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Marijuana, Gambling, Virtual Currencies, and Payday Lending: How the Financial Industry Can Avoid the Compliance Pitfalls

 

Learn more about opportunities available for banks to embrace new products and services.

Banks and financial institutions are facing disruption of the traditional business cycle. In particular, the products and services that banks offer and the way these products are delivered is being challenged. Today's bank must consider nontraditional banking services in areas that were once considered outside the banking zone; products such as virtual currency, payday lending and marijuana related businesses. This topic will describe the opportunities available for banks to embrace new products and services. In addition, we will discuss the process for assessing risks and dedicating the necessary resources for effective controls. Alternative financial services can allow banks to pursue new sources of income and attract new generations of customers.

Agenda

Faculty

James DeFrantz, CRCM, CAMS, J.D.

James DeFrantz, CRCM, CAMS, J.D.

Virtual Compliance Management

  • 30 years of experience in financial service regulatory compliance
  • Worked with money service businesses in the United States and internationally, including consulting with money remitters, Fintech lenders and foreign exchange firms
  • Specialist in compliance in consumer and real estate lending, BSA, CRA, fair lending, consumer operations, non-deposit investment products, note department operations, assessment of ALL, and credit approval process
  • Served as a senior compliance examiner at the Federal Reserve Bank in San Francisco, as an analytical manager at the Office of Thrift Supervision, and as a commissioned national bank examiner at the Office of the Comptroller of the Currency (OCC)
  • Certified Regulatory Compliance Management and Certified Anti- Money Laundering Specialist
  • Certificate, Pacific Coast Banking School of Bank Management; J.D. degree, with a concentration in banking and finance, University of San Francisco; B.A. degree, Dartmouth College

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