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BSA / AML Compliance Management
" Electronic filing of BSA forms requires a new CTR, a new SAR, and a new DOEP form. We..."
Ken Golliher
Pegasus Educational Services, LLC
On-Site
Program Info
Speaker: Ken Golliher
Sponsor:
Program times: 9:30 AM to 4:00 PM
All times are local.
Price: $275.00
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There are no active registration dates remaining for this program, we hope to see you next year!

BSA/AML compliance is its own growth industry. Every year brings changes in legal requirements and regulatory interpretations.

Several changes in 2011 and we now have "IT Modernization" on the horizon. There will be a new CTR, a new SAR, and a new DOEP form. We have a lot to talk about!

General BSA/AML compliance concepts continue to evolve. Some key areas of emphasis include:
 

  • NEW BSA Forms,
  •  IT modernization; i.e. required electronic filing & what it means to your institution,
  •  identifying and monitoring high risk customers,
  • clarification of the rules regarding SAR confidentiality,
  • recent SAR filing statistics,
  • proper SAR completion,
  • recent developments in BSA/AML compliance.
     

This full day seminar brings attendees current on both the both the basic technical requirements and the philosophies currently affecting on-site examinations. It is designed to be practical and focus on everyday issues connected to a BSA/AML compliance management effort.

• BSA is one of the few regulations where compliance is so critical it is classified as a “safety and soundness” issue.

• Regulations require every bank to have an ongoing Bank Secrecy Act training program and examiners routinely ask for evidence of recent training – even from experienced BSA personnel.

• SAR filing requirements are one of the most difficult compliance responsibilities your institution has.

Who should attend

The program is designed for personnel who have responsibility for maintaining or auditing Bank Secrecy Act compliance efforts.
 

Attendee Info

Registration opens 30 minutes prior to the program.

Please bring a jacket or a sweater. Temperature is often difficult to control.

All attendees registered receive an email reminder three days prior to the program. For questions about registration click here or call 1-888-550-4555.

Meals and breaks : Continental breakfast.
Lunch is provided.
Breaks provided.

Cancellations: Substitutions are always welcome. Paid registrants cancelling up to 7 days prior to the seminar receive full refunds. There are no adjustments for cancellations received after that date, including those that may be related to weather.  

Speaker Bio

Ken Golliher is a principal with Pegasus Educational Services, LLC. 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. Ken has also been an instructor at compliance schools sponsored by the Illinois, Georgia, Indiana and Nebraska bankers associations.