Compliance Forum - Louisville

Compliance Forum - Louisville

Registration begins at 8:30 a.m. with a light breakfast.

9:00 - 9:15 a.m. Welcome/Introductions, Natalie Kaelin, Kentucky Bankers Association

9:15 - 10:15 a.m. How to Work Through Regulatory Issues, Danny Coffey, Hancock Bank & Trust

10:15 - 10:30 a.m. Break

10:30 - 11:30 a.m. Beneficial Ownership Rule, Mark Dever, ProBank Austin

The biggest BSA/AML/CTF compliance challenge in 2018 was the implementation of the Beneficial Ownership program within all financial institutions. This session will update the attendees on the current status of Beneficial Ownership including:
  • (Quick) Review the Basic Requirements;
  • Exceptive Relief - Rollovers;
  • Exam Procedures;
  • Direct and Indirect Beneficial Owners;
  • Multiple Accounts for Single Entity;
  • Trusts and Trustees;
  • CTR and SAR filings;
  • Charities and Non-Profits;
  • Updating Beneficial Ownership Information - "Triggers".

11:30 a.m. - 12:15 p.m. Lunch

12:15 - 1: 15 p.m. Building a Culture of Compliance from the Top Down, Jessica Caballero, Banker's Toolbox

BSA/AML shortcomings have resulted in several recent enforcement actions. As a result, FinCEN emphasizes the importance of a strong culture of compliance. Compliance is a shared responsibility, and maintaining a culture of compliance is a key strategy in avoiding penalties and personal liability. In this presentation, we will discuss properly communicating with the board to ensure a good culture of compliance from the top down and will cover board reporting, training, continuous communication and more.

1:15 - 2:15 p.m. What You Don't Know Can Hurt You: The Intersection of Strategic Planning and Risk Management, Michael Carpenter, Ncontracts

The most overlooked element of strategic planning at community banks isn't profits, assets, growth or people. It's risk. The information gleaned from proper risk management gives both the board and management valuable insights to help make better decisions that achieve strategic success. This session will address the integral role risk management plays in the strategic planning process with topics such as:
  • How risk appetite and KRIs inform business decisions and strategic goals
  • The perils of ignoring risk
  • Presenting risk parameters that board members can understand
  • Big risk, big reward vs. little risk, little reward

2:15 - 2:30 p.m. Break

2:30 - 4:00 p.m. Social Media Compliance, Darlia Fogarty, Compliance Alliance

Cancellation Policy

Cancellations received more than 30 days prior to the event will receive a full refund. Cancellations received between 29 days and 10 days prior to the event will be charged a $50 processing fee. There will be no refund for cancellations received less than 10 days prior to the event. Substitutions are always welcome and encouraged. All cancellations and substitutions must be submitted in written format prior to the event.
3/20/2019 9:00 AM - 3/20/2019 4:00 PM
Kentucky Bankers Association
600 West Main Street
FIRST FLOOR Training Room
Louisville, KY United States

About the Speaker(s)

 List View Contact
Mark Dever
Mark Dever
ProBank Austin
Mr. Danny J. Coffey
Danny Coffey
Hancock Bank & Trust Company
Mr. Michael Joseph Carpenter
Michael Carpenter
Ms. Darlia  Fogarty
Darlia Fogarty
Compliance Alliance
Ms. Natalie  Kaelin, Esq
Natalie Kaelin
Kentucky Bankers Association

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Wednesday, 20 March 2019

9:00 AM - 4:00 PM
3/20/2019 9:00 AM