CSBS BAI Course Catalog

Corporate Compliance Laws and Regulations

Complying with Regulation U Complying with Regulation U

30 minutes

Federal Record Retention Requirements 30 minutes Intended primarily for senior management and board members, this course provides a comprehensive overview of federal records retention requirements, as well as best practices for implementing an effective records management program. 10 minutes This compliance brief outlines the conditions under which an individual may be considered a financial institution, and is therefore able to take advantage of the netting provisions described in the Federal Deposit Insurance Corporation Improvement Act of 1991. 15 minutes This compliance brief discusses the acquisition of control of savings associations by companies and individuals, the activities in which savings and loan holding companies may engage, the procedures for securing approval for these transactions and activities, and the procedures under which directors and executive officers may be appointed or employed by savings and loan holding companies in certain circumstances. 10 minutes This compliance brief discusses the acquisition of control of savings associations by companies and individuals, the activities in which savings and loan holding companies may engage, the procedures for securing approval for these transactions and activities, and the procedures under which directors and executive officers may be appointed or employed by savings and loan holding companies in certain circumstances. 30 minutes In this course, intended for lending personnel and compliance officers, you will learn the purpose of Reg U, the general requirements of Reg U, the definition of special purpose loans, and what exempt transactions are. 10 minutes This compliance brief discusses the rules by which bank holding companies must abide with respect to mergers and acquisitions, permissible nonbanking activities, and qualifications for becoming a financial holding company. Anti - Tying 20 minutes Designed with the needs of frontline employees such as lending personnel in mind, this course offers a broad overview of the anti-tying provisions introduced by the Bank Holding Company Act. Through exposure to the regulation-specific concepts and their practical applications, employees will learn how to recognize the concept of tying, determine why some tying arrangements are permitted, while others are prohibited, and recognize the importance of learning and following your institution's anti-tying policies and procedures. Regulation EE: Netting Eligibility for Financial Institutions Regulation LL: Regulations Governing Savings and Loan Holding Companies Regulation MM: Regulations Governing Savings and Loan Holding Companies in Mutual Form Regulation U: In Detail Regulation Y: Bank Holding Companies and Change in Bank Control Bank Holding Company Act: Anti-Tying

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