2003 Regulatory Compliance Schools

Regulatory Compliance School:
Introduction Topics & Objectives

Regulatory Compliance School: Introduction: This is a comprehensive school which provides overall compliance training in a focused environment. RegTraC – CUNA’s Regulatory Compliance Training and Certification Program is the basis for this school. Optional testing is offered for each module for those interested in receiving their RegTraC Certification. Study sessions will be offered each day to help you prepare for testing.

Successful Compliance Program Management (offered as part of Seminar and is optional for Regulatory Compliance Introduction at no extra charge)

  • Implementing a Compliance Program
  • Compliance Resources & Tools
  • Staff Training Made Fun

Mortgage Lending Regulations

  • Real Estate Settlement Procedures Act
  • Reg C – Home Mortgage Disclosure Act
  • Fair Housing Act
  • Flood Disaster Protection Act
  • Homeowner’s Protection Act
  • Secondary Market Guidelines

NCUA Requirements and Guidance

  • NCUA Overview
  • Share Insurance
  • Management Issues
  • Field of Membership
  • Supervisory/Audit Committees
  • Investment Rules
  • CUSOs

Consumer Lending Regulations

  • Reg Z – Truth in Lending
  • Reg B – Equal Credit Opportunity
  • Reg M – Consumer Leasing
  • Soldiers’ and Sailors’ Civil Relief Act
  • Fair Credit Reporting Act
  • Fair Debt Collection Practices Act
  • Business Lending Regulations
  • Reg U Margis Stocks
  • NCUA Lending Regulations

Deposit Account Regulations

  • Truth in Savings-NCUA Part 707
  • Reg D – Reserve Requirements
  • Reg E – Electronic Funds Transfer
  • Reg CC – Availability of funds and Collection of Checks
  • UCC Articles 3 & 4 – Law of Checking Accounts
  • Reg J and UCC Article 4A

General Operations Regulations

  • Bank Bribery Act
  • Right to Financial Privacy Act
  • Bank Secrecy Act
  • IRS Information Reporting and Withholding Requirements
  • Privacy Regulations
  • Office of Foreign Assets Control (OFAC)
  • Esign

Regulatory Compliance School:Update
Topics & Objectives

Regulatory Compliance School: Update:
The Regulatory Compliance Update program will focus on new and revised regulations, take a close look at current compliance issues, and advise you of any pending compliance deadlines. On Friday afternoon, a mock trial will be held using the audience (you!) as the jury to show the potential affect of noncompliance. On Monday and Wednesday afternoon take a practical look at solutions to your current compliance challenges.

RegTraC Recertification
Beginning in 2003, a study session and exam time will be part of the Regulatory Compliance Schools Update session. An instructor led study session will be held one afternoon to review the major regulatory changes with testing available that evening.

Successful Compliance Program Management (offered as part of Seminar and is optional for Regulatory Compliance Update at no extra charge)

  • Implementing a Compliance Program
  • Compliance Resources & Tools
  • Staff Training Made Fun

Lending Issues

  • Update on current regulatory changes
  • Discussion on upcoming compliance deadlines
  • Advertising and Marketing issues
  • Disclosure Requirements

Case Studies

  • Get a practical look at how the current changes in lending requirements will affect your credit union’s operations

Current Compliance Challenges!

  • A look at current and upcoming issues
  • Discuss your compliance challenges with your peers

Deposit Account Issues

  • Update on current regulatory changes
  • Discussion of upcoming compliance deadlines

Operational Issues

  • Update on current regulatory changes
  • Discussion of upcoming compliance deadlines

The Rest of the Story

  • Get a legislative update from the Hill
  • The importance of making your comments on pending legislation known

Case History of Mock Trial




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