Risk, Regulations & Exams Track

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

Consumer Compliance Update: The Regulator Perspective

The consumer financial services regulatory world continues to change with new rules, requirements, guidance and enforcement orders issued on an ongoing basis. Hear directly from the federal regulators who work on consumer financial services regulatory matters daily. Bring your questions.

Presenters: Amy Henderson, Managing Counsel, Supervisory Policy & Outreach Section, Federal Reserve Board
Donna Murphy, Deputy Comptroller for Compliance Risk, OCC
Sylvia Plunkett, Sr. Deputy Director, Depositor & Consumer Protection
Jennifer Stockett, Deputy Assistant Director in the Office of Financial Institutions, CFPB

How to Manage Regulatory Change in an Uncertain Environment  

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Community banks face an overwhelming influx of regulatory changes and those charged with managing compliance for their bank regularly struggle with how to efficiently monitor regulations, assess the effects of those regulations and make any changes necessary to keep their bank compliant. This session will present methods and best practices for managing and operationalizing these changes and introduce the concept of a regulatory library.

Presenter: Barbara Boehler, CCEP, JD, LL.M., Regulatory Compliance Officer, Wolters Kluwer Financial Services 

Lessons from the Largest Reported Breaches in History

Hear a first-person account from an attorney who was retained by two companies after they experienced the then-largest data breaches in United States’ history. See what lessons were learned and how they apply to community banks.

Presenter: John Delionado, Partner, Hunton & Williams

Regulator Perspectives on Farm Loans 

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Representatives of several banking agencies discuss the agriculture landscape and how they are assessing farm loans during bank examinations. Get the latest perspectives that your bank needs for its next bank exam and learn how to put best practices to work.

Presenters: Keith Osborne, Assistant Deputy Comptroller, Comptroller of the Currency-Wichita Field Office
Nicholas Hatz, AVP, Federal Reserve Bank of Kansas City
Brent Klanderud, Field Supervisor-Risk Management Supervision, Omaha Territory, FDIC

Regulatory Roundup 

Senior representatives from several banking regulators bring you up-to-date on the latest issues concerning bank regulation and supervision, including 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.

Presenters: Toney Bland, Sr. Deputy Comptroller, Midsize & Community Bank Supervision, OCC
Doreen Eberley, Director, Division of Risk Management Supervision, FDIC

Tales from the Trenches: BSA/AML Independent Audit Lessons

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Hear a first-person account of why hiring consultants and conducting independent BSA/AML/sanctions reviews and testing are not “get out of jail free” cards. Learn how to teach your staff to identify activities before they lead to BSA program failures and how to communicate those issues to senior management for resolution.

Presenter: Juan Azel, Counsel, Hunton & Williams

More Than Buzzwords: Information and Data Security Risk

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Routine information and data security risk assessments allow you to anticipate incoming information security threats and existing vulnerabilities and weaknesses. Gain a thorough understanding of the relationship between IT security, cybersecurity, and data security and see how you can maximize the value of the FFIEC Cybersecurity Assessment tool. Learn more about data security rules and requirements and hear about areas that are predicted to require increased due diligence in the future.

Presenter: Michael Berman, CEO, Ncontracts

Prevent Loss and Protect Customers from Fraud Scams and Schemes

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This overview of today’s evolving fraud landscape outlines emerging trends in scams and schemes, and provides red flags and mitigation strategies to protect your community bank and its customers. Dive into a lively discussion of existing and emerging trends in fraud schemes, and learn how fraudsters are evolving across all channels—including deposit fraud, account takeover, epayments, card fraud and more. Learn how to identify and mitigate common scam scenarios, such as lottery, employment, romance, payday loan, and Business Email Compromise (BEC) fraud scams.

Presenter: TBD

Whiteboarding with Experts

Wednesday, March 14

8:30 a.m.
Emerging Cyber Challenges for Banks: Threat Evolution, Regulatory Compliance and Government Privacy Laws
Sean O’Brien & Marlene Brehm, @RISK Technologies
9:00 a.m.
Benchmarking and Aligning Staffing Levels 
Timothy Reimink, Crowe Horwath LLP
Creating an Impact in Your Community with Focused, Innovative Card Programs
Nathan Lemon, IC Payments
12:30 p.m.
CX: The One Strategic Initiative Your Bank Can’t Go Without
Zaid Akhter, CSI
1:00 p.m.
Use Market Analytics to Improve Profitability
Kevin Stang, Plansmith
1:30 p.m.
Top Five Reasons Why Small Businesses are Different
John Yarley, Visa
2:00 p.m.
Community Bank to Fintech Innovator: Our Technology Journey
Bob Kettenmann & Sid Ally, Laurel Road
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