Education Seminar

Compliance 2014
Hyatt Regency Newport Beach

2014 is shaping up to be another big year for bank regulatory compliance. The new mortgage rules go into effect—with all of the uncertainty and potential chaos they bring to the mortgage origination process, UDAAP enforcement actions continue to mount,  AML compliance promises to be a factor and the regulators focus on vendor management is still a source of regulatory criticism. Compliance programs need to move up a level to keep institutions out of trouble.

Agenda

The session will run from 8:30 a.m. to 3:30 p.m., with breakfast and registration beginning at 7:30 a.m. and lunch at noon. Topics will include:

  • Issues related to the implantation of the new mortgage rules—can you comply even if your technology vendor is not?
  • Flood insurance update—will the Biggert-Waters rules be delayed?
  • UDAAP issues—an update on hot issues based on recent enforcement actions 
  • Complaints management—regulatory expectations for handling customer complaints
  • AML update—risk assessment best practices, hot topics in suspicious activity and fraud reporting, 
  • Vendor management—have your risk rated your vendors and third party-partners; do you have an effective risk management program for all third parties?
  • Making your compliance program more strategic—best practices in risk identification, managing regulatory examinations, fostering regulatory relationships, etc.
  • Ethical decision making—Making company decisions and policies that turn out to be unethical are seldom made because of bad actors, but instead arise out of poor group decision-making. We will discuss common ethical missteps by banks to illustrate how to avoid groupthink and promote ethical decision-making.

Audience

  • Compliance officers and managers
  • Risk managers
  • Operations managers
  • Internal auditors
  • Credit administrators
  • Bank counsel
  • Senior bank managers

Scheduled Speakers

John J. Byrne, Esq., CAMS, is executive vice president of the Association of Certified Anti-Money Laundering Specialists or ACAMS. Byrne is a nationally known regulatory and legislative attorney with close to 30 years of experience in a vast array of financial services issues, with particular expertise in all aspects of regulatory oversight, policy and management, anti-money laundering (AML), privacy and consumer compliance. He has written more than 100 articles on AML, represented the banking industry in this area before Congress, state legislatures and international bodies such as the Financial Action Task Force (FATF). He has also appeared on CNN, Good Morning America, the Today Show and many other media outlets. Byrne has received a number of awards, including the Director’s Medal for Exceptional Service from the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) and the ABA’s Distinguished Service Award for his career work in the compliance field.

Kathlyn L. (Lyn) Farrell, managing director for Treliant Risk Advisors, has worked in the field of regulatory compliance for financial institutions for more than 30 years. She is a licensed attorney in the state of Texas and has functioned as in-house counsel and compliance officer to medium and large financial institutions. She has been in the field of consulting for the past 15 years and was previously the managing director of risk management services for Sheshunoff Consulting + Solutions; an Austin, Texas-based financial services consulting company that provides services globally. At Sheshunoff she had oversight responsibility for the regulatory compliance, internal audit and loan review practices. These practices included more than 60 risk management professionals. Her experience includes all areas of regulatory compliance, BSA/AML work, handling lending and real estate transactions, managing loans in litigation and bankruptcy, supervising enforcement action compliance and drafting and negotiating contracts.

Carl Pry, JD, CRCM, CRP, is a senior director for Treliant Risk Advisors. Pry advises clients on commercial compliance, fair lending, corporate treasury and risk management. During the last 18 years, he has held senior leadership positions including senior vice president and compliance manager for the compliance and control division at KeyBank; manager of finance and performance management Service Line at Accenture; and vice president of regulatory services at Kirchman Corporation. With strong knowledge and experience as a banking attorney and officer, Pry is a frequent contributor to and currently serves on the editorial advisory board for the ABA Bank Compliance magazine. As a featured speaker for numerous banking, compliance, and state bar associations, he has led training sessions across the country. He has served as an instructor at FDIC examiner school and back-up instructor for NCUA examiner school. Pry has authored training programs covering consumer and commercial compliance, audit, quality control, tax, privacy and risk management.

Edward J. Keck, Jr. is a senior director for Treliant Risk Advisors.
Keck is an accomplished professional specializing in enterprise and operational risk, security, privacy and information governance. He has significant experience developing and performing risk assessments, managing regulatory reviews and post review remediation activities, internal control testing, executive level reporting, and the interpretation of regulatory changes. In addition to his work with financial institutions regarding domestic regulations and governance, Keck’s expertise includes the implementation of risk assessments, controls, and systems related the European Union Data Protection Directive.

Leland Chan, has been an SVP and general counsel for the California Bankers Association since 2000. In addition to advising the association on legal matters, Chan directs the litigation activities for the association, frequently acts as amicus curiae (“friend of the court”) in state and federal courts, and, in some cases, files suit on behalf of the industry. He is also responsible for regulatory matters affecting banking, frequently preparing comment letters on regulatory proposals, and analyzing new laws and regulations for CBA members. Prior to joining CBA, Chan was an attorney with the Hong Kong office of Baker & McKenzie, an international law firm. He received his law degree from the University of California at Berkeley in 1989, and graduated magna cum laude from Brigham Young University with a bachelor’s degree in psychology.

Registration Fees

Early-Bird Registration through January 27, 2014
CBA Member: $345
Non-Member: $545

Regular Registration
CBA Member: $445
Non-Member: $645

Cancellation Policy

Substitutions are allowed, at no additional cost. Written notice is required for all substitutions/cancellations. If the request is received by February 6, 2014, the full registration fee will be refunded and 50 percent if by February 13. No refunds will be provided after February 13. Registrations made on or after February 13 are not subject to refund.

Location Information

Thursday, February 27, 2014
Hyatt Regency Newport Beach
1107 Jamboree Road
Newport Beach, CA 92660
(949) 729-1234 

A room block has been arranged at the rate of $159/night. Please contact the hotel directly at (888) 421-1442 and reference the California Bankers Association room block, or click here to make your reservation online. Please make your reservations by January 27, 2014. Rooms are limited and may sell out before this date. Guest room internet and overnight parking are included in the CBA rate.

CBA will host self-parking the day of the seminar.  

Credit Information

Program Level: Update

Prerequisites: None

Advance Preparation: None

Method of Presentation: Group – Live (Lecture, Discussion, and Case Study)

Recommended CPE Credits: 7.0 Hours Maximum
(Estimated 7.0 Specialized Knowledge and Applications)
Sponsored learning activities are measured by program length, with one 50-minute period equal to one CPE credit.  One-half CPE credit increments (equal to 25 minutes) are permitted after the first credit has been earned in a given learning activity.  Please note that not all state boards have adopted this rule.  Some participants may not be able to use one-half credit increments.

Commands