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Regulation W - Transactions With Affiliates

Presented by:
Jack Holzknecht
April 14, 2005
        11:30AM-1:30PM PDT
        12:30PM-2:30PM MDT
        1:30PM-3:30PM CDT
        2:30PM-4:30PM EDT

Materials (only available to registered users)

WHAT?
Most financial institutions have one or more affiliates and both the number of affiliates and the complexity of the relationships between the affiliates are increasing over time. Regulation W was published in 2003. It implements long standing provisions of Sections 23A and 23B of the Federal Reserve Act that regulate transactions with affiliates. This two-hour program explains the basic requirements of Regulation W.

WHY?
Transactions subject to Regulation W are subject to quantitative limits, collateral requirements and various other requirements. A transaction must be identified early enough to assure that it is structured to assure compliance. Failure to comply can lead to penalties. Transactions may have to be undone or restructured to assure compliance with the regulation. Participants receive a detailed manual that serves as a handbook long after the program is completed

PROGRAM CONTENT
This two-hour webinar reviews the requirements of Regulation W including:
  • Who is and who is not an "Affiliate;"
  • What transactions are covered by and what transactions are exempt from Regulation W;
  • What are the limits on affiliate transactions; and
  • What other requirements apply to affiliate transactions.
WHO?
The program is designed for loan department management, compliance officers, and auditors. Whether you are new to the requirements of Regulation W or a seasoned veteran, this program provides the basic tools needed to understand and comply with Regulation W.

About the speaker:  Jack Holzknecht
Jack Holzknecht is a principal with Pegasus Educational Services, LLC, a training firm headquartered in Louisville, Kentucky. He is an experienced consultant who has provided training to thousands of bankers and examiners for 22 years. He has the ability to identify the key compliance issues from each regulation. Jack's career began in 1976 as a federal bank examiner. He later headed the form and software and education divisions of a regional consulting company. In that capacity he developed loan and deposit form systems and software. He also developed and presented training programs that were delivered to bankers in 43 states. Jack has been an instructor at compliance schools presented by the Georgia, Iowa, Kentucky, Pennsylvania, Nebraska, New York and Texas bankers associations. He developed and delivered compliance training for the FDIC and OTS for ten years. He is a Certified Regulatory Compliance Manager and a member of the National Speakers Association. He is also a "BOL Guru" and frequently answers compliance questions sent to "Bankers' Threads."

About the seminar:
Each registration comes with ONE access to LIVE event and 30 days of unlimited access to the ARCHIVE event. If you wish to have multiple locations participate you must have one registration per location. If the complete broadcast is received via the computer the AUDIO and VIDEO COMPONENTS can be connected to a A/V projector to allow multiple participants to view the conference. If the audio portion of the broadcast is received via the telephone the AUDIO portion can be placed on speaker phone to allow multiple participants. Interactive components delivered via Web include slides, online polls and Interactive Q&A via chat.

You may view the ARCHIVED Presentation of this training event as many times as you wish throughout the next 30 days. This will enable you to participate in the LIVE event as well as train additional staff from the ARCHIVED event.

Handouts will be provided and we welcome questions during and after the seminar, as well as in advance. Questions received after the seminar will be posted on a special Web page for later viewing by seminar attendees.

Contact Information: Billing questions can be directed to Carin Eisenhauer, carin@bankersonline.com. All other questions may be directed to mpetry@bankersonline.com

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