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Regulatory and Lending Compliance Errors

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

This material will provide an overview of how to manage regulatory and legal compliance for lenders and financial institutions in the field of consumer lending. The information will discuss the key expectations of regulatory agencies when examining the effectiveness of a compliance management system, with a specific focus on the subjects of Fair Lending and the Bank Secrecy Act/Anti-Money Laundering obligations (BSA/AML). You will be provided insight as to the identification of risks as well as the key indicators that likely will be subject to regulatory scrutiny.

87 minutes
Course Exam
Certificate of Completion
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Why Lorman?

Over 37 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

Introduction - Identifying the Duties for Compliance Management

  • CFPB's Expectations
  • Federal Reserve Guidance

Components of a Compliance Management System

  • Elements to Consider
  • Compliance and Risk Assessment
  • Oversight and Control
  • Effective Management Strategies
  • Reporting and Escalation

Identification and Avoidance of Risks

  • Traditional Risk Categories
  • Unique Risks for Financial Institutions

Areas of Special Concern

  • Fair Lending
  • Bank Secrecy Act/AML
  • Counterparties

Financial Institution Liability for Compliance and Risk Management

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Why Lorman?

Over 37 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 December 12, 2023.

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

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

MP3 Download

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

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Why Lorman?

Over 37 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

David K. Stein

David K. Stein

Taft, Stettinius & Hollister, LLP

  • Partner at Taft, Stettinius & Hollister
  • Maintains a national practice in banking and consumer financial services
  • Represents and defends institutions of all sizes against claims arising from TILA, RESPA, ECOA, FCRA, GLBA, and other state and federal-related matters
  • Counsels lenders facing issues related to loan origination and servicing, marketing and sales practices, state and federal regulatory investigations and examinations, privacy and data security, and the defense of legal and administrative claims
  • Nearly 20 years as general counsel for a top-fifty lender
  • Author of MBA’s Social and Digital Media Compliance Guide
  • Frequent speaker and thought leader on RESPA, Fair Lending, BSA/AML, UDAAP, and compliance management
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Why Lorman?

Over 37 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.

All of your training, right here at Lorman

All of your training, right here at Lorman.

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Product ID: 411194
Published 2023
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