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OnDemand Webinar

Navigating the Compliance Landscape: Avoiding Regulatory and Lending Compliance Pitfalls

Keep up with the shifting financial services landscape and to avoid regulatory and lending compliance pitfalls.

Banks continue to face many challenges following on the heels of the financial crisis, including addressing asset quality issues, raising capital, understanding and implementing new requirements, and navigating the ever-changing regulator and compliance landscape. This ondemand webinar aims to serve as a refresher course for banking institutions and their advisers who seek to keep up with the shifting financial services landscape and to avoid regulatory and lending compliance pitfalls that have been the subject of recent enforcement actions and other supervisory activities. The presenters will review recent enforcement actions and bank regulator supervisory concerns that have been raised with respect to various areas of bank regulation, and will identify and address pitfalls that banking institutions will continue to confront.

Runtime: 93 minutes
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Adequacy of BSA/AML Controls

  • Identifying and Addressing Weaknesses
  • Action Plans to Address Key Risks
  • Case Studies

- Associated Bank (6/2014); JPMorgan Chase (1/2014, 1/2013); Old National Bank (1/2014)

Third-Party Vendor Management

  • Treatment of Bank Service Companies
  • Updated Federal Reserve Guidance (12/2013)
  • Updated OCC Guidance (10/2013)
  • Third-Party Vendor Risks
  • Case Studies

- U.S. Bank National Association (9/2014); Bank of America (4/2014); JPMorgan Chase Bank (9/2013)

Reputation Risk Issues: Compliance With Consumer Laws

  • Fair Lending Issues
  • Practical Issues and Concerns
  • Working With the CFPB
  • Case Studies

- U.S. Bank National Association (9/2014); Synchrony Bank (6/2014); Bank of America (4/2014)

Technology Risk Issues

  • Cybersecurity Issues
  • Data Breach Exposure

- Fraud at Bank (e.g., Corporate Account Takeovers)

- Fraud at Merchant (e.g. Target Data Breach)

  • Compliance Risks
  • Bank Liability Issues
  • Case Studies

Overall Compliance Management System (CMS) Issues

  • Framework for Overseeing Compliance Responsibilities

- CMS Elements

- CMS Risk Assessment

- Identifying CMS Weaknesses

- Bank Regulatory Oversight

  • CMS Enforcement Action Criticisms

- Adequacy of Policies and Procedures

- Employee Training Programs

- Monitoring Consumer Complaints and Inquiries

- Level of Board Attention and Involvement

- Key Issues for Acquirers in M&A Context

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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Helen Y. Lee

Helen Y. Lee

White & Case LLP

  • Counsel in the Financial Institutions Advisory Practice of White & Case LLP based in the firm's Washington, D.C. office
  • Advises U.S. as well as non-U.S. banking organizations and other financial service providers on regulatory and transactional matters arising under the U.S. federal banking and securities laws
  • Practice includes advising clients on all regulatory aspects of banking operations from assisting with the establishment of bank offices and addressing chartering or licensing issues, to advising on permissible activities and structure considerations, as well as addressing enforcement and other supervisory matters
  • Represents clients in managing communications with regulators that include requests for formal or informal opinions, submission of comment letters regarding proposed rulemakings, negotiation of enforcement orders, and activity applications pending before federal and state regulators including the Office of the Comptroller of the Currency, Federal Reserve Board (Washington, D.C. and Reserve Banks), Federal Deposit Insurance Corporation (Washington, D.C. and Regional Offices), Consumer Financial Protection Bureau, California Department of Business Oversight, and New York State Department of Financial Services
  • Adjunct professor of banking law at her alma mater, The George Washington University Law School in Washington, D.C.
Kevin L. Petrasic

Kevin L. Petrasic

White & Case LLP

  • Partner and head of the Global Financial Institutions Advisory Practice of White & Case LLP, based in the firm’s New York and Washington, D.C., offices
  • Advises national and international financial firms, including banks, securities brokerage and insurance firms, and other financial services providers, on a broad range of regulatory, legislative, transactional, and compliance issues under federal and state banking laws, including before the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation and the Consumer Financial Protection Bureau
  • Extensive experience in Dodd-Frank compliance, bank/thrift and holding company regulation, credit card and consumer financial compliance laws, UDAAP issues, data privacy/protection, cybersecurity and data breach issues, compliance laws impacting payments systems, mergers and acquisitions, anti-money laundering issues and OFAC compliance, depository institution charter powers and activities, mortgage markets, and corporate governance
  • Broad government experience, including serving as special counsel, managing director of external affairs, director of congressional affairs, legislative counsel, and assistant chief counsel at the U.S. Treasury Department’s Office of Thrift Supervision, as well as counsel to the former House Banking Committee
  • Adjunct professor of banking law at the George Washington University Law School in Washington, D.C.
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 396317
Published 2015
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