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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  |  Workshop  |  Experience

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.


 

 Full Program

 

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

  • COMPL - Compliance Risk Management (Governance/Measuring, Reporting/Exam Management)
  • LEGAL - Legal/Regulatory Risk
  • CONSMR - Consumer Protection
  • LENDING - Lending
  • LEADER - Leadership/Talent Management: The Futured Focused Compliance Officer
  • INFOSEC - Information Security/Financial Crimes
  • INNOV-A - Innovation Track A: Tech Tools for Compliance Officers - Understanding How it is All Changing
  • INNOV-B - Innovation Track B: Technology Priority Issues: Challenges and Solutions
  • INNOV-C - 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 2A
INNOV-ACOMPL

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

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

Deep Dive 1D: Next Gen Compliance Management Systems: This Ain't Your Grandma's CMS!
– Repeated in Deep Dive 2D
COMPL

CMS 3.0 is here but what should it look like? This panel will address practical approaches for all bank sizes to further develop an evolving CMS that is dynamic and responsive to regulatory changes and expectations, while addressing industry trends, and providing tactical tools to better leverage your own risk indicators.

Deep Dive 1E: Litigation Risk Review
– Repeated in Deep Dive 2E
LEGAL

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
INFOSEC

Deep Dive 1H: Exam Management: Tips and Tricks – An Interactive Discussion
– Repeated in Deep Dive 2H
COMPL

Successfully managing the examination process is similar to managing the compliance lifecycle of a product or service. Experienced professionals will provide their tips and tricks as they walk through all of the essential phases of the exam lifecycle, including:  establishing a strong governance framework, preparatory work, daily exam interactions and post-examination follow-up.   Bring your ideas as well and expect to share what you’ve learned through common and uncommon experiences.

Deep Dive 1I: Don’t Get Caught Off Guard – Conduct Risk Leading Indicators and Assessment
- Repeated in Deep Dive 2I
COMPL

Regulatory scrutiny and expectations continue to be heightened related to Conduct Risk.  Join us as we hone in on potential leading indicators in the space that can help you stay ahead of the game.  We will also discuss scope of coverage for this risk type and tips for stones to look under to assist with aggregating a holistic view for assessment and reporting. 

Deep Dive 1J: Technology Advancements in Payments and Their Compliance Risks
- Repeated in Deep Dive 2J
INNOV-A

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
INNOV-ACOMPL

Deep Dive 2B: Data Governance in a New Era
– Repeated from Deep Dive 1B
INNOV-A COMPL

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

Deep Dive 2D: Next Gen Compliance Management Systems: This Ain’t Your Grandma’s CMS!
– Repeated from Deep Dive 1D
COMPL

CMS 3.0 is here but what should it look like? This panel will address practical approaches for all bank sizes to further develop an evolving CMS that is dynamic and responsive to regulatory changes and expectations, while addressing industry trends, and providing tactical tools to better leverage your own risk indicators.

Deep Dive 2E: Litigation Risk Review
– Repeated from Deep Dive 1E
LEGAL

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
INFOSEC

Deep Dive 2H: Exam Management: Tips and Tricks – An Interactive Discussion
– Repeated from Deep Dive 1H
COMPL

Successfully managing the examination process is similar to managing the compliance lifecycle of a product or service. Experienced professionals will provide their tips and tricks as they walk through all of the essential phases of the exam lifecycle, including:  establishing a strong governance framework, preparatory work, daily exam interactions and post-examination follow-up.   Bring your ideas as well and expect to share what you’ve learned through common and uncommon experiences.

Deep Dive 2I: Don’t Get Caught Off Guard – Conduct Risk Leading Indicators and Assessment
- Repeated from Deep Dive 1I
COMPL

Regulatory scrutiny and expectations continue to be heightened related to Conduct Risk.  Join us as we hone in on potential leading indicators in the space that can help you stay ahead of the game.  We will also discuss scope of coverage for this risk type and tips for stones to look under to assist with aggregating a holistic view for assessment and reporting. 

Deep Dive 2J: Technology Advancements in Payments and Their Compliance Risks
- Repeated from Deep Dive 1J
INNOV-A

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
INNOV-B

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

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

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

CS-1F: Sales Practices Risk: Don’t Stop Now - It’s Time to Take it to the Next Level!
- Repeated in CS-2F
CONSMR

Many institutions are still working to wrap their arms around sales practices risk and how to adequately mitigate and oversee the various ways in which this risk can manifest. Join us as we go through some leading indicators to help identify sales practices risk.  Then, we will dig deeper and discuss considerations when dealing with affiliates and fourth parties as well as recent guidance pertaining to retail non-deposit investment products (RNDIP) sales activities.

CS-1G: FDIC Rules
- Single Session
CONSMR

CS-1H: Digital Marketing: When Compliance and Technology Collide
- Repeated in CS-2H
INNOV-B

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

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.

INNOV-CLEADER

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
INNOV-B

CS-2B: Serving Diverse Communities - Making It Work
– Repeated in CS-5D
LENDING CONSMR

CS-2C: Banking a Marijuana or CBD Business
– Repeated from CS-3C
INFOSEC

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
COMPL

CS-2F: Sales Practices Risk: Don’t Stop Now - It’s Time to Take it to the Next Level!
– Repeated from CS-1F
CONSMR

CS-2G: Compliance Risks in Retail Investment and Non-Deposit Products
– Repeated in CS-5E
LEGAL

As your bank’s compliance management system for traditional banking products changed and expanded, is the asset management compliance program still adequate and effective? This session will provide an overview of regulatory hot button concerns within asset management and approaches to integrating and aggregating compliance risks holistically so it is understandable and digestible to management and the board.

CS 2H: Digital Marketing: When Compliance and Technology Collide
– Repeated from CS-1H
INNOV-B

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

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


12:00 pm - 1:45 pm

LUNCH (Two Options)

Option 1: Luncheon Buffet in the Marketplace

Option 2: Idea Exchange: Peer Problem Solving Lunch

Got a problem, a burning question or just wonder how other bankers do things when they get in a jam? Come have lunch and discuss these and any other topics with your peers.  We’ll have facilitators to help stir the pot and provide their insight when you get in a “pickle”.

1:45 pm - 2:30 pm

GENERAL SESSION

Keynote Address: Compliance Officer of the Future

Featuring: Patti Blenden
LEADER

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
INNOV-B CONSMR

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

CS-3C: Banking a Marijuana Related or CBD Business
– Repeated from CS-2C
INFOSEC

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
INFOSEC

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

CS-3H: The Power of Negotiation
– Repeated in CS-5A
LEADER

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 am

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
INNOV-B CONSMR

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

CS-4C: Automated Testing and Monitoring
– Repeated in CS-5C
COMPL

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
INFOSEC

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
CONSMR

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

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
LEADER

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

CS-5C: Automated Testing and Monitoring
– Repeated from CS-4C
COMPL

CS-5D: Serving Diverse Communities - Making It Work
– Repeated from 2B
LENDING CONSMR

CS-5E: Compliance Risks in Retail Investment and Non-Deposit Products
– Repeated from CS-2G
LEGAL

As your bank’s compliance management system for traditional banking products changed and expanded, is the asset management compliance program still adequate and effective? This session will provide an overview of regulatory hot button concerns within asset management and approaches to integrating and aggregating compliance risks holistically so it is understandable and digestible to management and the board.

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
COMPL

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
COMPL

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

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

LEADER

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

  • 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.

  • 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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 Session Tracks

 

Conference Tracks

Compliance Risk Management (Governance/Measuring, Reporting/Exam Management)

Sunday, June 9, 2019

Deep Dive Series 1 -
10:00 am - 11:30 am

Deep Dive 1A: Demystifying Al and Robotics – Mid-Size/Large Bank
– Single Session - Community Bank Version in Deep Dive 2A

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

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

Deep Dive 1D: Next Gen Compliance Management Systems: This Ain’t Your Grandma’s CMS!
– Repeated in Deep Dive 2D

Deep Dive 1H: Exam Management: Tips and Tricks – An Interactive Discussion
– Repeated in Deep Dive 2H

Deep Dive 1I: Don’t Get Caught Off Guard – Conduct Risk Leading Indicators and Assessment
– Repeated in Deep Dive 2I

Deep Dive Series 2 -
1:30 pm - 3:00 pm

Deep Dive-2A: Demystifying AI and Robotics - Community Bank
– Single Session - Mid-Size/Large Bank Version in Deep Dive 1A

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

Deep Dive 2D: Next Gen Compliance Management Systems: This Ain’t Your Grandma’s CMS!
– Repeated from Deep Dive 1D

Deep Dive 2H: Exam Management: Tips and Tricks – An Interactive Discussion
– Repeated from Deep Dive 1H

Deep Dive 2I: Don’t Get Caught Off Guard – Conduct Risk Leading Indicators and Assessment
- Repeated from Deep Dive 1I

Concurrent Series 1 -
3:15 pm - 4:30 pm

CS-1B: Building a Strong Three-Lines-of-Defense Strategy
Of special interest to community and small mid-size banks

– Repeated in CS-5H

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

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

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

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

Concurrent Series 3 -
3:00 pm - 4:15 pm

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

​Tuesday, June 11, 2019

Concurrent Series 4 -
10:45 am - 12:00 pm

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

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

Concurrent Series 5 -
1:30 pm - 2:45 pm

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

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

CS-5H: Building a Strong Three-Lines-of-Defense Strategy
Of special interest to community an small mid-size banks
– Repeated from CS-1B


Sunday, June 9, 2019

Deep Dive Series 1 -
10:00 am - 11:30 am

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

Deep Dive Series 2 -
1:30 pm - 3:00 pm

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

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

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

Tuesday, June 11, 2019

Concurrent Series 5 -
1:30 pm - 2:45 pm

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

Wednesday, June 12, 2019

General Session -
10:00 am - 11:00 am

Regulatory Roundtable


Consumer Protection

Sunday, June 9, 2019

Concurrent Series 1 -
3:15 pm - 4:30 pm

CS-1F: Sales Practices Risk: Don’t Stop Now - It’s Time to Take it to the Next Level!
– Repeated in CS-2F

CS-1G: FDIC Rules
– Single Session

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

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

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

CS-2F: Sales Practices Risk: Don’t Stop Now - It’s Time to Take it to the Next Level!
– Repeated from CS-1F

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

Concurrent Series 3 -
3:00 pm - 4:15 pm

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

Tuesday, June 11, 2019

Concurrent Series 4 -
10:45 am - 12:00 pm

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

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

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

Concurrent Series 5 -
1:30 pm - 2:45 pm

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

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

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


Lending

Sunday, June 9, 2019

Deep Dive Series 1 -
10:00 am - 11:30 am

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

Deep Dive Series 2 -
1:30 pm - 3:00 pm

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

Concurrent Series 1 -
3:15 pm - 4:30 pm

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

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

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

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

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

Concurrent Series 3 -
3:00 pm - 4:15 pm

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

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

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

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

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

Tuesday, June 11, 2019

Concurrent Series 4 -
10:45 am - 12:00 pm

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

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

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

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

Concurrent Series 5 -
1:30 pm - 2:45 pm

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

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

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


Leadership/Talent Management: The Future-Focused Compliance Officer

Sunday, June 9, 2019

Deep Dive Series 2 -
1:30 pm - 3:00 pm

Deep Dive 2C: A Roundtable Discussion: Compliance in an "Agile" Environment
Of greatest interest to Mid-Size/Large Banks

– Single Session

General Session -
4:45 pm - 6:00 pm

Innovation Roundtable: Building an Innovative Compliance Function

Monday, June 10, 2019

General Session -
1:45 pm - 2:30 pm

Keynote Address: Compliance Officer of the Future
Featuring Patti Blenden

Concurrent Series 3 -
3:00 pm - 4:15 pm

CS-3H: The Power of Negotiation
– Repeated in CS-5A

Tuesday, June 11, 2019

Concurrent Series 5 -
1:30 pm - 2:45 pm

CS-5A: The Power of Negotiation
– Repeated from CS-3H

Wednesday, June 12, 2019

General Session -
8:45 am - 9:45 am

Key Note Address: Leading Stakeholders: Up and Across the Enterprise


Information Security/Financial Crimes

Sunday, June 9, 2019

Deep Dive Series 1 -
10:00 am - 11:30 am

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

Deep Dive Series 2 -
1:30 pm - 3:00 pm

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

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

CS-2C: Banking a Marijuana or CBD Business
– Repeated from CS-3C

Concurrent Series 3 -
3:00 pm - 4:15 pm

CS-3C: Banking a Marijuana Related or CBD Business
– Repeated from CS-2C

CS-3F: How to Bank High Risk Customers
– Repeated in CS-4F

Tuesday, June 11, 2019

Concurrent Series 4 -
10:45 am - 12:00 pm

CS-4F: How to Bank High Risk Customers
– Repeated from CS-3F


Innovation Track A: Tech Tools for Compliance Officers - Understanding How it is All Changing

Sunday, June 9, 2019

Deep Dive Series 1 -
10:00 am - 11:30 am

Deep Dive 1A: Demystifying AI and Robotics – Mid-Size/Large Bank
– Single Session - Community Bank Version in Deep Dive 2A

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

Deep Dive 1J: Technology Advancements in Payments and Their Compliance Risks
– Repeated in Deep Dive 2J

Deep Dive Series 2 -
1:30 pm - 3:00 pm

Deep Dive 2A: Demystifying AI and Robotics - Community Bank
– Single Session - Mid-Size/Large Bank Version in Deep Dive 1A

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

Deep Dive 2J: Technology Advancements in Payments and Their Compliance Risks
- Repeated from Deep Dive 1J


Innovation Track B: Technology Priority Issues: Challenges and Solutions

Sunday, June 9, 2019

Concurrent Series 1 -
3:15 pm - 4:30 pm

CS-1A: Compliance and FinTech: From Onboarding to Monitoring and Everything in Between!
– Repeated in CS-2A

CS-1H: Digital Marketing: When Compliance and Technology Collide
– Repeated in CS-2H

Monday, June 10, 2019

Concurrent Series 2 -
11:00 am - 12:15 pm

CS-2A: Compliance and FinTech: From Onboarding to Monitoring and Everything in Between
– Repeated from CS-1A

CS-2H: Digital Marketing: When Compliance and Technology Collide
– Repeated from CS-1H

Concurrent Series 3 -
3:00 pm - 4:15 pm

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

Tuesday, June 11, 2019

Concurrent Series 4 -
10:45 am - 12:00 pm

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


Innovation Track C: Technology Planning and Managing for the Future

Sunday, June 9, 2019

General Session -
4:45 pm - 6:00 pm

Innovation Roundtable: Building an Innovative Compliance Function


Schedule Questions? Please contact Dorothy Friedlander for more information.