Regulation O Review

This session highlights the requirements of Regulation O and explains key definitions for credit extensions and other restrictions. Additional information is presented concerning the impact of the Dodd-Frank Financial Reform Act as well as the CFPB's expanded oversight and increased scrutiny for insider activity.

Covered Topics

  • Regulation O Overview & Definitions
  • Impact of Dodd-Frank Reform Act
  • Increased Regulatory Scrutiny
  • Regulatory Authority and Enforcement Actions
  • Fraud and Insider Abuse
  • Warning Signs
  • Prohibitions and Restrictions
  • Overdraft and Payment Restrictions
  • Lending Limits
  • Reporting Requirements
  • Recordkeeping Requirements
  • Risks
  • Prevention & Detection
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   Non-bank or < 499M - $125 per month   
   $500M - 999M - $250 per month   
   $1 - 5B - $425 per month   
   $5 - 10B - $600 per month   
   > 10B - $850 per month