Regulatory Compliance Series Online Access - Day 5

Regulatory Compliance Series

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Day 2

Day 3

Day 4

Day 5
     Watch Recorded Event - Coming Soon!
     Resources
     Session Information
     Speaker

BSA/AML Compliance & Regulators' Forum

This session examines the legal and regulatory requirements that impact customer relationships and they way financial industry staff interact with consumers and customers. In depth discussion on recent changes and evolving BSA/AML developments will be discussed along with requirements for establishing and maintaining an effective and comprehensive program bank-wide.

Watch Recorded Event COMING SOON!

Day 5 Resources

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Day 5 Session Information

BSA, AML and USA Patriot Act

• Program components/pillars
• Technical requirements
• CTR requirements and exemptions
• CIP and the beneficial ownership final rule
• Customer due diligence and enhanced due diligence – the 5th Pillar
• Suspicious activity monitoring
• OFAC
• 314(a) searches and 314(b) registration and advantages
• Core and expanded examination procedures
• BSA hot topics (medical marijuana, hemp, Bitcoin, beneficial ownership)
• Recent exam findings and applying lessons learned from enforcement actions

Regulators’ Forum

Representatives of the banking regulators discuss current challenges, trends and findings, and answer participant questions.

Learning Objectives

• Establish a comprehensive BSA/AML program
• Demonstrate knowledge of the details and bank-wide impact of selected rules

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Day 5 Speaker

Brian Crow

Managing Partner & Co-President

TCA Compliance

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