Regulatory / Compliance Webinars

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25 Errors on Beneficial Ownership
Webinar | 1 1/2 hours

Overview:
New rules on beneficial ownership are in effect. Now what? You have front line staff and officers making mistakes on the form on the documentation. What are the common errors? How do we prevent them? What are the regulator expectations? This program is designed to straighten out the good, the bad and the ugly with beneficial ownership certification and CIP.

Program highlights:
25 Common Errors
Changes... Details
Alert! CTR Changes on Businesses
Webinar | 1 1/2 Hours

FinCEN ruling FIN-2020-R001, effective April 6, 2020 (September 1, 2020 for e-filing batch filers), makes significant changes in CTR filing requirements for transactions involving sole proprietorships and legal entities operating under a "doing business as" (DBA) name. FinCEN states that the changes are being made "to both enhance regulatory efficiency and provide complete and accurate CTR data to law enforcement." The new ruling rescinds and... Details
Alert! Deposit Compliance Update 2020
Webinar | 1 1/2 Hours

Alert! Deposit Compliance Update 2020
Including the SECURE Act on IRAs

Change is in the air! Are you ready? We kick off 2020 with many changes to IRAs under the SECURE Act. We also have interest reporting rules finalized which will change your Nonresident alien interest reporting. There will be a change on beneficial ownership as we watch the Illicit Cash Act leave the house and move to the Senate. We may see the eventual... Details
Alert! Deposit Regulation Update
Webinar | 1 1/2 Hours

Where are we in the second quarter? The second quarter update is for the busy deposit specialist who needs updated on all the changes in one sitting. This two-hour alert will help you run the deposit compliance and operations side of your financial institution.

Highlights:
• Changes on Reg D,
• Upcoming Changes on Regulation CC
• FFIEC BSA Exam Manual Changes
• Changes on CTRs—delayed but still worth looking... Details
Alert! IRA Law Changes with SECURE Act
Overview:

On Dec. 20, the President signed the Setting Every Community Up for Retirement Enhancement Act (SECURE Act), it has many changes to retirement plans and this one-hour update will cover the Individual Retirement Changes! The age of 70 ½ has now been changed to 72 for distributions for Traditional IRAs. The age 70 ½ is repealed for contributions. The inherited IRA has been changed from the “stretch” of a beneficiary’s life expectancy to 10 years. This IRA... Details
Business Account Mapping: New CDD Rules in a Multi-Tiered Business Environment
Webinar | 1 1/2 Hours | 2.0 CE Credits

Learn how to open multi-tiered business accounts. Complex business structures with multiple business entities owners present unique challenges in light of new Customer Due Diligence (CDD) rules. We will diagram and map out several complicated business structures and learn how to get the proper documentation, resolutions and beneficial ownership in these unique entities.

Webinar Highlights:
• Case Study #1 An... Details
Customer Due Diligence Update
Webinar | 1 Hour

New FAQs on obtaining customer information

The Financial Crimes Enforcement Network (FinCEN), in consultation with the federal functional regulators, issued three frequently asked questions (FAQs) regarding customer due diligence requirements for covered financial institutions. These FAQs clarify the regulatory requirements related to obtaining customer information, establishing a customer risk profile, and performing ongoing monitoring of... Details
Diversity Self-Assessments: Understanding Your Requirements Under Dodd Frank Section 342
Webinar | 1 Hour | CE Credits: 1.25
 
Dodd-Frank's Section 342 mandated the creation of the Office of Minority and Women Inclusion (OMWI). This office is tasked with developing the standards for diverse policies and practices applied to financial institutions regulated by the federal banking agencies. The goal of the standards is to "promote transparency and awareness of diversity policies and practices."  An Interagency Policy Statement, effective June 10, ... Details
Do's and Don'ts on Power of Attorney Documents

Webinar | 1 1/2 hours | 2.0 Credits

Today, someone you have never met walks in with a power of attorney and demands to be added to your customer's accounts—a customer with hundreds of thousands of dollars with your bank. Your customer is elderly and has no children. Immediately, your mind jumps to thoughts of fraud and protecting your customer as you scramble to figure out what to do. This is when well written and thought out power of attorney procedures for your ... Details
Staff Deposit Regulatory Training - Meeting Annual Requirements and More!
Webinar | 1 1/2 hours

Is your frontline a compliance asset or liability? Let’s make them a compliance asset. This regulatory review completes your financial institution's annual training requirements. It also helps the front line understand that we can be fined and sued if we do not follow our regulatory responsibility. During the webinar, each regulation will be discussed spotlighting the frontline issues and how to handle them. This webinar will help your staff... Details