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Dodd-Frank Act and Minimizing the Cost of Compliance
   LIVE Webcast  


Event Details:                                                                                                                                                          

Since its introduction, finance institutions have been struggling with implementation and compliance issues surrounding the Dodd-Frank Act. The only way to prevent costly sanctions is to ensure that your policies conform to the anticipated compliance requirements. This Live Webcast will teach you how to comply while minimizing costs. In addition to regulatory updates, our panel of key experts will also offer best practices.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Advance Preparation: Print and review course materials
Course Code: 124284
Recording Fee: $299 (Please click here for details)


Featured Speakers for Dodd-Frank Act and Minimizing the Cost of Compliance LIVE Webcast :

Agenda  (click here to view more)

Michael Keeley, Partner,
Hunton & Williams LLP

  • - Capital implications of Dodd Frank and Basel III
  • - Avoiding regulatory meltdown
    • • Fair Lending
    • • Repeal of Reg Q
    • • Remittance Rules
  • - CFPB

Brian R. Iverson, Attorney,
Bass, Berry & Sims PLC

Introduction / Overview
  • - Dodd-Frank is over 2,300 pages and requires hundreds of rules
  • - Focus on provisions most significant for bank compliance
Whistleblower Provisions
  • - Overview of text (Sections 748 and 922)
  • - Overview of regulations
  • - Discussion of incentives and protections
  • - Compare to SOX whistleblower provisions
  • - Discuss Consumer Financial Protection Act whistleblower provisions (Section 1057)
  • - Comparison of SEC, CFTC and CFPB rules
  • - Prohibition on waiver and pre-dispute arbitration clauses
  • - Benefits and risks to financial institutions
  • - Effective compliance structure (incentives for reporting, investigation of reports, documentation of employment actions)
Living Wills
  • - Overview of text (Section 165(d))
  • - Policy considerations
  • - Federal Reserve Board and FDIC (holding companies and insured depository institutions)
  • - Deadlines for initial resolution plans
  • - Annual updates
  • - Periodic updates to address events with material effect on resolution plan
  • - Contents of resolution plans
  • - Regulatory review and scrutiny of resolution plans
Swaps Push-outs
  • - Overview of text (Section 716)
  • - Not an explicit ban, but practical ban based on limit to federal assistance
  • - Exceptions
  • - Statutory and regulatory definitions
  • - 7/16/13 effective date with at least 2 year compliance period
  • - Compliance initiatives
Volcker Rule
  • - Overview of text (Section 619)
  • - Ban on proprietary trading and hedge and private equity fund ownership
  • - Detailed and specific proposed rules
  • - Specific compliance program requirements in proposed rules
  • - Data collection and analysis requirements in proposed rules
  • - Statute has July 2012 effective date, with 7/21/14 compliance deadline
  • - Proposed rule is extremely complex and has been pending for months
  • - Near-term compliance initiatives based on statutory text
  • - Long-term compliance planning based on proposed rules
  • - Prepare to adapt based on regulatory developments

Diana Bergherr, Managing Director, Business Development Compliance,
DLA Compliance

  • - Alternative Arrangements
  • - Compliance and Ethics training
  • - Automation
  • - Reviews and audits

Larry Albin, Principal,
Deloitte Consulting LLP

Addressing specific requirements of Dodd Frank / lessons learned:
  • - Collateral management and clearing – emerging operating model and technology requirements
  • - Regulatory reporting - challenges in trade reporting and industry practices
  • - Living Wills and resolution planning –getting to compliance and recognizing business value
  • - How to organize and report on progress to regulators across initiatives

Hunton & Williams LLP
Michael Keeley
speaker bio »»

Bass, Berry & Sims PLC
Brian R. Iverson
speaker bio »»

DLA Compliance
Diana Bergherr
Managing Director, Business Development Compliance
speaker bio »»

Deloitte Consulting LLP
Larry Albin
speaker bio »»

Who Should Attend?

- Bank Regulators
- Bank Presidents
- Bank Owner/Executives
- Financial Institutions' Executives
- Bank Supervisors
- Compliance Officers
- CFOs
- CEOs
- Investors
- Chief Risk Officers
- Banking Regulation Lawyers
- Banking Lawyers & Consultants
- Finance Lawyers
- Senior Management
- And other related professionals

Why Attend?

This is a must attend event for anyone interested in learning how to minimize the costs of complying with the Dodd-Frank Act.

- Detailed guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Advanced registration is recommended. Significant discounts apply for early registrants. Enroll in this course today by clicking the Register button below.

Registration Information:                                                                                                                                    

(Click here for information on group registrations and discounts)

Please note, the event date is firm although it may be subject to change. Please click here for details.
The Knowledge Group, LLC is producing this event for information purposes only. We do not intend to provide or offer business advice. The contents of this event are based upon the opinions of our speakers. The Knowledge Congress does not warrant their accuracy and completeness. The statements made by them are based on their independent opinions and does not necessarily reflect that of The Knowledge Congress' views. In no event shall The Knowledge Congress be liable to any person or business entity for any special, direct, indirect, punitive, incidental or consequential damages as a result of any information gathered from this webcast.

























Dodd-Frank Act and Minimizing the Cost of Compliance
LIVE Webcast
Event Sponsors / Speaker Firms:

Hunton & Williams is the legal advisor of choice for industry leaders on six continents. With more than 800 attorneys practicing from 19 offices across the United States, Europe and Asia, we help clients realize new opportunities and solve complex problems with confidence. Since our founding in 1901, Hunton & Williams has represented privately held and publicly traded community banks and other financial institutions, as well as holding companies and their officers, directors and shareholders. Our banking and finance team focuses on the banking and finance industry, supplemented by specialists from each of the firm's other key practices. We draw on our collective experience to provide effective legal guidance and strategic planning advice that assist our clients in balancing their business objectives against the need for sound credit and investment policy and compliance with statutes and regulatory oversight.

With more than 200 attorneys representing numerous publicly-traded companies and Fortune 500 businesses, Bass, Berry & Sims PLC has been involved in some of the largest and most significant business transactions and litigation matters in the country. For more information, visit

David Landau & Associates, LLC (DLA) is a financial services and real estate advisory firm focused on providing internal audit & forensics, compliance and risk management services. Founded in 2001, DLA’s management is made up of former “Big 4” professionals who lead a dedicated team of professionals in delivering enhanced value-added services to our clients.

Internal Audit & Forensics: DLA's Internal Audit & Forensics practice offers companies Outsourced or Co-sourced Internal Audit, Sarbanes-Oxley (SOX) compliance, forensic accounting and other audit services.

Compliance: DLA offers a full service approach to securities regulatory compliance. Our method has been developed based on our experience, our clients' needs and our ability to navigate a constantly changing regulatory environment. DLA's suite of advisory services enables clients to leverage our expertise and to develop a strong culture of compliance.

Risk Management: DLA's Risk Management practice offers cross-functional and diverse industry experience, leveraging DLA's accounting, process, policy and control expertise to provide you with leading solutions. Our services include process, systems, technology and due diligence.

Deloitte Consulting LLP

Deloitte refers to one or more of Deloitte Touche Tohmatsu, a Swiss Verein, its member firms, and their respective subsidiaries and affiliates. Deloitte Touche Tohmatsu is an organization of member firms around the world devoted to excellence in providing professional services and advice, focused on client service through a global strategy executed locally in nearly 153 countries. With access to the deep intellectual capital of 195,000 people worldwide, Deloitte delivers services in the following professional areas – audit, consulting, financial advisory risk management and tax services – and serves more than one-half of the world’s largest companies, as well as large national enterprises, public institutions, locally important clients, and successful, fast-growing global growth companies.


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Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

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