Keep up with the shifting financial services landscape to avoid regulatory and lending compliance pitfalls.
This material will provide an overview of how to manage regulatory and legal compliance for lenders and financial institutions in the field of consumer lending. The information will discuss the key expectations of regulatory agencies when examining the effectiveness of a compliance management system, with a specific focus on the subjects of Fair Lending and the Bank Secrecy Act/Anti-Money Laundering obligations (BSA/AML). You will be provided insight as to the identification of risks as well as the key indicators that likely will be subject to regulatory scrutiny.
Agenda
Faculty
David K. Stein
Taft, Stettinius & Hollister, LLP
- Partner at Taft, Stettinius & Hollister
- Maintains a national practice in banking and consumer financial services
- Represents and defends institutions of all sizes against claims arising from TILA, RESPA, ECOA, FCRA, GLBA, and other state and federal-related matters
- Counsels lenders facing issues related to loan origination and servicing, marketing and sales practices, state and federal regulatory investigations and examinations, privacy and data security, and the defense of legal and administrative claims
- Nearly 20 years as general counsel for a top-fifty lender
- Author of MBA’s Social and Digital Media Compliance Guide
- Frequent speaker and thought leader on RESPA, Fair Lending, BSA/AML, UDAAP, and compliance management
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