T1. Our Compliance Commitment: This topic will discuss an organizationÆs commitment to full compliance with the laws and regulations established by regulatory agencies by providing information about roles and responsibilities, training, and other regulations.
T2. A History of Compliance: This topic will provide an overview of the history of banking around the world, from the 30th century B.C. and the onset of banking as an institution, to the present day and age and the fight against money laundering and terrorist financing.
T3. Compliance and the Financial Institution: This topic will define compliance in relation to financial institutions, including information about regulations and compliance in the workplace.
T4. The Risks of Non-Compliance: This topic will emphasize the importance of compliance regulations, with the reminder that errors harm the general public and the institution; it will also provide information about the penalties for non-compliant institutions.
T5. The Regulatory Agencies: This topic will provide an explanation of regulatory agencies and their responsibilities for the laws that affect the financial industry, including information about the Senate, House Committee, State Departments, and more.
T6. Audits and Examinations: This topic will describe the processes and procedures behind audits and examinations, with information about their requirements and their importance to regulatory agencies.