Regulation E Series:
Auditing for Regulation E Compliance

Wednesday, November 8, 2017

12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

As the financial industry becomes more centered around electronic services, errors can easily happen. Regulation E has clear requirements for error resolution. In addition, many services touch on Reg E for other reasons (opt-out for some services, additional disclosure requirements, etc.). This session is designed to assist compliance officers and auditors in conducting a thorough review of your institution’s policies, procedures, disclosures, and error resolution to ensure full compliance with all Reg E requirements. Sample checklists and an audit report format will be provided.

Special Note Regarding Prepaid Card Changes: Open-loop reloadable gift cards fall under the new requirements, effective April 1, 2018. This program will briefly address some pre-audit considerations, especially related to error resolution.

Continuing Education: Attendance verification for CE credits upon request


  • Types of transactions and services that are considered electronic that fall under Regulation E's requirements
  • How to audit for issuance of access devices, initial and subsequent disclosures, overdraft programs, and more
  • Special segment on auditing the most important area of Reg E – error resolution
    • How audit procedures can mitigate accountholder and institution risk
  • Prepaid cards – pre-audit work to ensure you are prepared for the April 1, 2018, changes, particularly regarding error resolution

    • Sample audit request memo, checklists, and a sample audit report format
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

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This informative session is designed for compliance officers, auditors, and anyone responsible for error-resolution requirements.

PLEASE NOTE: Program content is subject to copyright and intended for your individual financial institution’s use only.