Overview

Everyone loves new customers, but A LOT goes into establishing a new deposit account! Institutions are required to maintain procedures that assist with compliance with federal regulations. In this program we will cover:

  • Required account opening procedures
  • Documentation and information to be collected from commercial and consumer customers
  • Documents to be provided to commercial and consumer customers
  • Handling account changes

Topics

  • Personal Account Documentation
    • Single party accounts
    • Authorized signers on consumer accounts
    • Multiple party accounts
    • POD/ Informal trust accounts
    • Court-appointed fiduciary accounts
    • Minor accounts
    • Sole proprietor accounts
  • Federal Regulatory Disclosure Requirements
    • Regulation DD
    • Regulation E
    • Regulation CC
    • Regulation P
  • Federal Regulatory Practice Requirements
    • CIP
    • FCRA
    • Beneficial ownership
    • IRS
  • Nonpersonal Account Documentation
    • Corporation accounts
    • LLC accounts
    • Partnership accounts
    • Unincorporated organization accounts
    • Trust accounts
    • Estate accounts
  • Changes to accounts
    • Changes in titling
    • Changes in ownership

Please note, this program will not include state-specific coverage.

Who Should Attend

This seminar is designed for all employees who deal with the deposit-taking function. Designed to be both a comprehensive analysis of regulatory requirements for experienced deposit personnel, this program will benefit compliance officers, auditors, operations personnel and new accounts personnel.

Registration Fees

Attendees: $830

Each Additional Attendee: $755

Registration Policy: ProBank Education Services permits one participant per paid registration to access the program via a single internet connection at one physical location. Additional registrations are available at a discounted rate and may be registered online, by mail, or phone. Group viewings are not permitted. All unregistered participants will be invoiced. Please note we reserve the right to change speakers or reschedule/cancel seminars when necessary. 

When

Where

Questions?

September 29, 2026 - September 30, 2026

  • 9:00 AM – 4:00 PM ET
  • 8:00 AM – 3:00 PM CT
  • 7:00 AM – 2:00 PM MT
  • 6:00 AM – 1:00 PM PT

Online

Contact registrareducationservices@us.forvismazars.com

800-523-4778 option 1

CE Information

A certificate of completion is available for each registrant. To obtain your certificate you must participate in the full duration of the program and enter all codewords given at random times. These items are required to receive your certificate. Please note each person must be a registered attendee to be eligible for credit.

CE Credits*

  • 13 CPE
  • 13.25 CRCM

Program Level

Advanced

 

 

Prerequisite

Basic Knowledge of Deposit Compliance

Delivery Method

Group Internet Based

Field of Study

Specialized Knowledge

Advanced Preparation

None

*ProBank Education Services seminars and webinars are approved by the National Association of State Boards of Accountancy (NASBA) for Continuing Professional Education (CPE) credit, and certain topics may be eligible for Certified Regulatory Compliance Manager (CRCM) and other ABA designations through the ABA Professional Certifications process.

ABA Professional Certifications is dedicated to promoting the highest standards of performance and ethics within the financial services industry. Certain programs have been approved for certification credits, such as the CRCM certification. This statement is not an endorsement of these programs or its sponsor. Certification holders must report these credits at aba.csod.com.

If you have concerns or would like information regarding program cancellation policies or CPE credit, contact us at registrareducationservices@us.forvismazars.com.

ProBank Education Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through the web site: www.nasbaregistry.org.