Deposit and Operations Compliance - What are the Rules?

There are a host of rules that cover the deposit and operations side of the financial institution, ones that require a thorough understanding of when they apply, what they mean, as well as the penalties for noncompliance.

Recorded Wednesday,
August 23rd, 2023
Presented by Carl Pry
2.5 CRCM Credits
$279.00 or 1 Token

Includes: 30 Days OnDemand Playback, Presenter Materials and Handouts

  • Compliance
  • Customer Service
  • Deposit
  • Deposit Accounts
  • Deposit Compliance
  • General Compliance
  • Bank Legal Counsel
  • Branch Manager
  • Compliance Officer
  • Customer Service Representative
  • Deposit Operations Manager/Specialist
  • Risk Manager
  • Senior Management
  • Teller
  • Trainer

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There are also some new developments in this area, including around overdrafts, fees, and UDAAP (discrimination). Learn what these rules are, where to find them, and about the requirements.

What You'll Learn

  • Regulation DD - Truth in Savings
  • Regulation CC - Funds Availability including Check 21 provisions
  • Regulation E - Electronic Funds Transfers
  • Basics of Insurance Sales
  • Right to Financial Privacy
  • Basic Privacy Regulations
  • FDIC Insurance basics (including new limits and timeframes)
  • Overdraft and NSF fees
  • UDAAP and discrimination
  • And more

Who Should Attend

This interactive session will give a basic understanding of each of these rules and is imperative for anyone performing duties in deposit areas of the financial institution. This includes tellers, new account reps, head tellers, supervisors, back-office personnel, trainers and others working in these types of positions.

Carl Pry

Instructor Bio

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 30-year 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 as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.

Continuing Education Credit Information

Deposit and Operations Compliance - What are the Rules? has been approved for 2.5 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.