IRS Form 1099, 1099-NEC, and Form 1099-MISC: Advanced Issues and Updates

Regulatory and Lending Compliance Errors (OnDemand Webinar)

$219.00

SKU: 411194EAU

Description

Keep up with the shifting financial services landscape to avoid regulatory and lending compliance pitfalls.This material will provide an overview of how to manage regulatory and legal compliance for lenders and financial institutions in the field of consumer lending. The information will discuss the key expectations of regulatory agencies when examining the effectiveness of a compliance management system, with a specific focus on the subjects of Fair Lending and the Bank Secrecy ActAntiMoney Laundering obligations (BSAAML). You will be provided insight as to the identification of risks as well as the key indicators that likely will be subject to regulatory scrutiny.

Date: 2023-12-12 Start Time: End Time:

Learning Objectives

Introduction • Identifying the Duties for Compliance Management
• CFPB’s Expectations
• Federal Reserve Guidance

Components of a Compliance Management System
• Elements to Consider
• Compliance and Risk Assessment
• Oversight and Control
• Effective Management Strategies
• Reporting and Escalation

Identification and Avoidance of Risks
• Traditional Risk Categories
• Unique Risks for Financial Institutions

Areas of Special Concern
• Fair Lending
• Bank Secrecy Act/AML
• Counterparties

Financial Institution Liability for Compliance and Risk Management

David K. Stein-Taft, Stettinius & Hollister, LLP

IRS Form 1099, 1099-NEC, and Form 1099-MISC: Advanced Issues and Updates

Regulatory and Lending Compliance Errors (OnDemand Webinar)

$219.00

SKU: 410549EAU

Description

Keep up with the shifting financial services landscape to avoid regulatory and lending compliance pitfalls.This material will provide an overview of how to manage regulatory and legal compliance for lenders and financial institutions in the field of consumer lending. The information will discuss the key expectations of regulatory agencies when examining the effectiveness of a compliance management system, with a specific focus on the subjects of Fair Lending and the Bank Secrecy ActAntiMoney Laundering obligations (BSAAML). You will be provided insight as to the identification of risks as well as the key indicators that likely will be subject to regulatory scrutiny.

Date: 2023-01-09 Start Time: End Time:

Learning Objectives

Introduction • Identifying the Duties for Compliance Management
• CFPB’s Expectations
• Federal Reserve Guidance

Components of a Compliance Management System
• Elements to Consider
• Compliance and Risk Assessment
• Oversight and Control
• Effective Management Strategies
• Reporting and Escalation

Identification and Avoidance of Risks
• Traditional Risk Categories
• Unique Risks for Financial Institutions

Areas of Special Concern
• Fair Lending
• Bank Secrecy Act/AML
• Counterparties

Financial Institution Liability for Compliance and Risk Management

CLE (Please check the Detailed Credit Information page for states that have already been approved) ,Additional credit may be available upon request. Contact Lorman at 866-352-9540 for further information.

David K. Stein-Taft, Stettinius & Hollister, LLP