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Common Compliance Violations and How to Avoid Them Webinar

With the universe of compliance rules, regulations, interpretations, and the like growing more complex every day, the potential to violate the rules multiplies. In addition, many of these rules are not written in everyday English, and there are gray areas – again increasing the risk of violation. Many of the rules carry significant penalties for noncompliance (both in monetary terms as well as difficult examinations). This webinar concentrates on frequent compliance violations – those rules that historically cause the most violations.

We will discuss both what the common problems are and discuss recommendations on how to fix problems that have already arisen. We will also present several ideas to avoid committing these violations in the first place. In addition, some newer requirements in compliance and how to avoid errors will also be discussed.

What You Will Learn:

• Reg. Z and RESPA problems – timing of disclosures (and how to fix this – it’s easier than you think), and multiple disclosures
• Disclosure issues under the new GFE and HUD-1 forms
• Reg. Z disclosure, rescission, and advertising rules
• Reg. O – lending to your insiders: an easy rule to violate
• Reg. B/ECOA – probably the last rule you’d want to violate
• Suggested ideas for an effective Fair Lending program
• Reg. E error resolution
• Bank Secrecy Act – many areas to trip up the careful banker, including AML and CIP rules
• Privacy issues
• HMDA reporting issues, including common data integrity problems
• FCRA (including FACT Act) landmines – have the right policies
• Flood insurance documentation, particularly amount of coverage
• And much more

Who Should Attend?

Anyone in the institution having compliance responsibilities – when you think about this, it could be just about anyone in the institution. This may include members of senior management, operations personnel, lending personnel, underwriters, customer service representatives, back-room personnel, and of course compliance officers, auditors, and attorneys, and anyone else in the institution that might benefit from this valuable information.

The Institute of Certified BankersTM(ICB) is dedicated to promoting the highest standards of performance and ethics within the financial services industry. This training webinar has been approved for 2.5 CRCM credits.

Schedule and Registration Information

Choose the delivery type that best suits your needs.  Tuition includes textbook (if applicable).
Webinar times are EST.  All other class times are local time.

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