Course Details

What are the Most Common Compliance Violations? How to Avoid Them

Webinar: ID# 1000698
About This Course:
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
  • Privacy
  • 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.

Course Details
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