Essential Compliance Regulations for the Frontline

Registration Options and Pricing

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Tuesday, August 16, 2016

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

From accurate, timely disclosures, to placing holds on funds, to identifying and reporting suspicious activity, compliance requirements affect every frontline transaction. Is your staff prepared and knowledgeable? How well will they meet examiners’ expectations?

This session will cover key guidelines and requirements for frontline personnel and provide specific tools to ensure compliance with important consumer regulations. Join us to learn about different account transactions and the specific regulations related to each.

Continuing Education: Attendance verification for CE credits upon request


  • BSA and identity theft prevention
    • Recognizing red flags and reporting suspicious activity
    • Transactions triggering a CTR and common errors
  • Regulation D – its effect on various account types
  • Regulation E – important issues on error resolution and how to handle stop payments
  • Regulation P – privacy issues for consumers
  • Discrimination – best practices to avoid lending discrimination during initial conversations with prospective borrowers
  • UDAAP – fair treatment in account recommendations, fee waivers, and consumer complaints
  • Truth in Savings – when and how to provide disclosures
  • Regulation CC – cheat sheet for placing holds and common errors

    • Workflows of sample transactions and the compliance regulations involved at each step
    • Sample suspicious activity incident report
    • Regulation D reference sheet
    • Regulation CC hold chart
    • Consumer complaint log
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for frontline staff, new accounts personnel, and branch management.

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