Education & Events

Opening New Account Documentation and Compliance - Indianapolis Location SOLD OUT

Mar 05, 2019 to Mar 06, 2019
Program Overview: 

PDF Brochure

Well-trained new account personnel and universal bankers who recognize and stop attempted fraudulent activity are the first line of defense in protecting a financial institution. This workshop encompasses every aspect of account opening – from personal accounts, court ordered, Trusts, simple business to the challenges of more complicated layered business structures. Participants gain confidence and a clear understanding of the regulatory, compliance, documentation, and state law requirements for every ownership offered.  Suzie Jones, CFP® brings technical information to life with her engaging training style, in-depth technical knowledge, and passion for empowering new account representatives with the skills and tools to protect their organizations while at the same time providing quality customer service. 

The 100+ page training manual is customized to your state law and has become known as the "technical reference handbook" for new account departments across the country.



Six Requirements For Opening Any New Account
• Understanding the Importance and Far-Reaching Ramifications of “Checking a Box” on a Signature Card
• TIN Compliance – When to Use an SSN vs. EIN
• Proper Business Account Documentation and Resolutions:

  • Sole Proprietorships, General and Limited Partnerships, LLC, LLP, LLLP, Corporations, PA, PC, Escrows, Non-Profit Associations/Organizations, IOLTA, Public or Governmental Units
  • How to handle business account ownership changes -what documents are needed when asked to delete a partner or member, company name changes, entities merger, owner/partner dies…

• Opening Personal Accounts:

  •  Individual, Joint With Rights of Survivorship, Tenants-In-Common Without Rights of Survivorship

• Adding Authorized Signers or Agents to Personal or Business Accounts
• Who has Access at Death on a Personal or Business Account?
• Power of Attorney – In-House vs. Statutory POA
• Trust Accounts – Formal vs. Informal, Revocable vs. Irrevocable, Living Trusts, Trust Account Certification
• Payable on Death, In Trust For “ITF”
• Accounts For Minors – Single Account In Minor’s Name, Joint Account With a Minor, UTMA
• Court Ordered Accounts: Estate, Guardianship, and Conservatorship
• Social Security Representative Payee
• Beneficial Owner Requirements - FinCen - New Customer Due Diligence


Suzette (Suzie) Jones, CFP® is the managing member of Training Resources Consulting, L.L.C. located in Houston, Texas. With over 40 years of experience in the financial industry, Suzie has focused her technical expertise on new accounts risk management. Suzie served as an Executive Vice President at a $50B financial organization where she was an active member and leader of the AML, BSA, Personal/Corporate Product Risk Committees. She holds the Certified Financial Planner (CFP®) professional designation.


8:30 a.m.         Registration & Continental Breakfast

9:00 a.m.         Program Begins

12:00 Noon    Lunch (Included)

1:00 p.m.        Program Resumes

4:00 p.m.        Program Adjourns


Tuesday, March 5, 2019
The Landmark Centre
6222 Ellison Road
Fort Wayne, IN  46802

Wednesday, March 6, 2019
IBA Center for Professional Development
8425 Woodfield Crossing Blvd. Suite 155E
Indianapolis, IN  46240


IBA Members
$225 First Person
$155 Additional Attendee From Same Institution

Participation in IBA programs is limited to members, associate members, and nonmembers from an eligible membership category at applicable member or non-member rates. Surcharge of 100% for Non-Members.

Additional Information: 


All directors of the bank (inside and outside) should plan to attend, as well as the CEO, COO, audit committee members, board counsel and other relevant senior management personnel.

Association Contact: 

If you have any questions please contact Elizabeth DeHaven at 317-387-9380 or via e-mail at

Cancellation Policy: 

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 or absences on the day of the program. Substitutions are welcome at anytime.

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