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Regulation O: Still a Regulation

Have you properly identified your employees who fall under Regulation O consideration? Do you annually determine who your Regulation O officers are? Loans to insiders continues to be an area of review for prudential examiners. Have you considered your billpay and overdraft programs? What is the “tangible economic benefit” rule? In this webinar, we will cover how to answer these questions, along with how to assess your institution’s exposure to non-compliance risk.

We Will Cover:

  • Who is covered under the regulation
  • What products and services are covered under the regulation
  • Common violations

Date Aired: February 7, 2019

(Training On-Demands are current as of the date aired.)


  • Diane Banks
    • Diane Banks
    • Diane has over 25 years of banking experience with a focus in consumer lending, deposit operations, loans to insiders and state of Maryland regulatory compliance law. She has helped clients develop regulatory compliance programs and successfully eliminate regulatory compliance findings. Diane is currently the team lead and project manager for Capco Academy. In this role, Diane oversees all development and delivery of regulatory training, webinars, seminars and workshops. Diane serves as one of the lead trainers for all regulatory agencies and custom training for Capco Academy. She brings to the training experience a unique blend of regulatory knowledge, regulatory audit experience and a natural sense of humor. This unique blend allows the audience to learn the practical aspects of regulatory consumer compliance and the field audit application of the regulations in a manner that is relaxing and enjoyable. Prior to transferring and assuming the responsibility for regulatory training, Diane served as Assistant Director in the mid-Atlantic region, including Maryland, Washington, DC., Delaware and Virginia. The team included experienced regulatory compliance and subject matter experts who worked in cooperation with various financial institutions of all sizes to deliver expert regulatory compliance consulting, training, audit, monitoring and risk assessment services. Diane also serves as Capco's credit union expert and is frequently called upon to assist broader Capco with credit union matters.

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Premium Members get access to a number of compliance and risk management resources, including: • Live Webinars • On-Demand Training • Big Orange Book • TRID Calculator • Quick Reference Guides (QRGs) • Monthly Compliance Calendar • Advertising Tutorial

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