Program Outline

Topics to be covered include:

Course One: Corporate Governance in Financial Institutions
  • Enterprise Risk Management
  • Key Banking Laws and Regulatory Affairs
  • Operational Risk Management/Compliance
  • Comparing U.S. and Other Major International Regulatory Systems
  • The Role of Internal Audit

Course Two: Regulatory Affairs within International Banking
  • Role of Administrative Law in Compliance
  • Developing a Compliance Culture
  • Assessing Critical Compliance Risks
  • Anti-Money Laundering / Anti-Terrorist Financing
  • Bank Secrecy Act (BSA) / USA PATRIOT Act / OFAC
  • Anti-Boycott Laws
  • Anti-Tying Statutes
  • Federal Election Campaign Act (FECA)
  • Foreign Corrupt Practices Act (FCPA)
  • Customer Privacy and Information Security (Gramm-Leach-Bliley Act)
  • Regulations CC, D, GG, W, Y, and other federal and state regulations with an emphasis on those which are relevant to the international banking community
  • The Role of Information Technology

Course Three: Developing and Managing a Banking Compliance Program
  • Policy and Procedures Development
  • Adopting Sound Industry Practices
  • Independent Testing
  • Preparing and Managing Regulatory Examinations
  • The Cost of Non-Compliance
  • Lessons Learned from Major Regulatory Enforcement Actions