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General Compliance

133 results

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Opening New Accounts: Documentation and Compl...

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones
Suzie Jones
$769.00

Opening New Accounts: Documentation and Compliance Requirements - 3 Part Series

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Risk Management/Legal, Teller, Transaction Compliance, Trusts

This webinar series will cover the opening of various types of accounts, including Personal and Consumer, Business, Fiduciary, Trust, Minor, and Court Ordered accounts.

Opening New Accounts Part 1: Personal and Con...

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 1: Personal and Consumer Accounts

Upcoming
  • Wed, November 01, 2023
  • Presented by Suzie Jones

Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, General Compliance, Teller, Transaction Compliance

Well-trained bankers who recognize and stop attempted dishonest activity are the first line of defense in protecting a financial institution from fraudsters. Unfortunately, new account personnel are too often trained "on the job," which results in an environment of potential vulnerability and unnecessary losses for the bank. This comprehensive training focuses on providing new and experienced bankers with the knowledge and tools needed to protect the bank when opening personal and consumer accounts. 

Opening New Accounts Part 2: Business Accounts

Upcoming
  • Thu, November 02, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 2: Business Accounts

Upcoming
  • Thu, November 02, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Lending Compliance, Risk Management/Legal, Sales, Teller, Transaction Compliance

Whether because of the complexity or the lack of frequency, opening business accounts seems to create the most angst for many bankers. Seminar participants gain confidence and a clear understanding of the regulatory, compliance, and overall documentation requirements for opening business accounts. With over 50 years of experience, Suzie Jones has a reputation for empowering new account representatives with the skills and tools to protect their organization while, at the same time, focusing on providing quality customer service. 

Opening New Accounts Part 3: Fiduciary, Trust...

Upcoming
  • Fri, November 03, 2023
  • Presented by Suzie Jones
Suzie Jones
$279.00

Opening New Accounts Part 3: Fiduciary, Trust, Minor, and Court Ordered Accounts

Upcoming
  • Fri, November 03, 2023
  • Presented by Suzie Jones

BSA, Compliance, CRA Compliance, Customer Service, Deposit, Deposit Accounts, Deposit Compliance, Fraud, General Compliance, Risk Management/Legal, Teller, Transaction Compliance, Trusts

An individual identifying themselves as a "fiduciary" wanting to open an account on behalf of the estate of a deceased individual, minor child, incapacitated individual, or formal trust can create much angst, mainly because the funds' owner is often absent. This two-hour webinar answers critical questions and concerns regarding documentation and compliance regulations when opening accounts for trustees, personal representatives, and fiduciaries. 

Adverse Action Notices

Upcoming
  • Tue, November 07, 2023
  • Presented by Molly Stull
Molly Stull
$279.00

Adverse Action Notices

Upcoming
  • Tue, November 07, 2023
  • Presented by Molly Stull

Auditing, Commercial/Business Lending, Compliance, General Compliance, Lending, Lending Compliance, Mortgage Lending

Regulation B and the Fair Credit Reporting Act requirements for adverse action notification in mortgage lending can be very confusing. Knowing how to properly handle loan applications that are denied, incomplete or eligible for a counteroffer is essential knowledge!

Compliance Management System (CMS) Essentials

Upcoming
  • Tue, November 14, 2023
  • Presented by Kimberly Boatwright
Kimberly Boatwright
$279.00

Compliance Management System (CMS) Essentials

Upcoming
  • Tue, November 14, 2023
  • Presented by Kimberly Boatwright

Compliance, CRA Compliance, Deposit Compliance, General Compliance, Lending Compliance, Risk Management/Legal

Today’s financial institutions must have sound Compliance Management Systems (CMS). From making sure everyone is following policies and procedures to training staff to tracking, understanding, and implementing new regulations and predicting the impact of proposed rules, it’s a never-ending exercise in organization and education. That’s why federal regulators require financial institutions to have a CMS. While each agency has its own definition of a CMS, it all boils down to one simple concept: how a financial institution manages consumer compliance risk.

BSA/AML: Marijuana & Hemp

Upcoming
  • Tue, November 21, 2023
  • Presented by Kevin Edwards
Kevin Edwards
$279.00

BSA/AML: Marijuana & Hemp

Upcoming
  • Tue, November 21, 2023
  • Presented by Kevin Edwards

BSA, Commercial/Business Lending, Compliance, Deposit Accounts, Deposit Compliance, General Compliance, Lending Compliance, Mortgage Lending, Risk Management/Legal

Banking marijuana-related and/or hemp-related businesses is becoming more and more common place. Avoid getting into hot water with examiners by ensuring you are up to speed on all the BSA/AML considerations and implications.

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