2015 Compliance
February 12, 2015 at the Anaheim Marriott Suites

General information

Below is the 2015 Compliance agenda for your review. To the right (under resources) are PDFs of the presenters PowerPoint presentations. An email has been sent to the registered attendees with the password to access these documents. 

If you have any questions, please contact Corbett Cutts at (916) 438-4428. 

***2015 Agenda****.

8:00: Registration

8:20: Welcome and Introductions

8:30: Earning a Place at the Table
Lyn Farrell, Managing Director, Treliant Risk Advisors
How do compliance officers get to have a place at the executive table? We will discuss strategies to make compliance professionals gain respect and work together better with executive management.              

9:20: Financial Institutions Shed Light on “Invisible” Victims of Human Trafficking and Smuggling
Hugh Newman, Sales Engineer, Verafin
Human trafficking and smuggling are immensely profitable crimes that generate mountains of illicit proceeds. Unlike the victims of most crimes, however, neither the underage victims of human trafficking nor the undocumented aliens who are exploited by human smuggling organizations will report these crimes to law enforcement. In a sense they are invisible to law enforcement.


Overview of human smuggling and human trafficking crimes
Use of “funnel accounts” to launder criminal proceeds
Challenges that financial institutions face in their detection efforts
Red flags and indicators for financial institutions
How collaborative networks and cross institutional detection can advance detection capabilities

10:15: Networking Break

10:30: Managing Third Parties 2.0
Lori Flickinger CISSP, Manager, Treliant Risk Advisors
All banks have vendor management programs—in this session we will discuss how to manage third parties on a risk basis.  How do banks not over-manage low risk partners while still properly managing high risk ones

11:20: Federal Reserve Bank of San Francisco – Compliance Update
Kurtis Haygood, Consumer Compliance Supervision Manager Federal Reserve Bank of San Francisco 
This session will explore recent consumer compliance developments from the vantage point of the regulators, including the following:

What are the issues on examiners’ minds?
What trends are examiners seeing in the field?
What updates do you need to be aware of as we enter 2015?

12:10 – 12:55: Lunch

12:55: What You Need to Know About Lawsuits and Local Governments
Leland Chan, Senior Vice President and General Counsel, California Bankers Association
This session will discuss what compliance professionals should know about sources of regulation other than from Congress and banking regulators. Published court decisions can have the same impact on a bank as a published regulation, and don’t forget about ordinances enacted by cities where banks do business.

1:45: Finding UDAAP in Operational Areas
Lyn Farrell, Managing Director, Treliant Risk Advisors
The hardest UDAAP issues are ones that hide in the cracks of operational areas. In this session we will discuss effective UDAAP risk assessments for operational areas.

2:35: Networking Break

2:50: 2015 AML Update
Joseph Chisolm, CAMS, CFE, Engagement Director, Treliant Risk Advisors
This session will explore new and relevant AML issues in 2015 from the vantage point of the regulators. 

3:40: RESPA/TILA–What you need to know before August 15
Shelley Metz-Galloway, Managing Director, Treliant Risk Advisors
In this session we will discuss critical emerging issues facing mortgage lenders in getting ready to comply with the new RESPA/TILA rules.  We will provide some tips for successfully implementing business processes to comply with the new RESPA/TILA rules.

4:30: Adjourn