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. 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
  2. Breaking: Mortgage Servicing Rules Under The Real Estate Settlement Procedures Act
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    • Live Session
    Breaking: Mortgage Servicing Rules Under The Real Estate Settlement Procedures Act
    Scheduled for 60 minutes including question and answer period. Monday, July 26, 2021; 2:00 PM Eastern

    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?
    • Live Session
    Breaking: Mortgage Servicing Rules Under The Real Estate Settlement Procedures Act
    Monday, July 26, 2021; 2:00 PM Eastern
    Michael R. Christians
    $149.00
  3. Cryptocurrency And Digital Asset Deposits: Regulations And Risk
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    • Live Session
    Cryptocurrency And Digital Asset Deposits: Regulations And Risk
    Scheduled for 60 minutes including question and answer period. Tuesday, July 27, 2021; 2:30 PM Eastern

    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?
    • Live Session
    Cryptocurrency And Digital Asset Deposits: Regulations And Risk
    Tuesday, July 27, 2021; 2:30 PM Eastern
    Timothy Dunfey
    $149.00
  4. 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
  5. Ransomware: Step-By-Step Response And Remediation Plan
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    • Live Session
    Ransomware: Step-By-Step Response And Remediation Plan
    Scheduled for 60 minutes including question and answer period. Friday, July 16, 2021; 12:30 PM Eastern

    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?
    • Live Session
    Ransomware: Step-By-Step Response And Remediation Plan
    Friday, July 16, 2021; 12:30 PM Eastern
    Art Taryan
    $149.00
  6. How To Prepare For The Foreclosure Moratorium To End On July 31
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    • Live Session
    How To Prepare For The Foreclosure Moratorium To End On July 31
    Scheduled for 60 minutes including question and answer period. Wednesday, July 28, 2021; 3:00 PM Eastern

    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?
    • Live Session
    How To Prepare For The Foreclosure Moratorium To End On July 31
    Wednesday, July 28, 2021; 3:00 PM Eastern
    Daniel Cotter
    From $149.00
  7. 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?
  8. 314a And 314b Information-Sharing Requirements Updates
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    • Live Session
    314a And 314b Information-Sharing Requirements Updates
    Scheduled for 60 minutes including question and answer period. Thursday, July 15, 2021; 12:30 PM Eastern

    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?
    • Live Session
    314a And 314b Information-Sharing Requirements Updates
    Thursday, July 15, 2021; 12:30 PM Eastern
    Michael Schidlow
    $149.00
  9. 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
  10. Cryptocurrencies 101: What Every Investor, Banker, And Consumer Needs To Know
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    • On-Demand
    Cryptocurrencies 101: What Every Investor, Banker, And Consumer Needs To Know

    Financial compliance attorney Timothy Dunfey will explain the basic concepts behind cryptocurrencies and their current uses. You will learn how these alternative currencies will affect you and how to avoid risks.

    What You'll Learn

    • What are the basic functions of money? How do cryptocurrencies fulfill them?
    • What are the current real-world uses for alternative currencies?
    • How do Bitcoin, Litecoin, and other cryptocurrencies differ?
    • What are the uses of blockchain and smart contracts?
  11. Digital Forensics Following Cyberattacks: What You Must Know And Do
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    • On-Demand
    Digital Forensics Following Cyberattacks: What You Must Know And Do

    Cybersecurity consultant Art Taryan will help you thoughtfully prepare for the inevitable. You will learn how to be ready when hackers strike your organization.

    Topics covered

    • MITRE ATT&CK framework
    • Typical hacker techniques and tools
    • Incident response process
    • Incident management best practices
    • Live Windows examination
    • Network investigations
    • Memory investigations
    • Malware investigations
  12. Exam Preparation And What To Learn From Agency-Identified FDPA Weaknesses
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    • On-Demand
    Exam Preparation And What To Learn From Agency-Identified FDPA Weaknesses

    Nationwide compliance consultant Molly Stull will share tips and tools to aid with meeting your compliance obligations. You will learn how to avoid common FDPA pitfalls and prepare for an examination.

    What You'll Learn

    • FDPA examination procedures
    • Examiner identified issues
    • Recent CMPs
    • FAQs – proposed changes
    • Training
    • Auditing and monitoring

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