Navigating the Regulatory Environment

This session highlights regulatory expectations for the Board of Directors; outlines seven requirements for board members to fulfill obligations, explains the elements and importance of an effective compliance management system, and offers "take away" lessons from recent enforcement actions by the prudential bank regulators.

Covered Topics

  • Director’s Responsibilities by Agency
    • OCC
    • FDIC
    • CFPB
    • Federal Reserve
  • The Risk Assessment Process
  • Complaints - What & Why
  • What Should Financial Institutions Do?
  • The Dodd-Frank Act Impact on UDAP
  • Lessons Learned from Enforcement Actions
  • Five Steps to Manage UDAAP Risk

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 biggest value of the series..."Ability to have someone explain in plain English what is going on." Christine G., Bank Fund Staff Federal Credit Union