Mandatory Compliance Series: Compliance Rules the Board & Senior Management Must Know

Date: January 31, 2013
Time: 2:00 PM- 3:30 PM CST
Registration Options:
Live Webinar- $200
The LIVE WEBINAR option allows you to have one telephone connection for the audio portion and one Internet connection (from a single computer terminal) to view online visuals as the presentation is delivered.  You may have as many people as you like listen from your office speaker phone.  Registrants receive a toll-free number and pass code that will allow entrance to the seminar. The session will be approximately 90 minutes, including question and answer sessions.  Seminar materials, including instructions, pin number, and handouts will be emailed to you prior to the broadcast.  You will need the most current version of Adobe Reader available free at www.adobe.com.

On Demand Web Link & CD- $200
Can’t attend the live webinar?  The ON-DEMAND WEB LINK is a recording of the live event including audio, visuals, and handouts.  We even provide the presenter’s email address so you may ask follow-up questions.  Approximately 1 week prior to the webinar, you will receive an email with the web link.  This web link can be viewed anytime 24/7, beginning 6 business days AFTER the webinar and will expire 6 months after the live program date.  But there's more . . . AS AN ADDED BONUS, you will also receive a FREE audio/visual CD ROM.*  The CD ROM includes the original audio/visual presentation, the question and answer sessions, and the handouts.  Use the on-demand link or this “off-the-shelf” training program for those that could not attend the live seminar and for future training.

Live Webinar & On-Demand Web Link (INCLUDES FREE CD-ROM)- $250
Includes options 1 and 2 above

Special Registration Option for member credit unions under $20 million-$169
On-demand link only (does not include CD or live webinar)

About:
Do you have a compliance examination looming on the horizon or have you just undergone the process?  Recent enforcement actions prove that an effective compliance program begins at the top.  A compliance exam report for an institution that did not fare well stated at least a dozen times, “This violation is attributed to inadequate Board and Senior Management oversight, policies, and monitoring procedures.”

Board and management training is key to establishing and maintaining a strong compliance program.  It is extremely important for directors to understand the various areas of compliance that require their annual review and approval.  This session will provide a list of those areas, with a focus on risk-based compliance management.  The high-risk areas will be covered in lay terms, with the board in mind (presenting the information most important to the board).  Compliance issues considered high-risk for financial institutions of all sizes and locales will be included.  Understand your responsibilities and liabilities before the examiner is at the door!  

     HIGHLIGHTS
     > The board’s responsibilities for your Bank Secrecy Act program
     > Fair lending issues – a VERY hot button
     > Regulation O – insider lending
     > Red flags for identity theft
     > Member privacy issues
     > A checklist of regulations will be provided so directors and management have a useful tool to assist with ongoing training requirements
     > Preparing the board to respond to regulators after the exam

     IMPORTANT TOOLS PROVIDED
     > This training will include the following items so that you are able to provide solid documentation for examiners:
     > Letter of attendance certification with webinar outline
     > Electronic training log
     > Quiz you can administer to measure staff learning and a password-protected answer key

Note: All registrants will receive the attendance certification and training log, regardless of whether they attend the live or archived version.

*To register for this webinar, click here.

For more information, please contact Carrie Buchholz at:
(P) 405.702.8622 ext. 215
(E) carrie@cuaok.org