in the world. In the U.S., 33 states and the District of Columbia currently have […]
