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Top Compliance Mistakes - Operations
Presented by: Mary Beth Guard
and
John Burnett
June 29, 2005
11:30AM-1:30PM PT
12:30PM-2:30PM MT
1:30PM-3:30PM CT
2:30PM-4:30PM ET
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Materials
(only available to registered users) |
You'll remember hearing that it's better to learn from someone else's mistakes than from your own. When it comes to regulatory compliance, that adage couldn't be truer!
Join Mary Beth and John as they review key Operations compliance errors that have caused bankers like you no end of grief and aggravation. They draw on years of experience, regulator contacts, thousands of Bankers' Threads postings and hundreds of calls and emails to compile their list of many of the most troublesome yet common errors committed by your peers who are learning from their own mistakes.
In their review of compliance errors, Mary Beth and John will help you understand –
- Where to look for compliance errors
- The laws or regulations that are violated by these errors
- How to monitor operations to avoid future mistakes
- The costs of letting your errors go undiscovered – until it's too late
- Why you should try to avoid even the "small potatoes" violations
- How misunderstanding even simple definitions can get you in hot water
- Steps you can take to avoid repeating others' errors
This Webinar focuses on Compliance errors in banks' Deposit Operations. Andy Zavoina will join Mary Beth in our July 27 session addressing the Most Common Violations in banks' Lending areas.
"It's always helpful to learn from your mistakes because then your mistakes seem worthwhile."
Garry Marshall, 'Wake Me When It's Funny'
"It’s always more helpful to learn from other people’s mistakes because other people’s mistakes aren’t as painful as your own."
Mary Beth Guard
About the speakers: Mary Beth Guard
Mary Beth Guard has been teaching financial privacy to bankers since the early 1990s and has authored more than a hundred articles on private-related subjects. In addition, she has created privacy cheat sheets and matrices used by thousands of bankers nationwide. Currently serving as Executive Editor of BankersOnline.com, Mary Beth has had a long and distinguished career, focusing on the banking industry since 1984. Previously, Mary Beth served as EVP/General Counsel and COO for the Oklahoma Bankers Association and General Counsel for the Oklahoma State Banking Department.
John Burnett
John Burnett is a 1979 alumnus of the ABA National Compliance School, and has served on its faculty for several years. He graduated with honors with the Class of 1990 from ABA’s Stonier Graduate School of Banking. He is also a graduate of the BAI’s and the Massachusetts Banker Association’s Schools of Banking.
He joined Cape Cod Bank and Trust Company in 1971 and assumed his role as Compliance Officer in 1976. He also served as corporate secretary and secretary of CCBT’s Board of Directors, as well as Clerk of the bank’s holding company. After leaving the bank in 2004, John joined Glia Group, Inc. and became a part of the BOL Team in June, 2004.
Mr. Burnett is a member and former chair of the Massachusetts Bankers Association Legal and Regulatory Compliance Committee, and a former member of the American Bankers Association Compliance Executive Committee and NCS/NGCS Advisory Board. He served on ABA’s Truth in Savings Task Force, and has served on several ABA and Massachusetts Bankers seminar panels.
CPE Credit:
This program is recommended for 2 CPE credits. CPE credit is only granted to registered users. You can contact Carin Eisenhauer for a certificate of completion.
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.
Refund Policy: All registration changes or cancellations are subject to a $20 processing fee. Registration cancellation requests made in writing (email is acceptable) at least 10 days prior to the event will receive a full refund minus the $20 processing fee. For cancellation requests made less than 10 days prior to the event, registrants may elect to receive an ARCHIVED On-Demand view of the event or a credit toward a future event.
If there is a complaint regarding the program, participants should contact Carin Eisenhauer, BankersOnline.com. at 405-348-0269 or email carin@bankersonline.com
Bankers Online Learning Connect is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Nashville, TN, 37219-2417. Web site: www.nasba.org
Prerequisites: None.
Contact Information: Billing questions can be directed to Carin Eisenhauer, carin@bankersonline.com. All other questions may be directed to mpetry@bankersonline.com
TEST YOUR SYSTEM: Click below to test receiving the presentation using Windows Media Player.
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