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BSA/AML 101: Back to Basics

$269.00

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Home :: Training :: CD-ROMs :: BSA/AML Compliance Recent Developments & Common Errors

BSA/AML Compliance Recent Developments & Common Errors

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$269.00

Presented by:
Ken Golliher
Are you looking for an efficient, focused update & reminder on BSA Compliance? You've found it!

WHAT?
Ongoing Bank Sec
recy Act (BSA) training is a legal requirement. For the experienced BSA Officer or Auditor, that training needs to focus on

recent developments and

reminders regarding key issues. This two hour session was designed for that group.

WHY?
No other federal regulation contains more stringent, enforceable training requirements than those relating to Bank Secrecy Act (BSA) compliance. Even experienced personnel are expected to maintain their knowledge level with ongoing education. However, sometimes sitting through a full day BSA program leaves experienced personnel hoping for "knowledge nuggets" between the reviews of long-standing requirements.

This program is designed to make that continuing education requirement more efficient and effective. However, the manual is the one that the presenter uses in a full day seminar. It is approximately 125 pages long and includes a full review of BSA requirements. However, this session focuses on specific pulse points in BSA compliance.

This year, a significant portion of the program's content is focused on recent changes to the CTR exemption process.

PROGRAM CONTENT?
This presentation emphasizes common BSA violations and important developments in the preceding 12 - 18 months. Registrants have an opportunity to submit questions and suggested areas of emphasis prior to the program. Currently, the issues where emphasis is expected include:

Common problems with technical BSA compliance requirements; e.g. CTR filing

Significant changes to the CTR exemption process effective January '09 (Major emphasis)

Interagency examination procedures & resources

Using the risk assessment as your primary internal control

Due diligence and enhanced due diligence

Identifying business owners vs. mere signatories

Objectively identifying "high risk" customers

Assembling and evaluating a training program

Providing services to non customers - the "big picture"

SAR filing - the agencies' emphasis on the program and the process

Suggestions for content of general interest received by registrants in advance of the program

WHO?
The program is designed as an update for experienced BSA officers and auditors employed by banks, thrifts and credit unions. It is not designed as a general review or to meet the needs of line personnel or other types of financial institutions.

Ken Golliher is a principal with Pegasus Educational Services, LLC, a training firm headquartered in Louisville, Kentucky. He is an experienced banker with a unique ability to reduce complex legal concepts to plain English. He has explained the "why" and "how" of regulations to thousands of financial institution personnel and examiners. Ken's banking career began in 1972 and includes serving as a teller, commercial operations manager and as trust department legal counsel in a state and a national bank. For ten years he headed the education division of a regional consulting firm for financial institutions. He has served on the faculty of the LSU Graduate School of Banking, the OTS' Level I Compliance School and the FDIC's Advanced Consumer Protection School for examiners. He has presented seminars in more than 25 states and has served as an instructor at compliance schools sponsored by the Illinois, Indiana, Georgia, Kansas, Kentucky, Nebraska, Pennsylvania and Texas bankers associations. He is one of the moderators for the Bank Secrecy Act forum at http://www.bankersonline.com/

VIEW A 10 MINUTE SAMPLE
(requires Windows Media Player and IE).

About the speaker:
Ken Golliher
Ken is a principal with Pegasus Educational Services, LLC, a training firm headquartered in Louisville, Kentucky. Prior to becoming a full time trainer, he was a community banker and then the General Counsel for a regional consulting firm for financial institutions. He has presented seminars in more than 25 states and has served as an instructor at compliance schools sponsored by the Illinois, Indiana, Iowa, Georgia, Kansas, Kentucky, Nebraska, Oklahoma, Pennsylvania and Texas bankers associations. Ken has also served as an instructor for both FDIC and OTS examiners at the agencies' week long schools. "Ken/Pegasus" is one of the Gurus in BOL's Bank Secrecy Act Forum and has answered thousands of BSA related questions for BOL participants.

Complete presentation (including slides and audio)
Written Materials
Follow-up Q & A

You have the right under this license agreement for this CD-ROM to use this presentation on a single-workstation. Use on a network is in violation of the copyright agreements. CD may be used by multiple users at a given institution but may not be placed on a network or in any other multi-user environment.

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