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Effectively Handling Law Enforcement Requests and Subpoenas, Levies and Garnishments – March 4, 2021

$249.00

Financial institutions play a significant role in the financial space as they hold the assets of a customer. Based on this fact, financial institution records and funds on deposit often become  the center of legal disputes and governmental enforcement actions such as 314a requests, subpoenas, garnishments, and tax levies.  In addition, certain states have requirements when filing a SAR to report to a regulatory body.  This session will focus on how to implement a practical process for the receipt and handling of these law enforcement requests.  What are the requirements for each type of request? What are the deadlines? What are the rights of the financial institution? This webinar will take attendees through each type of request, provide the requirements for each request and how to implement a practical process that works for all areas of the financial institution.

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Description

Financial institutions play a significant role in the financial space as they hold the assets of a customer. Based on this fact, financial institution records and funds on deposit often become  the center of legal disputes and governmental enforcement actions such as 314a requests, subpoenas, garnishments, and tax levies.  In addition, certain states have requirements when filing a SAR to report to a regulatory body.  This session will focus on how to implement a practical process for the receipt and handling of these law enforcement requests.  What are the requirements for each type of request? What are the deadlines? What are the rights of the financial institution? This webinar will take attendees through each type of request, provide the requirements for each request and how to implement a practical process that works for all areas of the financial institution.

Topics include:

  • Review of each type of law enforcement request
  • Best business practices for responding to these requests
  • Special reporting requirements
  • Common issues resulting in regulatory scrutiny based on these requests

Who Should Attend?

  • BSA/AML Officers and Support Staff
  • Branch management
  • Information Technology Officers
  • Information Security Officers
  • Customer Service Representatives/Tellers
  • Call Centers
  • Electronic Banking
  • Risk Managers
  • Deposit Operations
  • Compliance Managers
  • Internal Auditors
  • Executive Management
  • Board of Directors