League Conference

Regulatory Compliance Conference

04/14/2020 | 9:00 am - 4:00 pm ET
Level: N/A
Location: Hilton Garden Inn, Freeport
League Conference
Cost: 219.00
Contact: Susan Erlandson at serlandson@mainecul.org

Compliance Hot Topics and Regulatory Focus – The credit union compliance environment is in a constant state of flux – new rules are issues, existing rules are amended, interpretations of rules change, regulatory focus varies from year to year.  This session will provide a discussion of some of the “hot” compliance issues that credit unions will face in 2020. We’ll also take a look at what the NCUA and CFPB have said are priorities for this year.


The Forgotten Regulations/Why You Can’t Just “Plug and Play” – It is easy to ignore the older compliance issues when managing the tsunami of new information and requirements, but this method is guaranteed to come with critical, damaging errors in due time. In this session, we’ll address a few compliance issues – adverse action notices, Regulation E error resolution, Overdrafts and Courtesy Pay, ID Theft/Red Flags program requirements, military lending regulations, and Regulation D – credit unions may not have given thought to in a while and discuss why you should pay attention to them today.


Advertising Rules – Credit unions advertise products and services in many different ways.  In this session, we’ll talk about the rules and regulations regarding advertising share and loan products. We’ll also discuss electronic advertisements and social media.  And we’ll highlight some of the most common errors credit unions make in advertising their products and services.


Conducting a Compliance Review – A compliance audit is a comprehensive evaluation of a credit union’s adherence to regulatory guidelines.  Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, members and members’ attorneys.  This session will provide an overview of the tools and resources available for conducting a compliance review as well as areas to review and questions to ask.


Resources Sharing and Compliance Officer Tips and Tricks – Attendees are asked to bring and be willing to share one tip for making compliance work better. It can be a “go to” resource you use, a training technique that makes compliance training fun, a short cut you’ve learned that helps with a process, basically anything you can offer that will make life easier for fellow compliance officers.  We’ll conclude with some tip and tricks to help make the compliance officer’s life a bit easier.

Leadership: Kristen Tatlock


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