Compliance checklists are an iconic tool, right? But do you have one for the board’s regulatory responsibilities? Is it complete? Does it include deadlines? Join us to get a comprehensive checklist (with deadlines) and a thorough understanding of directors’ compliance obligations.
AFTER THIS WEBINAR YOU’LL BE ABLE TO:
- Understand the regulations that apply directly to the board of directors
- Identify which written policies must be adopted by the board annually
- Explain the specific actions that must be taken by the board throughout the year
- Identify the designated officer titles that the board must appoint annually
The board of directors is ultimately responsible for the financial institution’s regulatory compliance. Certain regulations require board action at specific times during the year. To ensure regulatory compliance, it is imperative that your board understands its mandated duties and adopts the required written policies at the appropriate times. This webinar will not only explain how to comply, but also how to track the board’s compliance annually.
WHO SHOULD ATTEND?
This informative session is designed for directors, executive officers, board secretaries, compliance officers, auditors, attorneys, and others who assist the board of directors.
- Calendar checklist of regulatory items the board must adopt annually, including the deadline for each
- NCUA Examiner’s Guide – Chapter 7
- Employee training log
- Interactive quiz
SPEAKER: Elizabeth Fast, Spencer Fane LLP
Elizabeth Fast is a partner with Spencer Fane Britt & Browne LLP where she specializes in the representation of financial institutions. Elizabeth is the head of the firm’s training division. She received her law degree from the University of Kansas and her undergraduate degree from Pittsburg State University. In addition, she has a Master of Business Administration degree and she is a Certified Public Accountant. Before joining Spencer Fane, she was General Counsel, Senior Vice President, and Corporate Secretary of a $9 billion bank with more than 130 branches, where she managed all legal, regulatory, and compliance functions. She is a member of the Missouri State Banking Board by appointment of the Governor.