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Compliance for Commercial Lenders

All of the regulations reviewed in a compliance examination cover consumer lending, but many of those regulations also impact commercial lending. Determining exactly which requirements impact commercial loans is a challenge. We are pleased to present this program to help commercial lenders understand which compliance requirements impact their department.
Upcoming
DATE

Thursday, May 28, 2026
2:30 pm - 4:00 pm

INSTRUCTOR

Kimberly Boatwright

FORMAT

Webinar

CREDIT TYPE

2 CRCM Credits

$299.00 or 1 Token

Includes: Live Access, 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Commercial/Business Lending
  • Compliance
  • CRA Compliance
  • General Compliance
  • Lending
  • Lending Compliance
  • Transaction Compliance
  • Commercial Lender
  • Community Reinvestment Act Officer
  • Compliance Officer
  • Credit Analyst
  • Internal Auditor
  • Loan Operations Manager/Specialist
  • Private Banker
  • Risk Manager
  • Small Business Lender
  • Training Manager
  • Trainer

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Many examiners find the commercial lending area is fertile for compliance violations because of confusion regarding which requirements apply to commercial loans. Those violations may result in penalties or expensive litigation. This program:
• Identifies problem areas;
• Provides suggestions for avoiding and curing the problems; and
• Covers training and auditing concerns.

What You'll Learn

Upon completion of the program participants understand the importance of establishing and documenting the loan purpose and how the following laws and regulations impact the commercial lending process

  • Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) Provisions - Filing CTRs, CTR exemptions, and OFAC;
  • USA PATRIOT Act - Customer Information Program (CIP), Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and Beneficial Ownership;
  • Suspicious Activity Reporting (SAR) Provisions;
  • Unlawful Internet Gambling Enforcement Act (UIGEA) - Regulation GG;
  • Equal Credit Opportunity Act (ECOA) - Regulation B - Discrimination prohibition, appraisal rules, application disclosures, spousal signature rules, intent to be a joint applicant, and adverse action notice requirements; Section 1071
  • Fair Housing Act (FHA) - Discrimination prohibition;
  • Home Mortgage Loan Disclosure Act (HMDA) - Regulation C - Data collection and reporting requirements and revisions to Regulation C;
  • Flood Disaster Protection Act (FDPA) - Required disclosures and insurance requirements, and recent changes;
  • Fair Credit Reporting Act (FCRA & FRB) - Regulations V - Requesting and using credit bureau reports, identity theft provisions and adverse action notice requirements;
  • Other rules and regulations that impact commercial loans.

Who Should Attend

The program is designed for Commercial Loan Officers, Compliance Officers, Auditors, and those responsible for documenting commercial loans.

Kimberly Boatwright

Instructor Bio

Kimberly Boatwright is EVP and Director of Risk and Compliance at Compliance Resource, LLC, and has more than two decades of experience working in the financial services industry. Ms. Boatwright is a well-regarded financial industry risk and compliance professional with a strong background in program development and implementation. She is a thought leader who specializes in Fair Lending, Anti-Money Laundering, OFAC, and consumer compliance. During her career, she has worked for and consulted with all types of financial institutions helping to establish and evolve compliance and risk programs. She is a frequent public speaker, trainer, and author on compliance and risk management topics. Kimberly is a Certified Regulatory Compliance Manager and a Certified Anti-Money Laundering Specialist.

Continuing Education Credit Information

Compliance for Commercial Lenders has been approved for 2 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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