Anatomy of a Regulation for Compliance Professionals

Describes how laws are created and how regulations are developed and structured to fulfill their intent. Explains the standard means for referencing a citation and tips for researching various laws and regulations more efficiently.

Updated: Mar. 2017
Re-versioned: June 2016

Learning Objectives

After completing this course, students will be able to:

  • Explain the purpose of federal banking laws and regulations
  • Explain how bills become law and describe the structure of a typical law
  • Describe the structure and format of regulations
  • Identify sources of guidance and practical tips for understanding and interpreting federal laws and regulations
     

Audience

Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.

Course Credits

ICB Certifications: 2.0 CRCM

ABA Certificates: This course applies to the ABA Certificate in Deposit Compliance and the ABA Certificate in Lending Compliance.

Your Instructor

Tom Pareigat
Attorney and General Counsel of The Bancorp, Inc.

Tom Pareigat is General Counsel of The Bancorp, Inc., headquartered in Wilmington, DE, where he oversees the company’s legal, compliance, and third-party risk management division.

He has more than 25 years of consumer protection and regulatory compliance experience and is a frequent speaker on emerging risk issues within the financial services industry. Tom serves on the ABA Bank Compliance magazine editorial advisory board and has previously served on the faculty for the ABA Compliance School and Graduate School.
 
Prior to joining The Bancorp, Tom was a partner at the Minneapolis-based law firm of Lindquist & Vennum PLLP, where he advised banks on a wide range of regulatory matters and represented clients in all phases of the enforcement process. Tom has been a practicing attorney since 1984.

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​​Questions? Please contact ABA Training​ for more information.
 

 Benefits of Self-Paced Training

 
  • Ultimate flexibility
  • Quizzes to support learning
  • Mobile format available
 

 Registration & Pricing

 

Individual Purchase:
ABA Member • $275
Non-Member • $375

Purchase for a Team:
To license this course to your bank for multiple learners, please contact ABA Training.​

 

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