What are the Most Common Compliance Violations? How to Avoid Them
This is the opportunity to learn from others' mistakes. Unlike many compliance seminars and webinars that focus on a few topics, this one looks at where compliance officers and bankers typically go wrong. The regulators occasionally publish lists of violations they typically see, and we'll discuss these in detail.
In addition, over the years clear patterns have developed of where things go wrong, whether it be because examiners look for certain things, or perhaps the rules aren't written as clear as they should be (although this never happens, right?)
We will discuss both what the common problems are and discuss recommendations on how to fix problems that have already arisen. We will also present several ideas to avoid committing these violations in the first place. In addition, some newer requirements in compliance and how to avoid errors will also be discussed.What You Will Learn:
- Reg. Z and RESPA problems - timing of disclosures, tolerance issues, and many others
- Disclosure issues under the GFE and HUD-1 forms
- Rescission, and advertising rules
- Reg. O - lending to your insiders: an easy rule to violate
- Reg. B/ECOA - probably the last rule you'd want to violate
- Additional problematic fair lending issues
- Reg. E error resolution
- BSA - many areas to trip up the careful banker, including AML and CIP rules
- HMDA reporting issues, including common data integrity problems
- FCRA landmines
- Flood insurance: one of the regulators' favorite topics
- And much more
Plus frequent question and answer sessions throughout this presentation.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.
|Licenses / Designations / Educational Credits:||CRCM - Institute of Certified Bankers|
All US States: 2.5
All Canadian Provinces: 2.5
|About The Provider:
||Since 1983 Total Training Solutions has produced dozens of videotapes, CD-Roms, DVD's and web-based training modules. In addition to off-the-shelf products, Total Training Solutions also develops custom training products and consults with financial institutions to develop their own training curriculum.
For timely delivery of training topics, webinars or web conferencing is an unbeatable option. We now offer over 100 live programs per year and you can even purchase the recorded or ondemand session if you are unable to attend the live program.
We have worked exclusively with the financial industry since our founding. Because of this, we understand the needs of training departments in financial institutions and are alert to changes which affect the industry.
Attend the live session with the opportunity to ask questions to the presenter. You also receive a link to the handouts. All registrations for a live event will be given access to the OnDemand recording, at no additional cost, for seven days following the event. This will allow a flexible alternative when last minute conflicts intrude on scheduled events.
CD-Rom includes audio and video of recorded webinar plus hard copy handouts. You will also receive 6 months access to the OnDemand weblink as an added free bonus.
Includes a weblink for unlimited viewing for 6 months after the date of the webinar as well as a link to handouts.
Live + Recorded:
Includes all three options above. Live session, OnDemand Weblink, and CD-Rom plus Hardcopy Handouts.
Live + OnDemand:
Includes two of the options above. Live session and 6 months access to OnDemand Weblink plus link to handouts.
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