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Mitigating Banking Compliance Failures: Strengthening Accountability and Safeguarding Institutions


The repercussions of non-compliance with banking regulations have reached unprecedented heights, with fines levied against banks soaring into the billions of dollars in isolated cases. These compliance failures not only pose a risk to a bank's reputation but also impact its shareholders. It is increasingly being debated whether individual officers should be held personally accountable for their decisions that lead to non-compliance, rather than punishing the shareholders.


In response to these challenges, the Sarbanes-Oxley Act has mandated that companies, including banks, maintain accurate financial reports and robust controls to ensure the material accuracy of those reports. CEOs and CFOs are required to personally sign statements affirming compliance and can be held personally liable under certain circumstances.


Join us for this timely and informative two-hour CPE training event, specifically tailored for internal auditors, compliance professionals, and individuals seeking to enhance their AML and BSA tradecraft skills. Our aim is to equip attendees with the knowledge and tools necessary to navigate the intricate landscape of banking compliance, minimize the risk of failures, and strengthen accountability within their institutions.


During this event, we will delve into the key strategies for mitigating banking compliance failures. Through case studies and real-world examples, we will explore the consequences of non-compliance and the importance of adherence to regulatory requirements. We will also provide insights into the evolving expectations surrounding personal accountability and the role of individual officers in ensuring compliance.


This internal control training course will provide each attendee with 2 CPE Event Hours (YB), demonstrating your commitment to professional development and your dedication to addressing the challenges of banking compliance. Each attendee will receive a certificate of completion, recognizing their active engagement in this essential training.


Don't miss this opportunity to enhance your understanding of banking compliance, safeguard your institution's reputation, and protect the interests of shareholders. Register now to secure your spot in this transformative event.

Banking Compliance Failures

  • Offered every six weeks on Tuesdays at 10:00 a.m. to 12:00 p.m. Central Time in two CPE-Credit event.

    We can schedule private events on your timetable for two or more attendees.

In the event you haven't seen an email from confirming your registration land in your inbox, there's a chance it might have taken a little detour into your spam, junk, or quarantine folder. If you could take a moment to peek in there and kindly mark it as "not spam" or “not junk,” that would be fantastic. On the off chance that your firewall is being a bit overprotective and preventing the email from even reaching your spam folder, please don’t hesitate to give me a ring at 479-200-4373. I’m here to ensure everything’s set straight for you.

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