Call us at +1-(510)-868-1040

Login Register

Speaker:


Thomas Nollner

Tom Nollner has over 35 years of experience in the banking regulatory field. His experience includes 30 years as a National Bank Examiner for the Office of the Comptroller of the Currency, United States Treasury and 5 years as an international banking consultant. He has a proven track record in assisting financial institutions regarding capital adequacy, asset quality, management issues, earnings concerns, and liquidity. In addition, Tom is a consumer specialist focusing on developing and instituting risk management processes, and in implementing anti-money laundering related programs and policies.

Tom has developed and presented numerous training programs focusing on banking issues, to regulatory authorities, government bodies, and the staff of financial institutions in countries in North America, Asia, the Middle East, the Caribbean, and South America. In addition, he has developed banking policies and examination procedures for regulatory authorities, and assisted Financial Intelligence Units and Central Banks with improving existing banking laws and regulations.

Live Webinars

Industry: Banking and Finance

Duration: 60 Minutes

Date: 2019-09-09

Time: 10:00 AM PST | 01:00 PM EST

In recent years the increased use of electronic means to obtain customer signatures, to conduct verifications of customer information, and to conduct overall customer due diligence has posed problems for financial institutions to fully comply with KYC, CDD/EDD requirements. This webinar will discuss methods of using electronic means for these activities and will discuss up-to-date guidance provided by FinCEN and financial regulators in the use of electronic platforms for these processes. As electronic technology increases in the financial sector, staff and employees of financial institutions must be aware of the methods of electronic information gathering, and the risks associated with this type of information gathering.

Industry: Banking and Finance

Duration: 60 Minutes

Date: 2019-10-03

Time: 10:00 AM PST | 01:00 PM EST

This webinar will discuss the background and purpose of the proposed Secure and Fair Enforcement (SAFE) Act of 2019.  You will learn how a depository institution will be provided with a safe harbor when dealing with a cannabis-related legitimate business or service provider, the protections in place for ancillary businesses, the protections under federal law, the requirements of filing a suspicious activity report, and the guidance and examination procedures outlined for regulators. The presentation will explain how financial institutions can provide banking services to a cannabis-related legitimate business or service provider and not be criticized by their government regulator.

Chronicles

Industry: Banking and Finance

Duration: 60 Minutes

Recorded Session

High-risk customer reviews have been a requirement since the first FFIEC Examination Manual was published in 2005. Recent guidance for Customer Due Diligence/Enhanced Due Diligence (CDD/EDD) further defines the expected approach for institutions to properly identify and evaluate high-risk customers. The regulators do not, however, detailed the day-to-day approach required to meet the required customer monitoring.

Industry: Banking and Finance

Duration: 60 Minutes

Recorded Session

This Bank Secrecy Act training will explain how to train your frontline staff to ask BSA questions. It will cover Currency Transaction Report (CTR), Monetary Instrument Log (MIL) and Suspicious Activity Report (SAR) scenarios and questions and much more.

Industry: Banking and Finance

Duration: 60 Minutes

Recorded Session

This presentation will provide the practical steps to enable your institution to meet both the letter and spirit of the law and regulation. Learning from real-world audit issues, the presentation will cover what many banks are doing incorrectly and what they should be doing instead.

Industry: Banking and Finance

Duration: 60 Minutes

Recorded Session

Learn the latest trends in emerging technology related to electronic information gathering and how this new technology affects KYC and CDD/EDD information gathering and verification. This training will provide attendees with the latest guidance and information from financial regulators and FinCEN.

Industry: Banking and Finance

Duration: 60 Minutes

Recorded Session

This Bank Secrecy Act (BSA) training program will explain how to train your front line staff to ask BSA questions. It will cover Currency Transaction Reports (CTR), Monetary Instrument Log, Suspicious Activity Reports (SAR) scenarios and questions, and much more.