Navigating the Regulatory Environment

This session highlights regulatory expectations for the Board of Directors; outlines seven requirements for board members to fulfill obligations, explains the elements and importance of an effective compliance management system, and offers "take away" lessons from recent enforcement actions by the prudential bank regulators.

Covered Topics

  • Director’s Responsibilities by Agency
    • OCC
    • FDIC
    • CFPB
    • Federal Reserve
  • The Risk Assessment Process
  • Complaints - What & Why
  • What Should Financial Institutions Do?
  • The Dodd-Frank Act Impact on UDAP
  • Lessons Learned from Enforcement Actions
  • Five Steps to Manage UDAAP Risk
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   $500M - 999M - $250 per month   
   $1 - 5B - $425 per month   
   $5 - 10B - $600 per month   
   > 10B - $850 per month