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Regulation D: Reserve Requirements and Compliance

 

Gain an understanding of the compliance issues and risks associated with Regulation D.

Regulation D requires financial institutions to have a certain amount of funds in reserves. There have been a lot of issues in recent years surrounding compliance issues. This course will go through the background, scope, and compliance issues surrounding Regulation D. We will also cover the reserve requirements and maintenance.

Agenda

Faculty

Justin Muscolino

Justin Muscolino

Tweezzle

  • Brings over 25 years of wide-arranging experience in compliance, training, and regulations
  • Currently the CEO of tweezzle, a virtual training company dealing with regulatory compliance; he is also an advisor to startups; most recently, he served as Head of Compliance Training at Bank of China, Macquarie Group’s Head of Americas Compliance Training, and JPMorgan Chase’s Compliance Training Manager; also worked for FINRA, a U.S. regulator, where he created Examiner University to train examiners on how to perform their function
  • Advisor at the Global Compliance Institute (GCI)
  • Master’s degree in finance; bachelor’s degree in business administration
  • Can be contacted at [email protected]

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