What You’ll Learn
Who Should Attend
This webinar is designed for deposit operations, deposit compliance, new accounts, bookkeeping, IRS reporting specialists and any person who opens accounts or reports interest to the IRS.
Your job as a withholding agent has never been so important! The W-9 and W-8BENs forms emphasize your vital role in the tax reporting chain that affects this country and accounts for U.S. persons overseas. In this webinar, we’ll go in-depth on these forms to elevate your understanding. We’ll also answer common questions, such as What is a nonresident alien? and What if there is no country address? You’ll also come away with a basic understanding of FATCA and how it impacts your institution.
This webinar is designed for deposit operations, deposit compliance, new accounts, bookkeeping, IRS reporting specialists and any person who opens accounts or reports interest to the IRS.
Keeping up with changes and deadlines in the compliance area gets more complex every year. Now, we can assist you with that task. This series includes bi-monthly (6), two-hour webinars focused on the most recent changes to the compliance landscape.
Carl Pry, a well-known and highly respected compliance expert and recipient of the 2015 ABA Distinguished Service Award will be presenting a bi-monthly update that will address new items to be aware of, deadlines, and what’s on the horizon. In a simple language webinar format that you can view from your office, Carl will make sure you have the information you need to keep your financial institution in compliance.
Attendees love the handouts that Carl provides, including links to all relevant source documents and resources.
Covered Topics Coming Soon
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.
Opening new accounts is complicated! With fraudulent activity at an all-time high and ongoing onerous regulatory oversight and scrutiny, the need for new account training is paramount to maintaining diligence as well as updating processes and procedures. This two-hour workshop, which is Part I of a three-part series, focuses on the risks, procedures, best practices, and compliance requirements for opening personal and consumer accounts. Attendees will gain an understanding of proper documentation requirements, ownership options, proper account titling, and who has the authority to open and transact on the account during the lifetime and at the death of a signer. Part II of this three-part series encompasses business accounts, and Part III addresses trust and fiduciary accounts.
It is highly recommended that attendees have a copy of their financial institution’s account agreement and signature card to use as a reference during the session.
Customer contact personnel, supervisors, and officers whose responsibilities include opening or managing new accounts, as well as Personal Bankers, BSA Officers, Deposit Operations, Branch Administration, CIP Managers, Training and Business Development Officers, Internal Auditors, and Compliance Officers will find the information beneficial. Lending assistants and officers will find the information informative as well.
Opening business accounts can create angst! Sole Proprietorships owned by a married couple, LLCs, LLPs, General Partnerships, Limited Partnerships, Corporations, escrow accounts, and political organizations — why are there so many different types of business entities? What is the securest way to determine who has the authority to transact on behalf of a business entity — especially when owned by another entity? Verifying if a business entity is legitimate and who has the authority to transact business on behalf of that entity can be challenging. When can a business use the owner’s SSN vs. an EIN? When does a bank need a partnership agreement, bylaws, or operating agreement? FinCen requirements will be addressed. In this two-hour comprehensive webinar, participants gain confidence and a clear understanding of the regulatory, compliance, documentation, and proper TIN requirements for opening business accounts. This session is not state law-specific.
It is highly recommended that attendees have a copy of the financial institution’s account agreement, signature card, and resolutions to reference during the session. To customize the course to state law, the financial institution may want to access the Secretary of State’s website to review documentation requirements on forming business structures in that state.
Customer contact personnel, supervisors, and officers whose responsibilities include opening or managing new accounts, as well as Personal Bankers, BSA Officers, Deposit Operations, Branch Administration, CIP Managers, Training and Business Development Officers, Internal Auditors and Compliance Officers will find the information beneficial. Lending assistants and officers will find the information informative, and at least 85% of this information also impacts the lending area.
Is your board up for the task? The board is required to regularly review and ensure adherence to BSA policies and procedures. Join veteran compliance attorney and recovering BSA officer David Reed as he cuts through the regulatory double speak and guides you through the law, program requirements, and essential elements of the board’s BSA responsibilities. This session will meet or exceed the annual BSA training requirements and provide a great overview of the evolving BSA responsibilities faced daily.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
WEBINAR DETAILS
Federal regulations require every financial institution to have a written, board-approved program designed to ensure and monitor Bank Secrecy Act compliance. Increasing regulatory scrutiny on the board’s involvement in your BSA program is refocusing attention on this critical security area. Today’s boards are faced with increasing pressure to stay informed on the complex regulatory, security, and business realities of the financial services marketplace. Financial institutions are on the frontlines in the battle against criminal and terrorist financing and the board has the ultimate responsibility for complying with all BSA requirements. Your board needs to understand and perform the tasks necessary for BSA compliance. Attend this annual training to learn how.
WHO SHOULD ATTEND?
This informative session is designed for directors, executives, senior management, BSA officers, compliance staff, internal auditors, and anyone involved in the BSA program.
Data privacy is a worldwide issue — and it’s in our backyard! Regardless of whether your state has enacted legislation, data privacy, and data security are of paramount importance to accountholders and the reputation of your financial institution. In addition, the CFPB has begun to issue fines and penalties in this arena. Don’t miss this opportunity to get expert insight on the new data privacy requirements with this timely webinar.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
WEBINAR DETAILS
This webinar will examine the state of U.S. data privacy laws to understand the requirements for financial institutions. The patchwork of laws will be explored to understand similarities and differences between states as the foundation to devise a data privacy program in compliance with national law. International laws will also be examined for institutions with accountholders abroad so these can be incorporated into your data privacy program. If you have accountholders in any of the 14 states with laws, any of the dozen states proposing laws, or any of the 16 countries with data privacy laws, you need to attend this program to understand these new requirements.
WHO SHOULD ATTEND?
This informative session is designed for risk management, information technology, legal, operations, information security, security and fraud, compliance, marketing, privacy, and lending staff.
The popularity of remote deposit capture has grown exponentially. The flip side is that there has also been an increase in duplicate checks. Do you know how to handle these returns under various scenarios? What timeframe applies? What if it’s outside the return timeframe? Do you know which code to use? What are the compliance requirements? Join us to learn the answers to these questions and more.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
WEBINAR DETAILS
Remote deposit capture (RDC) participation has grown over the last few years leading to a corresponding increase in duplicate checks. Join us to find out when you can return a check as a duplicate, what to do when the timeframe has passed, how to respond to a duplicate claim against your institution, and what recourse you have utilizing the RDC indemnity. Together we will identify the proper return code and adjustment type to use when handling duplicate checks, examine when it is appropriate to utilize the RDC indemnity, and how to make a duplicate check claim. We will also walk through scenarios to apply what we have learned to determine the appropriate action.
WHO SHOULD ATTEND?
This informative session is designed for check exceptions/operations staff, cash/treasury management personnel, audit/compliance staff, and individuals with the NCP accreditation.
Is your board up for the task? The board is required to regularly review and ensure adherence to BSA policies and procedures. Join veteran compliance attorney and recovering BSA officer David Reed as he cuts through the regulatory double speak and guides you through the law, program requirements, and essential elements of the board’s BSA responsibilities. This session will meet or exceed the annual BSA training requirements and provide a great overview of the evolving BSA responsibilities faced daily.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
WEBINAR DETAILS
Federal regulations require every financial institution to have a written, board-approved program designed to ensure and monitor Bank Secrecy Act compliance. Increasing regulatory scrutiny on the board’s involvement in your BSA program is refocusing attention on this critical security area. Today’s boards are faced with increasing pressure to stay informed on the complex regulatory, security, and business realities of the financial services marketplace. Financial institutions are on the frontlines in the battle against criminal and terrorist financing and the board has the ultimate responsibility for complying with all BSA requirements. Your board needs to understand and perform the tasks necessary for BSA compliance. Attend this annual training to learn how.
WHO SHOULD ATTEND?
This informative session is designed for directors, executives, senior management, BSA officers, compliance staff, internal auditors, and anyone involved in the BSA program.
In this informative session, we will provide best practices for managing your unclaimed funds compliance program, including tips for dormant account due diligence. We will discuss procedures for communicating with your accountholders through multiple methods to avoid their frustration and reputational risk to your institution and provide the steps to take to ensure funds are properly escheated to your state. You will also receive tips for proactively educating your accountholders to avoid dormancy status.
In addition, you will be provided with helpful tools you can utilize to facilitate your dormant, unclaimed funds and escheatment process, including a sample policy and sample operational forms. Please note this session provide an overview of the law and general best practices for managing your institution’s dormant and escheatment processes. The material presented will not reflect any one particular state’s laws and requirements.
This informative session is designed for deposit operations staff, safe deposit box personnel, Compliance Officers, Internal Auditors, and anyone responsible for handling the dormant account and escheatment process.
For several years, Anne Lolley has shared her popular compliance checklists with bankers. In her upcoming webinar, Anne will again offer and explain those checklists. The checklists will systematically guide lenders and processors through the diverse lending compliance requirements in chronological order. Financial institutions that properly use these checklists will virtually eliminate compliance errors.
The webinar will include a supplementary booklet explaining each checklist requirement. Upon request, Anne will e-mail the individual checklists to anyone attending this webinar. The individual checklists will be formatted in Word and can easily be saved to a word processor (or bank network) and printed as needed.
Anne has also designed companion worksheets that can be used to audit consumer loans. Those worksheets will be available to webinar registrants upon request.
Lenders, loan processors, compliance officers, and loan review personnel will all benefit from these checklists.
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