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Why Lorman?
Over 33 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
| Insights Into Requirements of Risk-Based Customer Due Diligence (CDD) | |
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| General Due Diligence | |
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| How to Escalate Processes When High-Risk Members Require Enhanced Due Diligence | |
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| How to Conduct Ongoing Due Diligence and Constantly Reassess Risk | |
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More Program Information
Why Lorman?
Over 33 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
Audio & Reference Manual
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
More Program Information
Why Lorman?
Over 33 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
Stephanie R. Hager
Stevens & Lee
- Associate with the law firm of Stevens & Lee
- Represents financial institutions and other public companies in a wide range of corporate matters, including capital formation, mergers and acquisitions, corporate governance, reporting requirements under the Securities Exchange Act of 1934 and financial institution regulatory requirements under banking and securities law
- Wide range of international experience
- Member of various associations and a published author
- LL.M degree, University College London; J.D. degree, Washington & Lee University School of Law; B.A. degree, magna cum laude, Allegheny College
Frank A. Mayer, III
Stevens & Lee
- Has more than 30 years of banking law experience, chairs his firm’s financial services regulatory enforcement practice
- Clients include some of the largest financial services firms throughout the world and he regularly defends insured depository institutions, related affiliates, officers and directors, foreign banking organizations, branches and agencies from United States government enforcement actions
- Was a senior attorney at FDIC and while with the Resolution Trust Corporation in more senior positions, he advised policy makers and officials in the liquidation divisions in connection with closing financial institutions as well providing legal advice and holding requisite delegated authority to dispose of some of the agencies’ most complex assets and liabilities
- As the legal representative to the RTC settlement work out team, he held co-delegated authority of $100,000,000.00
- Frequently sought by the media to offer insights into bank regulatory issues and he has chaired the ABA Bano Agency Comment Committee and is the current chair of the ABA Banking Law Committee task force concerning the bank examination privilege
Steven Szaroleta
Freeh Group International Solutions, LLC
- Senior director at Freeh Group International Solutions, LLC
- Over 15 years’ experience performing compliance assessments, internal audits, regulatory monitorships, forensic accounting reviews and complex international investigations related to compliance with the U.S. Foreign Corrupt Practices Act as well as Bank Security Act/Anti-Money Laundering Regulations
- Has conducted FCPS investigations for global financial institutions related to bribery, corruption, fraud and misconduct
- Has a deep understanding of regulatory risks as they relate to customers and transactions, geographies and delivery channel, and a variety of products and services
- Certified fraud examiner and certified anti-money laundering specialist
- M.B.A. degree, University of Delaware; B.S degree, Villanova University
More Program Information
Why Lorman?
Over 33 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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