eTrain: Responding to Examination Reports & Regulatory Action —
16, 2013 —
10:00-11:30 a.m. PT
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This program contains California specific and federal information but will be of benefit to any credit union.
Our regulators continue to scrutinize credit union operations in every detail, making stringent demands and imposing enforcement actions for non-compliance.
How should you work with and respond to regulator demands in today’s environment?
Find out from credit union compliance experts and attorneys Bruce A. Pearson and Tim Oppelt. In this discussion of California DFI and NCUA enforcement tools, examination findings, and reports, you’ll learn:
- What is the current California DFI and NCUA regulatory environment?
- What regulatory enforcement tools does each regulator utilize?
- When is the best time to review your examination findings and reports?
- What is the process to appeal or correct inaccuracies on an exam report?
- What are the best tools to dispute examiner behavior?
- Must you make a decision immediately on Letters of Understanding and Agreement (LUA) and Documents of Resolution (DOR)?
- What happens if you say “no” to an order or LUA?
Who Should Attend?
Credit union professionals who review or respond to NCUA or California DFI examination reports, especially in these positions:
- Board of Directors
- Senior Management
- Compliance Professionals
Meet the presenters: Bruce A. Pearson
As a partner of the law firm of Styskal, Wiese, & Melchione, Bruce’s representation of the firm's credit union clients primarily focuses on field of membership issues, insurance coverage matters, corporate governance and indemnity issues, real estate related issues, data processing contract negotiation and related issues, and negotiable instruments laws. Bruce’s past credit union work experience provides the firm's clients with a valuable "in the trenches" perspective.
As an associate of the law firm of Styskal, Wiese & Melchione, Tim's representation of firm clients primarily focuses on corporate governance, director and officer duties, mergers and conversion, contract review, credit union regulatory matters and crisis management.
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