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Workshops

Workshops-at-a-Glance

Tuesday, June 25 9:00 AM – 5:00 PM 8 CPEs

W1 Continuous Auditing for Banks
Robert L. Mainardi, CFSA, Founder and President, Mainardi & Associates
In this workshop, participants will learn a methodology for integrating continuous auditing into their financial institution's audits. Attendees will leave with an understanding of how to incorporate this approach to examine critical bank transactions, deposits, withdrawals, and lending activity, as well as how to build customized programs and reports.
This workshop will cover:
• Differentiating continuous auditing and continuous monitoring
• Continuous auditing methodology overview
- Foundation
- Approach
- Execution
• Leveraging existing reports to focus your continuous auditing testing
• Building customized continuous auditing testing for your bank
• Identifying the right conditions under which to sell a continuous auditing program
• IT-specific controls, including approved system access, user profiles, and change management

Friday, June 28 9:00 AM – 5:00 PM 8 CPEs

W2 Bank Regulations: What's New For 2013
Heidi Wier, Director, CrossCheck Compliance LLC; Jim Shankle, Director, CrossCheck Compliance LLC
 Dodd-Frank is still not fully implemented, but the Consumer Financial Protection Bureau and other regulatory agencies have been hard at work generating a plethora of new regulations. This workshop will take a deep dive into the latest developments in bank regulations and compliance. The discussion will include the changes implemented as a result of the Dodd-Frank Act and will include examples of enforcement actions that have occurred as a result of non-compliance.
This workshop will cover:
• Practical guidance to manage new Dodd-Frank law provisions as you benchmark your policies/procedures with industry experts
- The changes impacting mortgage lending including the Truth in Lending and Real Estate Settlement Procedures acts. We will also cover the requirements of:
- The Equal Credit Opportunity Act
- The Flood Disaster Protection Act
- Appraisal requirements
- The Fair Credit Reporting/FACT Act
• Recent changes in international remittances and wire transfers
• The challenges related to timelines for implementing the proposed and revised requirements
• The importance of establishing and maintaining an effective Compliance Management System (CMS)
• Understanding the implications of Fair Lending and UDAAP enforcement actions
• The impact on revisions to HMDA reporting requirements
• Ensuring that the customer complaint and resolution process is structured properly