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Regulatory Compliance for Deposit Operations, Including BSA Webinar
View Registrations Tell a Friend About This EventTell a Friend

When: Archive only
Where: In Your Credit Union
Contact: Leah Redding

Online registration is closed.
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From the Truth in Savings Act (TISA) to electronic funds transfers (Reg E) to the Bank Secrecy Act (BSA), the laws and regulations governing deposit operations affect your daily working environment.  Providing disclosures and statements are just the tip of the iceberg.  Reg E error resolution claims continue to be one of the hottest areas of consumer complaints to regulators.  Knowing your rights and responsibilities regarding checks and other issues covered by the UCC can save your financial institution from potential losses.  This webinar will provide an overview of TISA and Reg E requirements, the BSA recordkeeping and reporting requirements, check holds (Reg CC), the laws of checks (UCC), and limitations on transfers from non-transaction accounts (Reg D).


  • How long do you have to investigate a Reg E claim and when must you provide provisional credit?

  • Who can negotiate checks payable in a fiduciary capacity such as to a trustee or executor?

  • What are the maximum timeframes for holds on checks and other deposits?

  • Why are stop payments not advisable on cashier’s and teller’s checks?

  • Which transactions count towards the six-per-month limit under Regulation D?

  • What BSA and anti-money laundering provisions are most likely to affect deposit operations?



    • Regulation E and Regulation Z error resolution charts

    • List of acceptable payees and endorsees

    • Reg CC check hold chart

    • BSA operations cheat sheet

    • Letter of attendance certification with webinar outline

    • Employee training log

    • Quiz you can administer to measure staff learning and a separate answer key

Attendance verification for CE credits provided upon request.



This informative session is directed to frontline personnel and all staff who handle Reg E claims, check collections, processing, and returned items.  Branch managers and operations staff supervisors will also benefit.

ABOUT THE PRESENTER – Mary-Lou Heighes, Compliance Plus, Inc.

Mary-Lou Heighes is President and founder of Compliance Plus, Inc.  Involved in the financial services industry since 1989, she has worked in numerous positions, including loan officer, marketer, and collector.  She also worked at a state trade association for seven years providing compliance assistance and advising on state and federal legislative issues that affect financial institutions.


Compliance Plus, Inc. was founded in 2000 to provide compliance assistance to financial industry.  Since then, Mary-Lou has helped financial institutions with developing compliance programs, provided compliance training nationwide, and spoken at numerous conferences throughout the country.  She has been an instructor at regulatory compliance schools, conducts dozens of webinars and conferences throughout the country, and has written articles for Credit Union Magazine.

Educational Investment:

Asset Size Archive Only
Over $75 million


$25 - $75 million


Under $25 million


Education Scholarship

Scholarships are available for all KCUA education events. Scholarships pay 100% of registration fee for credit unions under $25M, 50% for credit unions between $25-$75M and 25% for credit unions over $75M.



Upon registration, you will receive an email confirmation that you can print for your records.