Loans to Insiders (Reg O) for Compliance Professionals


Description: The purpose of this course is to provide an overview of Regulation O, Loans to Insiders, including parties and transactions covered under the regulation. The course also includes the “rules” that apply to each class of insider, as well as reporting and recordkeeping requirements. Regulation O helps to ensure the safety and soundness of banks by restricting credit that a member bank may extend to its executive officers, directors, and principal shareholders and their related interests.

Students will learn through a combination of instructor videos, exercises, readings, glossaries, self-assessments and more. Students will complete the course with a final exam to earn Certified Regulatory Compliance Manager (CRCM) credits.

Audience: Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.

Learning Objectives: After completing this course, students will gain a fundamental understanding of Loans to Insiders (Reg O) for Compliance Professionals and learn how to:

  • Identify parties and transactions covered under Regulation O
  • Describe basic restrictions and limitations under Regulation O
  • Explain the reporting and recordkeeping requirements of Regulation O