The Most Common Compliance Violations and How to Avoid Them Webinar

CFT Credits: 0.25

This webinar will take a comprehensive approach to identifying the most common violations out there over the years, covering deposits, operations, lending, privacy, BSA/AML, and others.

Webinar Description and Intended Audience

Working in compliance is like navigating a minefield. At every turn there are opportunities to violate a law or regulation, or otherwise do something that your examiners won’t approve of. But when it comes to compliance, the best adage is often “learn from others’ mistakes.” Most regulators’ enforcement actions are public information, and from those (as well as talking with other bankers) it becomes more obvious what the more common violations are. This webinar will take a comprehensive approach to identifying the most common violations out there over the years, covering deposits, operations, lending, privacy, BSA/AML, and others. What should we be looking for in our testing and compliance audit programs? How best can we avoid some of the more frequently-troubling and difficult areas of compliance? Attend this two-hour program and come away with a healthy list of issues to look for an avoid (before your auditors and examiners do!)

Covered Topics

  • Failing to aggregate multiple transactions for CTR reporting
  • Failure to provide proper and timely notice when placing holds on deposits
  • Not following the timing requirements when resolving debit card disputes
  • Miscalculating the tolerance amounts in TRID loans
  • Filling out adverse action notices incorrectly (plus not knowing when to provide them)
  • Missing HMDA-reportable loans and lines of credit
  • Misidentifying loan purpose on TRID disclosures and HMDA reporting
  • Not providing 1099-INTs when you should
  • Miscalculating minimum flood insurance amounts
  • Allowing insiders to borrower too much from your bank under Reg. O
  • Not retaining proper documentation when filing SARs (or not filing them)
  • And many, many more! We’ll discuss literally dozens of issues like this on many topics.

Who Should Attend?

Anyone involved with finding, preventing, and remediating compliance violations will benefit from this program, including compliance professionals, auditors, QA and QC personnel, attorneys, management, and first-line compliance personnel, among others.

Webinar Viewing Options

LIVE WEBINAR:                                              

INCLUDES 7 DAYS OF UNLIMITED ONDEMAND PLAYBACK!  With this option, you will participate in the webinar live, via the internet. You will login to the webinar on your PC to view the PowerPoint presentation, and you have the option of using your PC speakers or a telephone for the audio. You can type and send your questions to the instructor. Many companies are now running their PC through an LCD projector allowing many employees to participate at the same time.  And don’t worry if you miss the webinar, you can still view it for up to seven days after it takes place!


With this option, you will receive an e-mail that contains a link to the PowerPoint slides (to download, print, and copy) as well as a link to the media player where you will view and hear the entire webinar just as it was delivered, featuring the full-color PowerPoint presentation with audio. You can pause, fast-forward and rewind as needed, which makes it a very effective training tool. The OnDemand Video will be available to you (and anyone else in the company) for six months and can be accessed 24/7 as many times as you wish. Delivered via e-mail the day after the webinar takes place.


If you do not have internet access or want to make the webinar part of your training library, the CD-ROM Recording is a great option for viewing a webinar. You can pause, fast-forward and rewind as needed, which makes it an effective training tool.  With this option, you will receive a download of any applicable handouts and a CD-ROM (featuring the full-color PowerPoint presentation with audio) via regular mail. Mailed 7 to 10 days after the webinar takes place.


Webinars can be scheduled and offered exclusively for your company.  They can even be customized to best fit your needs.  To find out more, please complete the in-house request form found in the Schedule and Registration Information section below.

Continuing Education (CE) Credits

This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.

Register Here!

Choose the viewing option that best suits your needs. Live Webinar times are shown as Eastern Time. You can choose to pay by credit card or invoice when you register. CFT Credit will be awarded to the registrant, unless directed otherwise (additional attendees can also receive credit for an additional fee). CFT Webinars are powered by Total Training Solutions!

Webinar DateStart TimeEnd DateEnd TimeViewing Options - See Descriptions AbovePrice
07/16/2011:00 AM07/16/2001:00 PMLive Webinar$265.00
07/16/2011:00 AM07/16/20Live & On Demand$365.00
07/16/2011:00 AM07/16/20Six Month On-Demand Recording$295.00
07/16/2011:00 AM07/16/20Live, OnDemand, CD-ROM$395.00
07/16/2011:00 AM07/16/20CD-Rom Video Recording$345.00
Register Now