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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?
This webinar recording 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.
The recording 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
The recording 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.