Nov 6, 2019
Our presentation will begin with a discussion and a listing of compliance related policies that a bank should consider having, and those that banks are required to have. We will discuss the regulations involved, the general regulatory requirements, policy issues that should be included, and similar information. This was a suggestion made by CBC members last fall, and, as promised last quarter, we will cover it in this session.
The balance of the day also was suggested by CBC members. It will involve real world compliance situations. “The examiners/auditors/consultants found a violation. What do we do now?” Included will be consumer loans, mortgage loans, construction loans, and HELOCs. As part of the presentation, we will discuss how to use APRWIN to avoid some errors in the first place, and to correct errors, when that becomes necessary.
*See brochure for full program overview!*
8:30 a.m. Registration & Continental Breakfast
9:00 a.m. Program Begins
12:00 p.m. Lunch (included)
1:00 p.m. Program Resumes
4:00 p.m. Program Adjourns
* Subjects as released by the CFPB and other federal agencies.
Audit Findings / Lending Errors
Subjects for future seminars will be shaped by regulatory events as they unfold. The CBC quarterly compliance program remains committed to providing as much up-to-the- minute information as possible. The program will closely monitor releases from the CFPB and other agencies to assure that you have the most up-to-date and accurate information possible.
As mentioned above, the topics of this seminar were based on suggestions that were made by CBC members last fall.
Dale Neiss, CRCM, Consultant
Dale Neiss is a compliance consultant with Young & Associates, Inc. With over 30 years of banking experience in Denver, CO, Dale has developed and implemented compliance management systems, loan review and community reinvestment act (CRA) programs, and enterprise risk management (ERM) framework for multiple banks. He has held the titles of Compliance and Loan Review Manager, BSA and CRA Officer, and Enterprise Risk Management Director. Prior to his Denver, CO banking experience, Dale began his banking career with the Office of the Comptroller of the Currency in Indianapolis, IN as an associate national bank examiner. At Young & Associates, Inc., he provides consulting and training, as well as writes articles and compliance manuals. He holds the designation of Certified Regulatory Compliance Manager (CRCM) by the Institute of Certified Bankers in Washington, D.C. Dale earned a Bachelor of Business Administration degree in Finance and Management from Kent State University.
WHO SHOULD ATTEND
Compliance Officers and Auditors should attend this session. In addition, all personnel with responsibilities for consumer, mortgage, or HELOC lending will find this session useful, including senior management and others.
$350 IBA Member
$180 Each Additional IBA Member
100% Surcharge is applied for Non-Members.
IBA Center for Professional Development
8425 Woodfield Crossing Blvd Suite 155E
Indianapolis, IN 46240-7321
Elizabeth DeHaven, Education Coordinator
You will receive an e-mail confirmation at
Within three or more business days prior to the day of an educational program, no cancellation charge will be assessed. Within two days prior, 50% of the fee is assessed. Refunds are not provided for cancellations the day before or absences on the day of the program. Substitutions are welcome at