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The Volcker Rule: Ensure Your Bank is Compliant

The Volcker Rule compliance deadline is approaching - find out what changes your bank needs to make to be compliant with the final Volcker Rule.

The Volcker Rule now requires financial, legal and IT professionals to get to work. What are the key challenges and how are the prudential regulators demonstrating their expectations? Frank A. Mayer will discuss the significant and latest issues surrounding the final rules of the Volker Rule. This is a must purchase for anyone interested in understanding the significant issues relating to implantation and compliance with the final Volcker Rule.

Runtime: 85 minutes
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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

General Overview and Summary of the Volcker Rule

Impacted Business Lines and Products

  • Impact to Specific Business Lines and Products
  • Which Products and Investments Are Likely to Change

Recordkeeping Systems and Maintenance

  • Value-At-Risk and Stress VaR
  • VaR Exceedance
  • Risk Factor Sensitivities
  • Risk and Position Limits
  • Comprehensive Profit and Loss
  • Portfolio Profit and Loss
  • Fee Income and Expense
  • Spread Profit and Loss
  • Comprehensive Profit and Loss Attribution
  • Pay-To-Receive Spread Ratio
  • Unprofitable Trading Days Based on Comprehensive Profit and Loss and Unprofitable Trading Days Based on Portfolio Profit and Loss
  • Skewness of Portfolio Profit and Loss and Kurtosis of Portfolio Profit and Loss
  • Volatility of Comprehensive Profit and Loss and Volatility of Portfolio Profit and Loss
  • Comprehensive Profit and Loss to Volatility Ratio and Portfolio Profit and Loss to Volatility Ratio
  • Inventory Risk Turnover
  • Inventory Aging
  • Customer-Facing Trade Ratio

Conformance Process

  • Identify Business Strategy Change
  • Underwriting and Market Making Exemptions
  • Compliance and Auditing Requirements
  • Updating Compliance Manuals
  • Evaluate Data Collection and Monitoring Requirement and Required Enhancements
  • Hedging Compliance

Role of Supervisors and Examiners

  • Discuss the Role of the Different Regulators in Enforcing and Monitoring Volcker Rule Compliance
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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.

Credits

OnDemand Course

This course was last revised on October 7, 2014.

Call 1-866-352-9540 for further credit information.

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

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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.

Faculty

Frank A. Mayer, III

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
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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.

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Product ID: 394398
Published 2014
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