Regulations & Exams Track

Designed to keep you up-to-date on supervisory, regulatory and operational issues at the federal level.

Preparing for Your BSA Compliance Exams*

Don’t know where to begin when it comes to studying for your BSA Compliance exam? Learn best practices to guide you before, during and after your exam. Prepare for the new Customer Due Diligence rules and address new BSA trends regulators are focused on during exams. Discussions will focus on being proactive, pragmatic and positive. View presentation
Presenter: TBD

Regulators Consumer Compliance Update*

A moderated panel of federal regulators will answer audience questions regarding consumer protection rules and compliance. Learn about developments regarding new and updated rules for personal and signature loans, mortgages, overdraft services, HMDA and debt collection. Additionally, hear about the latest enforcement actions and the primary issues that the agencies are finding in compliance examinations.
Presenters: Amy Henderson, Managing Counsel, Supervisory Policy & Outreach Section, Federal Reserve Board, & Sylvia Plunkett, Sr Deputy Director, Depositor & Consumer Protection, FDIC

Regulatory Hot Stuff*

Are you ready for the next visit from the examiners? Senior banking agency representatives will bring you up to date on all the latest issues concerning bank regulation and supervision, including the new FDIC assessments, capital requirements under Basel III, credit quality, stress testing and liquidity management, source of strength requirements for holding companies, CRE concentrations, transactions with affiliates, managing third party relationships and more.
Presenter: TBD

Unfair, Deceptive, or Abusive Act or Practices (UDAAP)*

UDAPP reaches into nearly every regulation at your bank. What is it? Who enforces it? Why was it created? Hear examples of enforcement actions taken around UDAAP and things to be mindful of when navigating the murky waters surrounding this subject. Learn how to identify possible UDAAP situations at your bank and ways to measure, monitor and control risks. View presentation
Presenter: David Dowdney, Supervisor, RSM US, LLP

Warning-Attention Required Before Your Next Exam!*

The regulatory landscape is changing by the day, both in the form of new regulations and new agency interpretations of existing regulations. The best way to address potential problems is by avoiding them. This requires banks to anticipate examination hot topics and shore up the bank’s practices before the examination takes place. Learn about the current regulatory examination hot topics and how best to address these specific issues so your next examination goes smoothly. View presentation
Presenter: Cliston “Doc” Bodine, Managing Director, Gerrish Smith Tuck, Consultants & Attorneys

(*) These workshops/sessions are eligible for one continuing professional education credit. To qualify, you must attend the entire session. Name badges will be scanned at the end of each session.

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