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ABA Regulatory Compliance Conference

June 9-12, 2019 • Hyatt Regency New Orleans • New Orleans, LA

ABA Regulatory Conference

Overview  |  Registration  |  Program  |  Hotel & Venue  |  Sponsors & Exhibitors  |  WorkshopExperience

2019 Program

Below is the preliminary program for 2019. This program will be subject to change - please bookmark this page to check for continuing updates.

A Note on Continuing Education Credits for 2019

​This program will be pointed for ABA Professional Certifications and CPE continuing education credits in May 2019. To get an idea of the number of credits typically offered for this program, view the continuing education worksheet for 2018.

Saturday, June 8  |  Sunday, June 9  |  Monday, June 10  |  Tuesday, June 11  |  Wednesday, June 12


Saturday, June 8, 2019

8:00 am - 5:00 pm

​PRE-CONFERENCE WORKSHOP: ABA Fair and Responsible Lending Workshop

You can add on this optional pre-conference workshop to your conference registration or you can attend the workshop without attending the conference.

Workshop Hours:
8:00 am - 9:15 am - Workshop Registration and Continental Breakfast
9:15 am - 5:00 pm - Workshop (includes lunch, morning and afternoon beverage breaks)

2:00 pm - 5:00 pm

CONFERENCE REGISTRATION OPENS


Conference Tracks

Compliance Risk Management (Governance/Measuring, Reporting/Exam Management)
Legal/Regulatory Risk
Consumer Protection
Lending
Leadership/Talent Management: The Futured Focused Compliance Officer
Information Security/Financial Crimes
Innovation Track A: Tech Tools for Compliance Officers - Understanding How it is All Changing
Innovation Track B: Technology Priority Issues: Challenges and Solutions
Innovation Track C: Technology Planning and Managing for the Future

Sunday, June 9, 2019

7:30 am - 6:30 pm

REGISTRATION OPEN

9:00 am - 9:45 am

NEW ATTENDEE WELCOME (Optional)

Newcomers, don your newcomers badge ribbon (found at registration) and stop by this optional 45-minute newcomers welcome. Hear tips on maximizing your conference ROI. This optional welcome briefing is open to all first-time attendees who plan on attending the educational offerings.

10:00 am - 11:30 am

DEEP DIVE SESSIONS - SERIES 1

Deep Dive Sessions provide an interactive environment where leading practices are explored and discussed in an expanded session.

Deep Dive 1A: Demystifying AI and Robotics Mid-Size/Large Bank
Single Session - Community Bank Version in Deep Dive

Innovation Track A: Tech Tools
Compliance Risk Management


Deep Dive 1B: Data Governance in a New Era
– Repeated in Deep Dive 2B

Innovation Track A: Tech Tools
Compliance Risk Management


Deep Dive 1C: Effective Change Management -- Community Banks
– Single Session
Compliance Risk Management


Deep Dive 1D: Next Gen Compliance Management Systems
– Repeated in Deep Dive 2D
Compliance Risk Management


Deep Dive 1E: Litigation Risk Review
– Repeated in Deep Dive 2E
Legal/Regulatory Risk


Deep Dive 1F: A Banker's Guide to New HMDA Data
– Repeated in Deep Dive 2F
Lending


Deep Dive 1G: Data Protection Rules - It's More Than You Think
– Repeated in Deep Dive 2G
Information Security/Financial Crimes


Deep Dive 1H: Exam Management: The New Frontier
– Repeated in Deep Dive 2H
Compliance Risk Management


Deep Dive 1I: Leading Indicators in Conduct Risk
Repeated in Deep Dive 2I
Compliance Risk Management


Deep Dive 1J: Technology Advancements in Payments and Their Compliance Risks
Repeated in Deep Dive 2J
Innovation Track A: Tech Tools


11:30 am - 1:30 pm

BOX LUNCH

Pick up your box lunch and either enjoy some one-on-one networking time or enjoy a showcase of innovative compliance solutions in our main ballroom. 

1:30 pm - 3:00 pm

DEEP DIVE SESSIONS - SERIES 2

Deep Dive Sessions provide an interactive environment where leading practices are explored and discussed in an expanded session.

Deep Dive-2A: Demystifying AI and Robotics - Community Bank
– Single Session - Mid-Size/Large Bank Version in Deep Dive 1A
Innovation Track A: Tech Tools
Compliance Risk Management


Deep Dive 2B: Data Governance in a New Era
– Repeated from Deep Dive 1B
Innovation Track A: Tech Tools
Compliance Risk Management


Deep Dive 2C: A Roundtable Discussion: Compliance in an "Agile" Environment - of greatest interest to Mid-Size/Large Banks
– Single Session
Leadership/Talent Management


Deep Dive 2D: Next Gen Compliance Management Systems
– Repeated from Deep Dive 1D
Compliance Risk Management


Deep Dive 2E: Litigation Risk Review
– Repeated from Deep Dive 1E
Legal/Regulatory Risk


Deep Dive 2F: A Banker's Guide to New HMDA Data
– Repeated in Deep Dive 2F
Lending


Deep Dive 2G: Data Protection Rules - It's More Than You Think!
- Repeated from Deep Dive 1G
Info Security/Financial Crimes


Deep Dive 2H: Exam Management: The New Frontier
– Repeated from Deep Dive 1H
Compliance Risk Management


Deep Dive 2I: Leading Indicators in Conduct Risk
- Repeated from Deep Dive 1I
Compliance Risk Management

Deep Dive 2J: Technology Advancements in Payments and Their Compliance Risks
- Repeated from Deep Dive 1J
Innovation Track A: Tech Tools

3:00 pm - 3:15 pm

TRAVEL TO NEXT SESSION

3:15 pm - 4:30 pm

CONCURRENT SESSIONS - SERIES 1

Traditional concurrent sessions offer a wide range of topic selections.

CS-1A: Compliance and FinTech: From Onboarding to Monitoring and Everything in Between!
– Repeated in CS-2A
Innovation Track B: Technology Priority Issues


CS-1B: Building a Strong Three-Lines-of-Defense Strategy - of special interest to community and small mid-size banks
– Repeated in CS-5H
Compliance Risk Management


CS-1C: Board Reporting: Is It "War and Peace" or "Cliff Notes"? A Roundtable Discussion
– Repeated in CS-2E
Compliance Risk Management


CS-1D: Top CRA Challenges and How to Solve Them
– Repeated in CS-3E
See Flash Session on CRA for an overview of regulatory updates. This session is focused on tactics.
Lending


CS-1E: Fine-Tuning and Creating Efficiencies for the Three Lines of Defense
Of special interest to large mid-size and money center banks
– Repeated in CS-5F
Compliance Risk Management


CS-1F: Sales Practices Risk
– Repeated in CS-2F
Consumer Protection


CS-1G: FDIC Rules
– Single Session
Consumer Protection


CS-1H: Digital Marketing: When Compliance and Technology Collide
– Repeated in CS-2H
Innovation Track B: Technology Priority Issues


CS-1I: Leading Indicators to UDAAP Risk: Being Customer Centric Without Compliance Compromise
– Repeated in CS-2I
Consumer Protection


CS-1J: Compliance Hotline: LIVE!
– Repeated in CS-4J
All Tracks


4:30 pm - 4:45 pm

TRAVEL TO NEXT SESSION

4:45 pm - 6:00 pm

GENERAL SESSION

Innovation Roundtable: Building an Innovative Compliance Function

Innovation and technology are changing the way compliance operates in banks of all sizes. Our roundtable will rethink every aspect of the compliance management function including performance standards, talent management and skills building, vendor management, policies and procedures. There is no one answer for how your institution plans for the future - but we'll provide some thoughts on what you should be asking yourselves now, so you will be prepared when the future arrives. 

Innovation Track C: Technology Planning
Leadership/Talent Management

6:00 pm - 7:15 pm

OPENING RECEPTION IN THE MARKETPLACE

Our marketplace is your compliance solutions hub where you can speak one-on-one with the nation's top compliance risk solutions providers and hear trending new practices in our live podcast studio.

Sponsored by ABA Endorsed Solutions

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Monday, June 10, 2019

7:00 am - 6:00 pm

REGISTRATION OPEN

7:30 am - 8:30 am

POWER HOUR SESSIONS

Take full advantage of your conference experience! Join one of our expert corporate partners for a quick-paced informative session all while enjoying a continental breakfast. Seating is first-come, first-served - no reservations are required.

Look for timely and informative sessions from these sponsors:
- Grant Thornton
- Treliant, LLC
- Wolters Kluwer

Specific Session Details to be Announced in May 2019.

8:00 am - 8:30 am

CONTINENTAL BREAKFAST IN THE MARKETPLACE

8:45 am - 10:15 am

GENERAL SESSION

Washington Regulatory Update

10:15 am - 11:00 am

COFFEE BREAK IN THE MARKETPLACE

11:00 am - 12:15 pm

CONCURRENT SESSIONS - SERIES 2

CS-2A: Compliance and FinTech: From Onboarding to Monitoring and Everything in Between
– Repeated from CS-1A
Innovation Track B: Technology Priority Issues


CS-2B: Serving Diverse Communities - Making It Work
– Repeated in CS-5D
Lending
Consumer Protection


CS-2C: Banking a Marijuana or CBD Business
– Repeated from CS-3C
Info Security/Financial Crimes


CS-2D: Commercial Lending Compliance Hot Topics
– Repeated in CS-3D
Lending


CS-2E: Board Reporting: Is it "War and Peace" or "Cliff Notes"? A Roundtable Discussion
– Repeated from CS-1C
Compliance Risk Management


CS-2F: Sales Practices Risk
– Repeated from CS-1F
Consumer Protection


CS-2G: Compliance Risks in Retail Investment and Non-Deposit Products
– Repeated in CS-5E
Legal/Regulatory Risk


CS 2H: Digital Marketing: When Compliance and Technology Collide
– Repeated from CS-1H
Innovation Track B: Technology Priority Issues


CS-2I: Leading Indicators to UDAAP Risk: Being Customer Centric Without Compliance Compromise
– Repeated from CS-1I
Consumer Protection


CS-2J: Monitoring Your Mortgage Lending Controls
– Repeated in CS-3J
Lending


12:00 pm - 1:45 pm

Two Luncheon Options

Option 1: Luncheon Buffet in the Marketplace

Option 2: Idea Exchange: Peer Problem Solving Lunch

1:45 pm - 2:30 pm

GENERAL SESSION

Keynote Address: Compliance Officer of the Future

Featuring: Patti Blenden
Leadership/Talent Management

2:30 pm - 3:15 pm DESSERT BREAK IN THE MARKETPLACE

3:00pm - 4:15 pm

CONCURRENT SESSIONS - SERIES 3

CS-3A: Compliance Hazards in Nontraditional Banking Channels: From Chatbots to Digital Assistants
– Repeated in CS-4A

Innovation Track B: Technology Priority Issues
Consumer Protection


CS-3B: Braking Good Before Things Go Bad: Establishing an Early Warning Compliance System
– Repeated in CS-4B
Compliance Risk Management


CS-3C: Banking a Marijuana Related or CBD Business
– Repeated from CS-2C
Info Security/Financial Crimes


CS-3D: Commercial Lending Compliance Hot Topics
– Repeated from CS-2D
Lending


CS-3E: Top CRA Challenges and How to Solve Them
– Repeated from CS-1D
Lending


CS-3F: How to Bank High Risk Customers
– Repeated in CS-4F
Info Security/Financial Crimes


CS-3G: KRIs in Mortgage Servicing
– Repeated in CS-4D
Lending


CS-3H: The Power of Negotiation
– Repeated in CS-5A
Leadership/Talent Management


CS-3I: Flood Hot Topics and Tactics
– Repeated in CS-4E
Lending


CS-3J: Monitoring Your Mortgage Lending Controls
– Repeated from CS-2J
Lending


4:30 pm - 4:45 pm

TRAVEL TO NEXT SESSION

4:45 pm - 5:30 pm

FLASH SESSIONS - SERIES 1: The Latest from Washington, DC

These reg-centric briefings will bring you the latest regulatory updates from Washington in a narrowly-focused, quick-download of proposals and new rules. Bring your questions - our experts will be ready to tell you all we know! These topics are subject to change, depending on late-breaking developments.

Flash-1A: Small Dollar Lending Regulatory Update
– Repeated in Flash-2A


Flash-1B: Mortgage Lending Regulatory Update
Repeated in Flash 2B

Speaker: Rod Alba, Senior Vice President, Real Estate Finance and Senior Regulatory Counsel, American Bankers Association

Flash-1C: BSA/AML Regulatory Update
– Repeated in Flash 2C

Speaker: Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Flash-1D: CRA Modernization Update
– Repeated in Flash 2D

Speaker: Krista Shonk, Vice President, Regulatory Compliance Policy, Center for Regulatory Compliance, American Bankers Association

Flash-1E: Debt Collection Regulatory Update
– Repeated in Flash 2E

Speaker: Diana Banks, Senior Counsel, ABA Center for Regulatory Compliance, American Bankers Association

Flash-1F: HMDA Re-Proposal - Regulatory Update
– Repeated in Flash 2F


Flash-1G: TCPA: New Rule
– Repeated in Flash 2G

Speaker: Jonathan Thessin, Senior Counsel II, ABA Center for Regulatory Compliance, American Bankers Association
 

Flash-1H: Appraisals Regulatory Update
– Repeated in Flash 2H

Speaker: Sharon Whitaker, Vice President, Real Estate and Finance Housing Policy, American Bankers Association

 

Flash 1I: Elder Financial Abuse - Hot Topics
- Repeated in Flash 2I

5:30 pm - 6:30 pm

RECEPTION IN THE MARKETPLACE

6:30 pm - 7:30 pm

CRCM RECEPTION (for CRCMs Only)

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Tuesday, June 11, 2019

7:00 am - 4:00 pm

REGISTRATION OPEN

7:30 am - 8:30 am

POWER HOUR SESSIONS

Take full advantage of your conference experience! Join one of our expert corporate partners for a quick-paced informative session all while enjoying a continental breakfast. Seating is first-come, first-served - no reservations are required.

Look for timely and informative sessions from these sponsors:

- Buckley LLP
- Capco
- RSM

Specific Session Details to be Announced in May 2019.


8:00 am - 8:30 am

CONTINENTAL BREAKFAST IN THE MARKETPLACE

8:45 am - 10:00 am

GENERAL SESSION

10:00 am - 10:45 pm

COFFEE BREAK IN THE MARKETPLACE

10:45 am - 12:00 pm

CONCURRENT SESSIONS - SERIES 4

CS-4A: Compliance Hazards in Nontraditional Banking Channels: From Chatbots to Digital Assistants
– Repeated from CS-3A
Innovation Track B: Technology Priority Issues
Consumer Protection


CS-4B: Braking Good Before Things Go Bad: Establishing an Early Warning Compiance System
– Repeated from CS-3B
Compliance Risk Management


CS-4C: Automated Testing and Monitoring
– Repeated in CS-5C
Compliance Risk Management


CS-4D: KRIs in Mortgage Servicing
– Repeated from CS-3G
Lending


CS-4E: Flood Hot Topics and Tactics
– Repeated from CS-3I
Lending


CS-4F: How to Bank High Risk Customers
– Repeated from CS-3F
Information Security/Financial Crimes


CS-4G: Fair Lending Hot Topics: What is Keeping You Up at Night?
– Repeated in CS-5G
Lending


CS-4H: Developing a Policy on Reimbursements and Remediation
– Repeated in CS-5B
Consumer Protection


CS-4I: Military Lending Act and SCRA: Covering Your Bases
– Repeated in CS-5I
Lending
Consumer Protection


CS-4J: Compliance Hotline: LIVE!
– Repeated from CS-1J


12:00 pm - 1:30 pm

BUFFET LUNCHEON IN THE MARKETPLACE

Enjoy lunch with our innovative corporate partners.

1:30 pm - 2:45 pm

CONCURRENT SESSIONS - SERIES 5

CS-5A: The Power of Negotiation
– Repeated from CS-3H
Leadership/Talent Management


CS-5B: Developing a Policy on Reimbursements and Remediation
– Repeated from CS-4H
Consumer Protection


CS-5C: Automated Testing and Monitoring
– Repeated from CS-4C
Compliance Risk Management


CS-5D: Serving Diverse Communities - Making It Work
– Repeated from 2B
Lending
Consumer Protection


CS-5E: Compliance Risks in Retail Investment and Non-Deposit Products
– Repeated from CS-2G
Legal/Regulatory Risk


CS-5F: Fine-Tuning and Creating Efficiencies for the Three Lines of Defense
Of special interest to large mid-size and money center banks
- Repeated from CS-1E
Compliance Risk Management


CS-5G: Fair Lending Hot Topics: What is Keeping You Up at Night?
– Repeated from CS-4G
Lending


CS-5H: Building a Strong Three-Lines-of-Defense Strategy
Of special interest to community an small mid-size banks

– Repeated from CS-1B
Compliance Risk Management


CS-5I: Military Lending Act and SCRA: Covering Your Bases
– Repeated from CS-4I
Lending
Consumer Protection


2:45 pm - 3:45 pm

FINAL DESSERT BREAK IN THE MARKETPLACE

3:45 pm - 4:30 pm

FLASH SESSIONS - SERIES 2: The Latest from Washington, DC

These reg-centric briefings will bring you the latest updates from Washington in a narrowly-focused, quick-download of proposals and new rules. Bring your questions - our experts will be ready to tell you all we know! These topics are subject to change, depending on late-breaking developments.

Flash-2A: Small Dollar Lending Regulatory Update
– Repeated from Flash 1A


Flash-2B: Mortgage Lending Regulatory Update
– Repeated from Flash 1B

Speaker: Rod Alba, Senior Vice President, Real Estate Finance and Senior Regulatory Counsel, American Bankers Association

Flash-2C: BSA/AML Regulatory Update
– Repeated from Flash 1C

Speaker: Robert G. Rowe (Rob), III, Vice President/Associate Chief Counsel, Regulatory Compliance, American Bankers Association

Flash-2D: CRA Modernization Update
– Repeated from Flash 1D

Speaker: Krista Shonk, Vice President, Regulatory Compliance Policy, Center for Regulatory Compliance, American Bankers Association

Flash-2E: Debt Collection Regulatory Update
– Repeated from Flash 1E

Speaker: Diana Banks, Senior Counsel, ABA Center for Regulatory Compliance, American Bankers Association

Flash-2F: HMDA Re-Proposal - Regulatory Update
– Repeated from Flash 1F


Flash-2G: TCPA - New Rule
– Repeated in Flash 1G

Speaker: Jonathan Thessin, Senior Counsel II, ABA Center for Regulatory Compliance, American Bankers Association

 

Flash-2H: Appraisals Regulatory Update
– Repeated from Flash 1H

Speaker: Sharon Whitaker, Vice President, Real Estate and Finance Housing Policy, American Bankers Association

 

Flash-2I: Elder Financial Abuse - Hot Topics
-Repeated from Flash 1I

4:30 pm

ADJOURN FOR THE DAY

Enjoy a night on your own in New Orleans!

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Wednesday, June 12, 2019

7:30 am - 12:30 pm

REGISTRATION OPEN

7:30 am - 8:30 am

POWER HOUR SESSIONS

Take full advantage of your conference experience! Join one of our expert corporate partners for a quick-paced informative session all while enjoying a continental breakfast. Seating is first-come, first-served - no reservations required.

Power Hour Session #1: CRCM Information Session
Sponsored by ABA Professional Certifications - CRCM

Interested in earning the CRCM? Join the experts over continental breakfast and learn how to earn the highly recognized Certified Regulatory Compliance Manager (CRCM) certification. 

Look for timely and informative sessions from these sponsors:

- ACL Services Ltd

Specific Session Details to be Announced in May 2019.


8:00 am - 8:45 am

CONTINENTAL BREAKFAST IN THE FOYER

8:45 am - 9:45 am

GENERAL SESSION

Key Note Address:

Leading Stakeholders: Up and Across the Enterprise

Leadership/Talent Management

9:45 am - 10:00 am

STRETCH BREAK

10:00 am - 11:00 am

GENERAL SESSION

Regulatory Roundtable

Senior Representatives from banking supervisory agencies will discuss the latest exam concerns, guidance and what's on the horizon.

Legal/Regulatory Risk

  • Moderator: Virginia O'Neill, Senior Vice President, Center for Regulatory Compliance, American Bankers Association
  • Speakers:
    • Senior Representative from the Board of Governors of the Federal Reserve System
    • Senior Representative from the Consumer Financial Protection
    • Senior Representative from the Federal Deposit Insurance Corporation
    • Senior Representative from the Office of the Comptroller of the Currency

11:00 am - 11:15 am

STRETCH BREAK

11:15 am - 12:15 pm

CLOSING GENERAL SESSION

What to Tell Your CEO When You Return Home

How will you summarize four days' worth of learning into a presentation to your senior management and board? Don't miss ABA's Regulatory Relations Staff's comprehensive and succinct overview of the critical takeaways from the conference. They will also update you on late breaking developments that weren't covered in conference sessions.

All Tracks

  • Moderator: Virginia O'Neill, Senior Vice President, Center for Regulatory Compliance, American Bankers Association
  • Speakers:
    • Rod Alba, Rod Alba, Senior Vice President, Real Estate Finance and Senior Regulatory Counsel, American Bankers Association
    • Diana Banks, Senior Counsel, Center for Regulatory Compliance, American Bankers Association
    • Nessa Feddis, Senior Vice President, Deputy Chief Counsel, Center for Regulatory Compliance, American Bankers Association
    • Rick Freer, Senior Director, Exam and Compliance Programs, ABA Center for Regulatory Compliance, American Bankers Association
    • Robert G. Rowe (Rob), III, Vice President and Associate Chief Counsel, Center for Regulatory Compliance, American Bankers Association
    • Krista Shonk, Vice President, Regulatory Compliance Policy, Center for Regulatory Compliance, American Bankers Association
    • Jonathan Thessin, Senior Counsel II, Center for Regulatory Compliance, American Bankers Association

12:15 pm

CONFERENCE ADJOURNS

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Schedule Questions? Please contact Dorothy Friedlander for more information.