44 Results
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2020-01 January - Consumer Compliance Rating System and a Winning Culture of Compliance
A winning culture of compliance is not just the job of your Compliance Department. Rather, it is important that everyone throughout your organization knows that they have daily compliance responsibilities, and it starts with you at the top. Regulators and Examiners are looking to the Board of Directors to set the tone for the rest of their organization so that every employee can confidently follow the rules of our highly regulated industry. Your Financial Institutions provide so much to the communities you serve, and if compliance is not managed correctly, then you risk harm to your consumers and could potentially face devastating penalties. In this session, the components of the Consumer Compliance Rating System (CCRS) will be discussed as well as how these principles will help you lead your organization into a winning culture of compliance. Covered Topics:- The Importance of Responsible Business Conduct
- Creating a Competitive Advantage with a Holistic Compliance Approach
- Determining your Institution's Risk Tolerance
- Financial Institutions Reform, Recovery and Enforcement Act (FIRREA) Penalties
- Principles of the Consumer Compliance Rating System (CCRS) and its Components
- Board Oversight and Change Management
23 Minutes -
2020-05 May - Board Secretary Procedural and Compliance Responsibilities
Your role as Board Secretary is integral to the efficient operation of board meetings. The minutes you scribe are a key part of the documenting of discussions and decisions. Your minutes are utilized by many, including directors, management, legal counsel and examiners. In this program you will find out how to master the critical responsibilities of Board Secretary. Covered Topics:- General Responsibilities
- Director and Officer Matters
- Agenda and Package Distribution
- Oversight and Risk Management: What to Document in the Minutes
25 Minutes -
2020-10 October - Overdraft Services: Risks and Keys to Compliance
This program will discuss what can cause your financial institution to be sued and fined in the overdraft service world. This high revenue product brings high revenue risk and needs your attention. Learn more about lawsuits, fines and best practices.Covered Topics:
- Overdraft Services Law Suits
- FDIC Consumer Compliance Supervisory Highlights
- CFPB Study of Overdraft Programs
- Federal Regulation Compliance & the Guidance
- Fines on Financial Institutions
- 10 Key Compliance Issues
20 Minutes -
2022-04 Bi-Monthly Compliance Briefing - April
This is a bi-monthly update to help you keep up with changes and deadlines in the compliance area in a quick and easy format.20 Minutes -
2023-04 Critical Compliance Issues for 2023
During this session, we will discuss the main compliance priorities for regulators throughout 2023 and into 2024.
20 Minutes -
2024-08 Compliance Priorities in 2024 and Beyond
As of mid-2024, regulatory agencies such as the CFPB, OCC, and FDIC are intensely focused on consumer protection. There is attention to UDAAP, fair lending, and "junk fees." We also have new regulations finalized under CRA. We will update you on these issues and more!
20 Minutes -
Advertising Compliance
Get an overview of the federal laws and regulations that govern financial institution advertising, and the related practices that are permitted and prohibited.90 Minutes -
Advertising Compliance - E3
This course provides you with a detailed assessment of the various federal laws and regulations that govern advertising for financial institutions. It will also discuss advertising practices that are permitted and prohibited so that you can understand how to comply and the penalties for noncompliance.90 Minutes -
Bi-Monthly Compliance Briefing - 1 - February
Keeping up with changes and deadlines in the compliance area gets more complex every year. Now, we can assist you with that task. Carl Pry gives an update on the most recent changes to the compliance landscape in addition to covering what considerations lie ahead. Attendees receive handouts each quarter including a calendar and timeline of future expected regulatory updates.120 Minutes -
Bi-Monthly Compliance Briefing - 2 - April
Keeping up with changes and deadlines in the compliance area gets more complex every year. Now, we can assist you with that task. Carl Pry gives an update on the most recent changes to the compliance landscape in addition to covering what considerations lie ahead. Attendees receive handouts each quarter including a calendar and timeline of future expected regulatory updates.120 Minutes
