Compliance Management Survey: Back to Basics Webinar Recording




The slides and recording access document will be available for download immediately via email upon purchase.

Every single rule we follow in banking compliance can be traced back to a good reason for doing it. Not only is it crucial to understand “what” you must do in your job, but having a clear grasp of the “why” helps you do it better.

This on-demand webinar is great for new staff, bankers on the fringe of compliance, and even long-time bank employees who like to see how all the pieces fit together.  Every single bank employee plays an important part in keeping their bank compliant.  What part do you play?

You will learn:

  • The 5 primary reasons banking legislation and regulation exist:
  1. Protect depositors
  2. Ensure monetary stability
  3. Ensure an efficient and competitive financial system
  4. Protect consumers
  5. Meet socio-political goals
  • The primary rules for holding deposits:
    • FDIC Insurance
    • Reg D: Reserve Requirements
    • Reg E:  Electronic Fund Transfers
    • Reg CC: Funds Availability
    • Reg DD:  Truth in Savings
    • Reg GG:  Unlawful Internet Gambling
    • Garnishment of Accounts
  • The primary rules for making loans:
    • Reg B:  Equal Credit Opportunity
    • Fair Housing Act
    • Reg C:  The Home Mortgage Disclosure Act
    • Reg F:  Fair Debt Collection Practices
    • Reg G:  Registration of Mortgage Loan Originators
    • Reg O:  Insider Lending
    • Reg X:  RESPA
    • Reg Z:  Truth in Lending
    • Flood Insurance rules
    • Military Lending Act
    • Appraisal Rules
  • Rules that apply to everyone in banking:
    • Reg P:  Privacy
    • Safeguarding Customer Information
    • Fair Credit Reporting Act
    • Overdraft program requirements
    • Reg Flags Rule: ID Theft Prevention
    • Bank Security
    • Servicemembers Civil Relief Act
    • Bank Secrecy Act / Customer Identification Program
    • Community Reinvestment Act
    • Unfair or Deceptive Acts or Practices
    • Handling customer complaints

It may seem overwhelming, but many rules and regulations share common themes. This session provides a summary, enabling you to see the full picture of regulatory compliance more clearly.

Gaining this overview of banking compliance will allow you to be a better employee, team member, and well-rounded banker.  Foster collaboration and communication within your organization, and maybe even see where your interests lie for future career development!