Electronic customer signatures, verification and due diligence have made full compliance with KYC and CDD/EDD requirements harder for many financial institutions. This 60-minute webinar on e-signatures, e-verification and e-CDD explains how to use these electronic methods and what FinCEN and other regulators have said about them.
You'll define each term, review FinCEN, FFIEC and other requirements, and look at common mistakes, AML/CFT internal controls and what to add to KYC and CDD/EDD policies, procedures and practices.
The session also covers industry standards and business norms, enforcement actions involving weak programs, and issues likely to come up in the future.
As electronic technology spreads through the financial sector, staff need to understand how it works, how fast it changes and the risks it brings to customer information gathering and verification.
This session suits frontline BSA/AML, account opening and customer service staff, BSA/AML and compliance officers, audit staff, investigators and SAR decision-makers, and risk managers.
As electronic technology spreads through the financial sector, staff need to understand how it works, how fast it changes and the risks it brings to customer information gathering and verification.
This session suits frontline BSA/AML, account opening and customer service staff, BSA/AML and compliance officers, audit staff, investigators and SAR decision-makers, and risk managers.
Thomas Nollner
Thomas E Nollner has more than 35 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner for the Comptroller of the Currency where he was a safety and soundness examiner and a compliance examiner. As a safety and soundness examiner he examined national banks for capital adequacy, asset quality, management issues, earnings concerns, and liquidity funding. As a compliance examiner, he examined national banks for compliance with consumer laws and regulations such as the Truth-in-Lending Act, the Real Estate Settlement Procedures Act, the Flood Disaster Protection Act, the Community Reinvestment …
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