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The Ins & Outs of Regulation O

Regulation O, Insider Activities, can have enormous impacts on your organization in the way your customers and communities perceive you. Even the slightest hint of improprieties could grow into results with devastating effects that can hinder your institution’s ability to meet its obligations, achieve your objectives, and cost you lots of money. In this session, we’ll clarify many aspects of insider activities that you must know.

What You Will Learn:

  • Why your insiders need to adhere to Regulation O
  • The expansive list of insiders
  • What are the limitations on transactions for your Institution, your insiders and Executive Officers
  • Affiliate transactions and which kind are allowable
  • Why now that you’re a banker you have lots of friends, except at home
  • What looks like an overdraft may or may not be an overdraft if…
  • Put it on paper: What is required and what is recommended

Target Audience:

Executive Officers, Directors, Compliance Officers, and Internal Auditors

Level: Basics to Intermediate

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