Compliance Summit '09 Agenda
CRCM Credits: We are pleased to announce that the Institute of Certified Bankers has approved 15.5 CRCM Credits for the ’09 Compliance Summit!
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Day 1 Theme:
Key Risks to Focus on in 2009 |
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Thursday, January 29, 2009 |
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| TIMES |
TOPIC |
SPEAKER |
8:00am-
9:00am
(60 min) |
State of the Union: Key Enforcement Actions, Examination Trends, Forecast for 2009 & the Five Best Practices that deliver Results. |
Sai Huda, CRCM, CEO, Compliance Coach |
9:00am-
9:15am |
Coffee Break |
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9:15am-
10:45am
(90 min) |
What Risk Issues are the Examiners finding, What will they focus on in 2009? Find out directly from the banking agencies:
- What the examiners are finding
- Key risk issues bankers are getting caught by surprise with
- Compliance and safety and soundness issues
- The 2009 Focus: BSA/AML, Consumer Compliance, Fair Lending & Other High Risk Issues
- Case studies of How To, How Not To
- Recommended Best Practices
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Tracy Basinger, VP, Banking Supervision, Federal Reserve
Christy Cornell-
Pape, Case Manager, FDIC
Rick Freer, Senior Examiner, OCC |
10:45am-
11:00am |
Coffee Break |
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11:00am-
12:00pm
(60 min) |
FACT Act Identity Theft Red Flags Examination Procedures: Are you sure you are in compliance?
- What are Examiners finding out?
- Non-compliance Risks
- How to avoid a Cease & Desist order or Plaintiff Lawsuit
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Don Saxinger, Senior Examiner, FDIC |
12:00pm-
1:00pm |
Lunch |
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1:00pm-
2:30pm
(90 min) |
New Regulation Z & RESPA Rules
- New TILA / Regulation Z Rules – Key requirements
- New RESPA GFE/HUD-1 Rules – Key requirements
- Which provisions become effective in 2009, 2010
- Pitfalls to avoid
- Non-compliance risks
- What are the compliance best practices
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Jon Jaffe, Esq., Partner,
K & L Gates |
2:30-
2:45pm |
Coffee Break |
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2:45pm-
3:45pm
(60 min) |
Safety & Soundness Compliance: How to Manage The Non-Traditional High Risk Compliance Risk Issues in the new Business Environment
- What are Unsafe & Unsound Practices
- What every Compliance Officer must know about Non-Traditional Compliance Risk Issues: Insider Lending, Credit, Internet Banking and Securities Compliance
- How to integrate Non-Traditional Compliance Risks effectively into your Compliance Program
- Proven Best Practices, Examples of How to, How not To
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Jim Bedsole, CRCM, Chief Risk Officer, Tidelands Bank |
3:45pm-
4:00pm |
Coffee Break |
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4:00pm-
5:00pm
(60 min) |
Peer Group Roundtables:
- BSA/AML
- Fair Lending
- Red Flags Rule
- Other Compliance Issues
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Moderated by CRCMs |
5:00pm-
6:00pm |
Reception |
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Day 2 Theme:
How To - Best Practices to Mitigate Risks |
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Friday, January 30, 2009 |
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| TIMES |
TOPIC |
SPEAKER |
8:30am-
10:00am
(90 min) |
How to transform your compliance program into a Results Producing, Revenue Enhancement Program:
- BASEL Principles
- Reputation Risk, Managing the Linkage
- Compliance Program Best Practices
- Linking to Business Units & Objectives
- How to communicate effectively with the board
- How to Measure & Sell Your Compliance Function's Value Proposition
- How to partner with Regulators
Dazzle your CEO, impress your board, take your career to the next level. |
Jon Elvin, SVP, BSA/AML Officer, PNC Bank
Peg Meagher, SVP, Chief Compliance Officer, Bank of Hawaii
Susan deFreese, SVP, Chief Compliance Officer, Old Southern Bank |
10:00am-
10:15am |
Coffee Break |
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10:15am-
11:45am
(90 min) |
Risk Assessments: Latest Best Practices, What you must know in order to pass your next exam and take your Program to the next level:
- Latest Techniques & Methodologies that deliver results
- Examples of How to, How not To
- BSA/AML Risk Assessments
- Fair Lending Risk Assessments
- Overall Compliance Risk Assessments
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Ed Bade, SVP, Compliance, Northern Trust
Ferol Hettick, SVP, Compliance, Trustmark National Bank
Paul Osborne, Partner, Crowe Horwath |
11:45am-
1:00pm |
Lunch |
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1:00pm-
2:00pm
(60 min) |
How to Manage Legal Risk: What are plaintiff attorneys focusing on in 2009, the risk issues you must avoid?
- Round-up of the most dangerous new State Laws
- Data breach laws
- TILA and Regulation Z
- UDAP
- FCRA / FACT Act
- Risk Management Best Practices
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Mitch Lucas, Esq., Managing Attorney, Harland |
2:00pm-
2:15pm |
Coffee Break |
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2:15pm-
3:15pm
(60 min) |
Vendors & Third Party Business Partners: Weakest Link?
- Why it is an increasingly growing threat for financial institutions
- Regulatory requirements & expectations
- Latest cases: How not To
- How to perform an effective Risk Assessment & Mitigate Assignee Liabilities
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Pam Perdue, CRCM, VP, Compliance Coach |
| 3:15pm |
Conference Adjournment |
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