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Compliance Rules Deposit Operations Must Know

Date: September 18, 2013

Time: 3:00pm - 4:30pm

Location: Webinar


Wednesday, September 18, 2013

3:00 pm – 4:30 pm

Many regulations require regular periodic, ongoing training. All too often we forget that examiners focus on the operational requirements of deposit regulations in addition to frontline compliance. This webinar will concentrate on the regulations that affect deposit operations, including funds availability, check holds, CIP documentation, CTRs, BSA, Regulation E claims, and more. It will also address common errors in deposit operations; BSA compliance; and operational considerations for Regulations CC, D, DD, and E. The session will ensure that deposit operations employees fulfill their training requirement for these regulations.

Continuing Education: Attendance verification for CE credits upon request

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    • BSA red flags from the operations side
    • Reg CC – common errors on placing and releasing holds
    • Reg D – excessive withdrawals from savings and member notifications
    • Reg E – error resolution, overdraft programs, and opt-in
    • Reg DD – statement issues, fee changes
    • Privacy issues
    • Right to Financial Privacy Act – types of information requests and your responsibilities
    • Sample Reg D letters regarding excessive withdrawals
    • Sample error-resolution procedure and tracking log
    • Sample tracking log for information requests under the Right to Financial Privacy Act


This training will include the following items so that you are able to provide solid documentation for examiners:

  • Letter of attendance certification with webinar outline
  • Electronic training log
  • Quiz you can administer to measure staff learning and a separate answer key

All registrants will receive the attendance certification and training log, regardless of whether they attend the live or archived version.


This informative session is designed for all deposit operation employees, compliance officers, and auditors.

Webinar content is subject to copyright and intended for your individual credit union’s use only.