Agenda

Regulators Hot Topics - Breakout

In this dynamic breakout session, participants delve into the most pressing and current topics shaping regulatory landscapes across industries. Led by seasoned regulatory experts, attendees gain insights into emerging trends, recent developments, and anticipated changes in regulations. Through interactive discussions, this session provides a platform for exchanging ideas, sharing best practices, and gaining valuable perspectives on navigating regulatory challenges effectively. Whether exploring advancements in technology, shifts in compliance standards, or evolving regulatory priorities, this session equips participants with the knowledge and strategies needed to stay ahead in today's rapidly changing regulatory environment.

GEORGIA (DBF) - Melissa Sneed

Florida (OFR) - Geoffrey Duncan, Financial Control Analyst
Alabama (ACUA) - Scott Morris, Examiner
NCUA - Jason Held, Principal Examiner

Cannabis Banking

Rachel Pross, Chief Operations Officer, Maps Credit Union

Join us for an enlightening session led by a seasoned practitioner, where we delve into the intricate landscape of the cannabis industry. Discover the nuanced balance between risks and rewards inherent in serving this burgeoning sector. Gain invaluable insights into constructing a robust and compliant cannabis banking program tailored for your credit union. Explore crucial aspects such as reputation risk, effective cash management strategies, fee structuring, and stay abreast of the latest advancements in legislative measures like the SAFER Banking Act. Additionally, unpack the intricacies of the FinCEN Guidance and its pragmatic implementation within the credit union framework. Don't miss this opportunity to equip yourself with the essential knowledge and tools necessary to navigate this dynamic industry with confidence and proficiency.

Elder Financial Abuse

David Blake, Financial Forensic Specialist FSIU, Georgia Bureau of Investigation

In this compelling presentation, a seasoned Financial Forensic Specialist from the Financial Services Investigation Unit (FSIU) sheds light on the critical issue of Elder Financial Abuse. Drawing upon expertise in uncovering financial fraud and exploitation, the speaker explores common tactics used to target the elderly and vulnerable, discusses the red flags indicative of abuse, and provides actionable insights on detection and prevention strategies. Attendees will gain invaluable knowledge and tools to safeguard against financial exploitation of seniors, empowering them to protect themselves and their loved ones from financial harm.

Beneficial Ownership

David Reed, Esq. Reed & Jolly, PLLC

The 5 Pillars of BSA

Alisha Stair, CUCE, CCUF, CUDE, BSACS, CCUFC, VP, Member Engagement, LSCU & Affiliates

Discover the Five Pillars of Compliance, essential for establishing and maintaining organizational integrity. From Policies and Procedures to Enforcement and Discipline, each pillar forms a vital part of a robust framework, ensuring adherence to regulations, fostering accountability, and promoting a culture of ethical conduct.

Basics of a BSA Risk Assessment

Tony Roberts, CUCE, BSACS, CUERME, Manager of Compliance Consulting Services, LSCU & Affiliates

Unravel the Basics of a BSA Risk Assessment in this insightful talk, where we dissect the fundamental principles behind assessing risks in compliance with the Bank Secrecy Act (BSA). From understanding regulatory obligations to identifying potential threats, this discussion provides a foundational understanding of how organizations can effectively manage and mitigate risks associated with money laundering and financial crimes.

CTR Basics

Miranda Humphrey, Compliance Consultant, LSCU & Affiliates

Delve into the fundamentals of Currency Transaction Reports (CTRs) in this engaging talk, where we explore the essentials of reporting large cash transactions as mandated by financial regulations. From understanding the purpose and requirements of CTRs to practical insights on completing and filing these reports accurately, this discussion offers a comprehensive overview for individuals and organizations navigating the intricacies of financial compliance.

SAR Basics

Teri Hall, VP of Compliance and Risk Management, LSCU & Affiliates

Explore the essential elements of Suspicious Activity Reports (SARs) in this informative presentation, designed to provide a clear understanding of the purpose, process, and significance of filing SARs in compliance with financial regulations. From identifying suspicious activities to the reporting requirements and potential implications, this talk offers practical insights to help individuals and organizations navigate the complexities of financial crime detection and reporting effectively.

Surviving the BSA Exam

Dawn Kincaid, Brode Consulting Sevices, Inc.

In "Surviving the BSA Exam," participants are guided through strategies and best practices to navigate the Bank Secrecy Act (BSA) examination process successfully. Led by a experienced compliance professional, this session offers insights into preparing for and managing the complexities of BSA examinations conducted by regulatory agencies. From understanding examination procedures to addressing common challenges and pitfalls, attendees gain practical tips and actionable advice to ensure compliance readiness and mitigate potential risks. With a focus on practical insights and real-world examples, this session empowers participants to approach BSA exams with confidence and emerge stronger from the regulatory scrutiny.