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General Compliance

54 results

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Understanding Bond Risks and Duration: Inform...

Upcoming
  • Mon, November 06, 2023
  • Presented by Todd Rosenfeld
Todd Rosenfeld
$279.00

Understanding Bond Risks and Duration: Information Important to Financial Institutions in a Changing Interest Rates Environment

Upcoming
  • Mon, November 06, 2023
  • Presented by Todd Rosenfeld

Compliance, General Compliance, Human Resources, Management/Employee Development

Join us for an informative and engaging webinar on the fundamentals of the bond market! This webinar is designed to provide you and your team with a comprehensive understanding of key concepts, including types of U.S. treasury securities, credit, and interest rate risks. By attending this webinar, your team will gain valuable insights and practical knowledge to help enhance your institution’s investment strategy.

The Art of Optimal Risk Taking: Characteristi...

OnDemand
  • Recorded Tue, April 11, 2023
  • Presented by Marci Malzahn
Marci Malzahn
$279.00

The Art of Optimal Risk Taking: Characteristics of Strong Risk Assessments

OnDemand
  • Recorded Tue, April 11, 2023
  • Presented by Marci Malzahn

Auditing, Compliance, General Compliance, Information Technology/Security, Risk Management/Legal

Credit Unions provide great value to the American economy. But that value comes with risks. Strategic-minded institutions do not strive to eliminate risk or even to minimize it - they strive to manage risk at the enterprise-wide level. These enterprises seek to manage risk exposure so that, at any given time, they incur just enough of the right kind of risk—no more, no less - to effectively pursue their strategic goals. This is referred to as "Optimal Risk-Taking". This webinar will take you through the characteristics of strong Risk Assessments to ensure you address key areas of your institution.

HMDA Essentials

Upcoming
  • Tue, October 31, 2023
  • Presented by Kimberly Boatwright
Kimberly Boatwright
$279.00

HMDA Essentials

Upcoming
  • Tue, October 31, 2023
  • Presented by Kimberly Boatwright

Auditing, Commercial/Business Lending, Compliance, CRA Compliance, General Compliance, Lending Compliance, Mortgage Lending, Risk Management/Legal

The 2018 modifications to HMDA were massive, and many financial institutions are still dealing with the challenges of collecting data under the burdensome new requirements. The partial exemption provisions resulting from EGRRCPA were a blessing and a curse. Now with a key exemption being revoked by the CFPB in December of 2022, knowing what to do and how to do it has never been more important.

Opening New Accounts: Documentation and Compl...

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones
Suzie Jones
$769.00

Opening New Accounts: Documentation and Compliance Requirements - 3 Part Series

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Risk Management/Legal, Teller, Transaction Compliance, Trusts

This webinar series will cover the opening of various types of accounts, including Personal and Consumer, Business, Fiduciary, Trust, Minor, and Court Ordered accounts.

Opening New Accounts Part 1: Personal and Con...

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 1: Personal and Consumer Accounts

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones

Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, General Compliance, Teller, Transaction Compliance

Well-trained bankers who recognize and stop attempted dishonest activity are the first line of defense in protecting a financial institution from fraudsters. Unfortunately, new account personnel are too often trained "on the job," which results in an environment of potential vulnerability and unnecessary losses for the bank. This comprehensive training focuses on providing new and experienced bankers with the knowledge and tools needed to protect the bank when opening personal and consumer accounts. 

Opening New Accounts Part 2: Business Accounts

Upcoming
  • Thu, November 02, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 2: Business Accounts

Upcoming
  • Thu, November 02, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Lending Compliance, Risk Management/Legal, Sales, Teller, Transaction Compliance

Whether because of the complexity or the lack of frequency, opening business accounts seems to create the most angst for many bankers. Seminar participants gain confidence and a clear understanding of the regulatory, compliance, and overall documentation requirements for opening business accounts. With over 50 years of experience, Suzie Jones has a reputation for empowering new account representatives with the skills and tools to protect their organization while, at the same time, focusing on providing quality customer service. 

Opening New Accounts Part 3: Fiduciary, Trust...

Upcoming
  • Fri, November 03, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 3: Fiduciary, Trust, Minor, and Court Ordered Accounts

Upcoming
  • Fri, November 03, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Risk Management/Legal, Teller, Transaction Compliance, Trusts

An individual identifying themselves as a "fiduciary" wanting to open an account on behalf of the estate of a deceased individual, minor child, incapacitated individual, or formal trust can create much angst, mainly because the funds' owner is often absent. This two-hour webinar answers critical questions and concerns regarding documentation and compliance regulations when opening accounts for trustees, personal representatives, and fiduciaries. 

Wire Transfers: Staying Compliant and Avoidin...

Upcoming
  • Tue, November 28, 2023
  • Presented by Dawn Kincaid
Dawn Kincaid
$279.00

Wire Transfers: Staying Compliant and Avoiding Fraud Loss

Upcoming
  • Tue, November 28, 2023
  • Presented by Dawn Kincaid

Compliance, General Compliance, Risk Management/Legal, Transaction Compliance

Funds transfer fraud causes millions of dollars in losses for businesses. Last year, financial institutions filed over 374,000 Suspicious Activity Reports on incidents of wire fraud and/or suspicious EFT/wire transfers-a 2.5% increase from the prior year and a 35% increase from 2020. Cyber attackers continue to grow more sophisticated with their schemes and attempts and have increased even more during the recent pandemic. Recent successful cyberattacks on international wire transfers have raised the bar on examiners’ expectations for your security system and risk monitoring of international and domestic wire transfers. Are you prepared?

Dealing with Insiders: Regulations O and W

Upcoming
  • Thu, October 26, 2023
  • Presented by Carl Pry
Carl Pry
$279.00

Dealing with Insiders: Regulations O and W

Upcoming
  • Thu, October 26, 2023
  • Presented by Carl Pry

Auditing, Compliance, CRA Compliance, Fraud, General Compliance, Lending Compliance, Reporting, Risk Management/Legal

Many banks appoint a “Reg. O and W” Officer to monitor all these activities and assure compliance. In this webinar, we’ll detail the many requirements of Regs. O and W and provide tips to assure effective compliance management practices. We’ll talk about who the bank’s insiders and affiliates are and how to manage the many requirements.

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