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

Items 1-12 of 49

Set Descending Direction
  1. Lessons From the Collapse of SVB: Root Causes and Takeaways for Risk Managers
    Quick View
    • Live Session
    Lessons From the Collapse of SVB: Root Causes and Takeaways for Risk Managers
    Scheduled for 60 minutes including question and answer period. Friday, April 14, 2023; 12:00 PM Eastern

    Financial institution risk expert David Gibbons will explain the many factors that led to Silicon Valley Bank’s collapse. You will learn how to avoid the same pitfalls.

    What You Will Learn

    • What caused Silicon Valley Bank to collapse?
    • What decisions did SVB make long ago that led to this point?
    • What actions in the week leading to the collapse exacerbated the situation?
    • How did technical factors play a role in SVB’s crash?
    • Does your institution face the same risks as SVB?
    • What are the biggest long-term lessons from this incident?
    • What steps should you take immediately to keep your institution solvent?
    • Will regulators assess risk differently in light of the SVB collapse?
    • Live Session
    Lessons From the Collapse of SVB: Root Causes and Takeaways for Risk Managers
    Friday, April 14, 2023; 12:00 PM Eastern
    David Gibbons
    From $219.00
  2. Affirmative Action Requirements for Banks
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    Affirmative Action Requirements for Banks
    Scheduled for 90 minutes including question and answer period. Wednesday, April 12, 2023; 2:00 PM Eastern

    Employment law expert Dr. Jim Castagnera will provide an overview of the affirmative action compliance obligations of banks and credit unions. You will learn the practical steps your institution must take.

    Topics Covered

    • Why are banks and credit unions subject to affirmative action obligations?
    • What are your compliance obligations under current laws and regulations?
    • What differs for banks and credit unions with 50 or more employees?
    • What specific steps do the Section 503 and VEVRAA rules require?
    • What are the risks of failing to comply with affirmative action rules?
    • Which banks does OFCCP audit and why?
    Affirmative Action Requirements for Banks
    Wednesday, April 12, 2023; 2:00 PM Eastern
    Dr. Jim Castagnera
    From $219.00
  3. Section 1071 – How to Prepare
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    Section 1071 – How to Prepare
    Scheduled for 60 minutes including question and answer period. Thursday, March 30, 2023; 12:30 PM Eastern

    Financial regulatory expert Rheanna Rodriguez will explain the details of the new Section 1071. You will learn how to gather the necessary data and prepare the reports you will need for full compliance.

    Topics Covered

    • Does the rule apply to your institution?
    • How can you ease the stress of implementing the new rule?
    • What is the scope of Section 1071?
    • What 21 data fields are required?
    • What resources and staffing will you need to implement the rule?
    • How will your compliance, CRA, and lending programs need to adapt?
    Section 1071 – How to Prepare
    Thursday, March 30, 2023; 12:30 PM Eastern
    Rheanna Rodriguez
    From $219.00
  4. How To Update CRA Practices For New Requirements
    Quick View
    • On-Demand
    How To Update CRA Practices For New Requirements

    Fair lending expert Rheanna Rodriguez will distill the key changes from the May 5 CRA proposal. You will learn how they will affect your institution.

    Topics Covered

    What are the proposed CRA rule changes?

    • What is the overall evaluation framework?
    • How will the proposed changes affect financial institutions of different sizes?
    • When will the proposed changes likely be effective?
  5. Certified Audit Professional Program
    Quick View
    • On-Demand
    • Certification
    Certified Audit Professional Program

    Auditing expert Daniel Clark will share the detailed procedures to conduct thorough internal audits. You will learn how to minimize risk for your institution.

    Topics Covered

    • Building Successful Fraud Risk Management Processes
    • Basics Of Model Risk Management
    • Principles Of Operational And Strategic Risk Management
    • Third-Party Risk Management
    • Basics Of Data Risk Management
    • On-Demand
    • Certification
    Certified Audit Professional Program
    Daniel A. Clark
    From $573.00
  6. Accredited Cannabis Banking Professional Certification
    Quick View
    • Live Session
    • Certification
    Accredited Cannabis Banking Professional Certification
    8 Sessions scheduled for 60 minutes including question and answer period. Monday, March 13 - Monday, May 1, 2023; 1:30 PM Eastern

    Cannabis banking expert Paul Dunford will explain how to create cannabis banking risk assessments and financial models, reach out to the market to find and onboard desirable cannabis business customers, and develop policies and procedures. You will learn how to create and lead a successful cannabis banking program that aligns with your financial institution’s strategic plan.

    Topics Covered

    • Initial Due Diligence and Risk Rating
    • Sales Validation
    • Ongoing Due Diligence and Account Monitoring
    • FinCEN Reporting
    • Live Session
    • Certification
    Accredited Cannabis Banking Professional Certification
    Monday, March 13 - Monday, May 1, 2023; 1:30 PM Eastern
    Paul Dunford
    From $1,014.00
  7. CRA: Transition From Small to ISB or ISB to Large Bank Test
    Quick View
    • Live Session
    CRA: Transition From Small to ISB or ISB to Large Bank Test
    Scheduled for 60 minutes including question and answer period. Tuesday, May 2, 2023; 12:30 PM Eastern

    CRA expert Rheanna Rodriguez will provide you with best practices to prepare your bank and CRA program for a transition due to asset size changes. You will learn how to monitor and manage your CRA lending and community development data.

    Topics Covered

    • How to prepare for a transition from a small bank to an ISB
    • How to prepare for a transition from an ISB to a large bank
    • Importance of a CRA strategy and goals
    • Importance of creating a CRA program
    • Importance of monitoring lending levels and trends
    • Creation of a self-assessment
    • Live Session
    CRA: Transition From Small to ISB or ISB to Large Bank Test
    Tuesday, May 2, 2023; 12:30 PM Eastern
    Rheanna Rodriguez
    From $219.00
  8. CRA: Community Development Activities
    Quick View
    • Live Session
    CRA: Community Development Activities
    Scheduled for 60 minutes including question and answer period. Monday, May 1, 2023; 12:30 PM Eastern

    CRA expert Rheanna Rodriguez will show you the value of community development activities and provide step-by-step instructions you can incorporate into your CRA plan.

    Topics Covered

    • Quality community development activities
    • Evaluation of community development activities
    • Different evaluations based on bank size
    • Break down of each community development hook
    • How to provide context to your institution’s community development activities
    • Documentation best practices
    • Live Session
    CRA: Community Development Activities
    Monday, May 1, 2023; 12:30 PM Eastern
    Rheanna Rodriguez
    From $219.00
  9. How to Build a Strong CRA Program
    Quick View
    • Live Session
    How to Build a Strong CRA Program
    Scheduled for 60 minutes including question and answer period. Wednesday, May 3, 2023; 12:30 PM Eastern

    CRA expert Rheanna Rodriguez will help you identify and leverage existing bank practices to build a strong CRA program regardless of the size of your bank.

    Topics Covered

    • What should be included in your institution’s CRA program
    • Why creating a committee is necessary
    • Why understanding the strategic plan is important
    • What you should include in your monitoring program
    • How you should analyze your CRA applicable data
    • How to leverage existing practices
    • Live Session
    How to Build a Strong CRA Program
    Wednesday, May 3, 2023; 12:30 PM Eastern
    Rheanna Rodriguez
    From $219.00
  10. CRA Rating Bootcamp
    Quick View
    • Live Session
    • Bootcamp
    CRA Rating Bootcamp
    3 Sessions scheduled for 60 minutes including question and answer period. Monday, May 1 - Wednesday, May 3, 2023; 12:30 PM Eastern

    CRA expert Rheanna Rodriguez will walk through a comprehensive plan you can follow to establish a robust program in your institution. You will learn how to embrace your community and please regulators.

    Topics Covered

    • Quality community development activities
    • Evaluation of community development activities
    • How to prepare for a transition from a small bank to an ISB
    • How to prepare for a transition from an ISB to a large bank
    • What should be included in your institution’s CRA program
    • Why creating a committee is necessary
    • Live Session
    • Bootcamp
    CRA Rating Bootcamp
    Monday, May 1 - Wednesday, May 3, 2023; 12:30 PM Eastern
    Rheanna Rodriguez
    From $473.00
  11. Overdraft Program Exam Mistakes And How To Avoid Them In 2022
    Quick View
    • On-Demand
    Overdraft Program Exam Mistakes And How To Avoid Them In 2022

    Community banking expert Dawn Kincaid will review the regulatory guidance in detail, revealing overdraft program issues identified through consumer complaints, examinations, and enforcement actions. You will learn how to avoid similar mistakes.

    Topics Covered

    • How do guidance for ad hoc and automated overdraft programs differ?
    • What is the opt-in/opt-out process required by Regulation E?
    • How can you identify the inherent rights of your overdraft program?
    • What policies and procedures should you implement?
    • What are the overdraft restrictions for employees and insiders?
    • How should you monitor accountholder activity?
    • What is the impact of UDAAP?
    • How should you market your overdraft program?
  12. Computer-Security Incident Final Rule: What Your Bank Must Do
    Quick View
    • On-Demand
    Computer-Security Incident Final Rule: What Your Bank Must Do

    Risk and compliance expert Timothy Dunfey will distill the new requirements and detail the specific steps you must take to comply. You will learn how to start adapting your procedures immediately to meet the May deadline.

    What You Will Learn

    • What incidents require notification?
    • When must you notify regulators?
    • How do you make the required notifications?
    • Do you need to inform customers? When?
    • What policies and procedures must you implement?
    • What are the penalties for failing to comply?
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