CSBS BAI Course Catalog

Federal Reserve Regulations K and N 10 minutes Regulations K and N are regulations of the Board of Governors of the Federal Reserve System that govern foreign banking activities. This course provides an overview of each regulation's key purpose and requirements. 20 minutes Regulations L, X, and EE are regulations of the Board of Governors of the Federal Reserve System that govern management official interlocks, borrowers of securities credit, and netting eligibility of financial institutions, respectively. This course provides an overview of each regulation's scope and rules. FTC Safeguards 20 minutes Aimed at information security managers, risk managers and compliance managers, this course covers the purpose and regulatory requirements of the FTC Safeguards Rule. Topics include the types of institutions and information covered by the Rule; how it impacts an institution's risk management considerations; and elements and characteristics of an effective compliance program. Garnishment 5 minutes This interactive course provides an overview of the Garnishment Rule. Learners will get an overview of protected benefits that cannot be garnished from direct deposits. There are important notifications and details on safe harbor applications and how to comply with timelines for account reviews. Investments 15 minutes This course provides an overview of how the Sarbanes-Oxley Act influences trading and investing institutions and financial reporting personnel by promoting transparent financial documentation and reliable recordkeeping. Key investment personnel, including accountants, auditors, compliance officers, CEOs, CFOs, traders, and brokers, will learn about the Act and the responsibilities and considerations it requires. Marketing 60 minutes Many provisions of various regulations affect marketing teams for financial products and services. This course includes all those rules in one place and will help guide your institution's marketing staff in the right direction by explaining each of the regulations that affect the way you advertise to consumers. Starting with an explanation of the basics of advertising, this course also details signage rules, requirements when advertising deposit and credit products, and rules for protecting consumer privacy and information. Federal Reserve Regulations L, X, and EE Understanding and Implementing FTC Safeguards Rule Compliance The Garnishment Rule The Sarbanes-Oxley Act for Investment Personnel Understanding Marketing Regulations

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