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Regulation W - Relations With Affiliates

Sections 23A & B are intended to protect depository institutions from suffering losses in transactions with their own affiliates. GLBA’s repeal of Glass Steagall Act in 1999 has been scrutinized and blamed for its damaging effects on the financial industry and economy. As a result, the voluminous Dodd-Frank includes several sections and the Volcker Rule, to protect banks, the FDIC fund, and ultimately your customers. Business as usual may find that your institution could be involved in activities that are now restricted or not allowed by the new sections and Volcker Rules.

What You Will Learn:

  • Which regulations interplay with Regulation W
  • The five covered transactions
  • Keepwells, SPEs, Cross-netting
  • What are the strict limitations that must be adhered to
  • The required security for all affiliate transactions
  • The forbidden ones
  • Beware of the Big Catch All Umbrella

Who Should Attend:

Compliance Officers, CFO’s, Investment Officers, Board Members, Treasurers

Level:

Basics to Intermediate

Training on Demand's are limited to Premium Members. If you are interested in learning more about Premium Membership and its benefits, please contact us at Regulatory.Services@capco.com.

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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