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Alabama Bankers Association
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Recorded Tuesday, March 11th, 2008
Virtually no set of rules and regulations get as much attention as the Bank Secrecy Act, Office of Foreign Asset Control regulations, and the USA Patriot Act. Surveys show these rules to be the #1 issue facing compliance officers. The rules work together to place a significant burden on your institution – a comprehensive program must be continually updated and implemented. The information presented in this webinar will help you understand the rules and their requirements so you can be sure your program meets the requirements.
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- Currency Transaction Reporting under the BSA, including exemptions
- Suspicious Activity Reporting – what is suspicious and when should you file a SAR?
- Selling monetary instruments for cash – collecting and retaining information
- Funds transfer recordkeeping – more information collection
- OFAC rules – monitoring the lists & what to do
- Blocked transactions and accounts under OFAC rules – what does this mean?
- USA Patriot Act and the Customer Identification Program (CIP) – What do we have to do?
- Identifying customers, documentary (and non-documentary) evidence, and record retention under the CIP rules
- And more
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These rules impact most anyone in the bank who has direct dealings with customers, such as Customer Service Representatives and tellers. But others are impacted as well, like loan officers and others who make important customer-related decisions. Compliance officers, auditors, and attorneys too will benefit from this information, as well, as they often are the ones who must draft these complex programs, administer them, and audit them.
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Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who works in Lending Compliance for a large financial institution in Ohio. Prior to this, Carl was a manager in the Finance & Performance Management service line for Accenture. Through his working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves on the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at dozens of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.
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