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Loans to Insiders (Reg O) for Compliance Professionals

Provides a way to obtain a strong knowledge of Regulation O, which governs loans that a bank makes to its insiders (i.e., executive officers, directors, principal shareholders and their related interests). Describes who the regulation applies to, the manner in which its provisions apply to various insiders, and the records that must be maintained.

Reviewed: November 2018 (no changes necessary)
Re-versioned: June 2016

What You'll Learn

After completing this course, students will be able to:

  • Identify parties and transactions covered under Regulation O
  • Describe basic restrictions and limitations under Regulation O
  • Explain the reporting and recordkeeping requirements of Regulation O


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

ABA Professional Certifications: 1.25 CERP, CLBB, CRCM

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

Your Instructor

Michael D. Maher, CRCM, CRP 
EVP, Wells Fargo Consumer Lending Group

Maher provides oversight and advice to CLG businesses to formulate and implement compliance and operational risk policies, procedures and controls.  Maher serves on the faculty and chairs the advisory board for the American Bankers Association (ABA) National Compliance Schools and has taught at numerous seminars and schools offered by various state and local banking associations. ​​​​​​​​

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



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


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