Effectively Handling Law Enforcement Requests, Subpoenas, Levies and Garnishments
October 26, 2021
REGISTER NOWDescription:
Register by September 17th and take advantage of our Early Bird Pricing!
All registrations to Compliance Resource webinars include five live connections AND the recording of the webinar (guaranteed for one year).
Effectively Handling Law Enforcement Requests, Subpoenas, Levies and Garnishments has been submitted to ABA Professional Certifications for CE credit review and is pending approval. Once we receive notification of the credit approval, we will notify attendees.
WHAT?
Financial institutions play a significant role in the financial space as they hold the assets of a customer. Based on this fact, financial institution records and funds on deposit often become the center of legal disputes and governmental enforcement actions such as 314a requests, subpoenas, garnishments, and tax levies. In addition, certain states have requirements when filing a SAR to report to a regulatory body. This session will focus on how to implement a practical process for the receipt and handling of these law enforcement requests. What are the requirements for each type of request? What are the deadlines? What are the rights of the financial institution?
WHY?
This webinar will take attendees through each type of request, provide the requirements for each request and how to implement a practical process that works for all areas of the financial institution.
PROGRAM CONTENT
The program explores:
- Review of each type of law enforcement request;
- Understanding the requirements for levies, summons and subpoenas;
- Best business practices for responding to these requests;
- Special reporting requirements; and
- Common issues resulting in regulatory scrutiny based on these requests
WHO?
The program is designed for BSA/AML Officers and Support Staff, Branch management, Customer Service Representatives, Tellers, Call Centers, Electronic Banking, Risk Management, Deposit Operations, Compliance, Internal Audit, and Information Security.
*This program will start at 2:00 PM EDT, 1:00 PM CDT, 12:00 PM MDT, or 11:00 AM PDT
**Recording Included
This webinar will be recorded and sent to all registrants. You will receive links to the recording following the program. These recordings have unlimited viewings and are available for up to one year.
Register by September 17th and take advantage of our Early Bird Pricing!
Presenters:
Terri Sands
Terri Sands, CAMS – Audit, AAP, CFE, At-Risk Adult Crime Tactics Specialist (ACT) is the founder of Secura Risk Management and leads the company in its strategic efforts to offer the most pressing and needed services in payments, BSA/AML, Cybersecurity and fraud. Throughout her career, Terri has served as a leader in the payments and fraud prevention industry, providing education, risk management and compliance consulting and support services geared toward the specific needs of financial organizations. Terri consults and speaks frequently for regulatory and governmental agencies on topics including payments risk management and strategy, operational compliance, BSA/AML, financial crimes, operational risk management improvements and efficiencies. Terri has authored numerous publications and articles on payments risk management, fraud prevention, money-laundering prevention strategies, elder financial exploitation, and identity theft red flag compliance. Terri also serves as the Director of the Payments Risk Management for State Bank & Trust where she is responsible for payments risk management and payments strategy. Terri is an Advanced Certified Anti-Money Laundering Specialist (CAMS – Audit), a Certified Fraud Examiner (CFE), an At-Risk Adult Crime Tactics (ACT) Specialist and an Accredited ACH Professional (AAP).
Prior to founding Secura, Terri served as co-founder of Payments Information Circle (PIC), a service organization providing payments industry education, auditing, consulting, resources, and support services to financial organizations throughout the country. Prior to her work at PIC, Terri served as the President of the Georgia Automated Clearing House Association (GACHA), a non-profit, regional payments association where she provided strategic direction for the association and its membership. Terri began her career in payments as a Senior Analyst with the Federal Reserve Bank of Atlanta where she provided training throughout the Sixth District and served on the Federal Reserve ACH Conversion Team that consolidated ACH Services for all branch locations in the Sixth District. In addition, Terri led the efforts for training financial institutions throughout the Sixth District on the National Electronic.
October 26, 2021