1. Regulatory Compliance for Deposits

Regulatory Compliance for Deposits

Event ID: 2150528
Not for Sale
Date: Recorded on 8/7/2019
Duration: Scheduled for 90 minutes including question and answer period.
Presenter: Justin Muscolino
Credits: Live webinar approved for 1.5 NASBA credit hours (Management Services)

Regulatory Compliance for Deposits

With the increased scrutiny of examiners and regulators, it is extremely important for financial institutions to increase their oversight efforts in regards to regulatory compliance for deposit related regulations. A lack of compliance can result in increased risk exposure for financial institutions trying to protect their consumers. The negative results can not only hurt a financial institutions reputation, but also their financial results.

Regulators are focusing more than ever on ensuring that financial institutions are operating with the consumer in mind. Examinations during the past year have particularly scrutinized compliance with client-facing requirements.

You must increase oversight efforts to ensure that your institution consistently follows all deposit-related regulations. A failure to protect consumers will hurt your organization’s reputation and financial results.

It’s important more than ever to understand the impact of the regulations that impact deposits and take the necessary precautions in advance as opposed to being reactive after an issue occurs


  • What are the most critical consumer compliance regulations for deposits?
  • How can you prioritize and protect clients?
  • What steps must your institution take to comply with the following regulations?
    • Regulation D: Reserve Requirements
    • Regulation DD: Truth in Savings Act
    • Regulation CC: Funds Availability Act
    • Regulation E: Electronic Funds Transfer Act
  • How will the regulations likely evolve?

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