Compliance and Legal

Financial institutions must comply with thousands of laws and regulations. These sessions help you understand the intricacies of these rules to ensure compliance and reduce liability.

Compliance and Legal

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  1. Regulation D Updates: What You Need To Know
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    • Live Session
    Regulation D Updates: What You Need To Know
    Scheduled for 30 minutes including question and answer period. Friday, November 5, 2021; 2:00 PM Eastern

    Legal expert Dan Cotter will explain the Regulation D updates in a 30-minute session, scheduled to cover only the most up-to-date changes. 

    What You'll Learn

    • What are the specific changes to Regulation D?
    • How will the updates affect your institution?
    • What steps do you need to take to comply?
    • How will compliance be monitored and enforced?
    • Live Session
    Regulation D Updates: What You Need To Know
    Friday, November 5, 2021; 2:00 PM Eastern
    Daniel Cotter
    $79.00
  2. Ransomware Diligence: You And Your Vendors
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    • On-Demand
    Ransomware Diligence: You And Your Vendors

    Cybersecurity law attorney Julia Jacobson will share lessons learned from recent high-profile attacks. You will learn the specific steps you need to take internally and what precautions you should require of your vendors.

    What You'll Learn

    • How do recent ransomware threats differ?
    • What are regulators’ current views on ransomware?
    • What roles have vendors played in recent attacks?
    • How can you mitigate supply chain risk?
    • When should you involve law enforcement?
    • How can you build a ransomware response team and plan?
  3. BREAKING: SCOTUS Ends Eviction Moratorium: Implications For Your Financial Institutions
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    • On-Demand
    BREAKING: SCOTUS Ends Eviction Moratorium: Implications For Your Financial Institutions

    Legal expert Daniel Cotter will explain how the end of the foreclosure moratorium will affect your financial institution. You will learn how to handle mortgages currently in default.

    What You'll Learn

    • How does the Supreme Court decision limit you from proceeding with foreclosures?
    • What impact does the pandemic continue to have on defaults?
    • What action should you take since the moratorium ended?
    • How do student loan debt protections affect financial institutions?
    • What will increased defaults mean for your institution?
  4. How To Process ACH Unauthorized Debits And Stop Payment Returns
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    • Live Session
    How To Process ACH Unauthorized Debits And Stop Payment Returns
    Scheduled for 60 minutes including question and answer period. Wednesday, August 4, 2021; 2:30 PM Eastern

    ACH expert Kim Ellis will explain the details of WSUD and stop payment processes and documentation. You will learn how to handle these transactions in your institution.

    What You Will Learn

    • How can you determine if an ACH entry is a consumer or non-consumer transaction?
    • What ACH transaction and return transaction flows must you follow?
    • How is the WSUD used?
    • What should stop payment forms include?
    • Live Session
    How To Process ACH Unauthorized Debits And Stop Payment Returns
    Wednesday, August 4, 2021; 2:30 PM Eastern
    Kimberly Ellis
    $149.00
  5. Breaking: Mortgage Servicing Rules Under The Real Estate Settlement Procedures Act
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    • On-Demand
    Breaking: Mortgage Servicing Rules Under The Real Estate Settlement Procedures Act

    Regulatory compliance counsel Michael Christians will outline the RESPA servicing requirements. You will learn how to comply with the new final rule.

    What You'll Learn

    • What error resolution procedures does the rule impose?
    • What are the requirements for force-placed hazard insurance?
    • How should you comply with early intervention requirements?
    • What continuity of contact provisions must you follow?
    • How should you handle loss mitigation?
    • What are the servicing requirements for successors in interest?
  6. Cryptocurrency And Digital Asset Deposits: Regulations And Risk
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    • On-Demand
    Cryptocurrency And Digital Asset Deposits: Regulations And Risk

    Financial compliance attorney Timothy Dunfey will suggest how your institution can approach cryptocurrency. You will learn how to anticipate and contain risk while meeting accountholders’ expectations.

    What You'll Learn

    • What regulations cover banking digital assets?
    • How are financial institutions using digital assets today?
    • How will evolving laws change cryptocurrency use?
    • What are the risks of not offering digital asset deposits?
    • What risks related to digital assets do financial institutions face?
    • How can you manage the risks?
  7. Third-Party Risk Management: The Impact Of FIL-44-2008 And OCC 2013-29
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    • Live Session
    Third-Party Risk Management: The Impact Of FIL-44-2008 And OCC 2013-29
    Scheduled for 60 minutes including question and answer period. Monday, July 19, 2021; 12:30 PM Eastern

    Financial compliance attorney Timothy Dunfey will highlight the escalating risks associated with third-party relationships and explain the details of relevant regulations you must follow to contain them. You will learn how to protect your institution.

    Topics Covered

    • What are the risks associated with third-party relationships?
    • What risk management process should you follow for these vendors?
    • What supervisory process is related to third-party risk?
    • How can you assess third-party and vendor risk?
    • Live Session
    Third-Party Risk Management: The Impact Of FIL-44-2008 And OCC 2013-29
    Monday, July 19, 2021; 12:30 PM Eastern
    Timothy Dunfey
    $149.00
  8. Ransomware: Step-By-Step Response And Remediation Plan
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    • On-Demand
    Ransomware: Step-By-Step Response And Remediation Plan

    Cybersecurity consultant Art Taryan will explain why ransomware attacks work and how to thwart them. You will learn what steps you need to take today to protect your organization and prepare to respond.

    Topics covered

    • What is ransomware? How does it function?
    • What is the typical threat actor attack chain?
    • What is the current ransomware threat landscape?
    • How can organizations prepare for ransomware?
    • How should you respond to ransomware?
    • How can your organization recover from an attack?
    • What are the best practices from private industry?
    • What steps does the federal government recommend you take?
  9. How To Prepare For The Foreclosure Moratorium To End On July 31
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    • On-Demand
    How To Prepare For The Foreclosure Moratorium To End On July 31

    Legal expert Daniel Cotter will explain how the end of the foreclosure moratorium will affect your financial institution. You will learn how to prepare now for July 31.

    What You'll Learn

    • What impact does the pandemic continue to have on defaults?
    • What should you do when the moratorium on home foreclosures ends?
    • How do student loan debt protections affect financial institutions?
    • What will increased defaults mean for your institution?
  10. Breaking: CFPB’s Decision To Resume MLA Examinations: What You Must Know
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    Breaking: CFPB’s Decision To Resume MLA Examinations: What You Must Know

    Legal expert Daniel Cotter will distill the essential details of the CFPB June 16 interpretive rule. You will discover the impact of the resumption of MLA investigations and learn how to prepare.

    What You'll Learn

    • What does the Military Lending Act cover?
    • Who is subject to the MLA?
    • What does the CFPB’s change in position mean for your institution?
    • How should you prepare now for examinations to resume?
  11. 314a And 314b Information-Sharing Requirements Updates
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    • On-Demand
    314a And 314b Information-Sharing Requirements Updates

    Financial compliance expert Michael Schidlow will detail the recent and potential changes to these regulations. You will look at SAR and CTR filings through the lens of a strong 314a and 314b information-sharing program.

    What You'll Learn

    • What do the latest advisories regarding information sharing require?
    • How does rescinding the previous guidance affect your institution?
    • How can you balance customer privacy with government obligations?
    • What information should you share with other financial institutions?
    • When and how should you share this information?
    • How must you act on AML information you receive?
  12. Mid-2021 AML Regulatory Update: What You Must Know
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    • On-Demand
    Mid-2021 AML Regulatory Update: What You Must Know

    Bank regulatory attorney Timothy Dunfey will explain the latest regulations. You will learn how to incorporate them in your institution.

    Topics Covered

    • New national money laundering priorities for 2021
    • 2021 FFIEC Exam Manual updates
    • FATF High-Risk Jurisdiction updates circulated by FINCEN
    • COVID-related regulatory guidance

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