B2B: Regulation W & Regulation Y Review

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CE Credits: 1.25 CRCM


Regulation W & Y are two regulations that are less frequently addressed but are still critical to compliance. These regulations cover Affiliate Transactions and Corporate Practices of Bank holding companies and certain practices of state-member banks. This webinar is designed to provide an overview of these two regulations. We will discuss key definitions and restrictions that are imposed. Furthermore, we will conduct a high-level review of how these impact banks today.

Key Takeaways:

    1. A breakdown of Regulation W requirements

    1. A breakdown of Regulation Y requirements

    1. Resources and tools

People Who Should Attend: 

Compliance Officers and Compliance Staff, Operations Officer and Operations Staff, and Internal audit.

The webinar will start at 12:30 PM Pacific / 1:30 PM Mountain / 2:30 PM Central / 3:30 PM Eastern.



Theo Kelly, JD
Vice President and Associate General Counsel

Theodore Kelly serves as Vice President and Associate General Counsel for Compliance Alliance. He holds a Bachelor‚Äôs Degree in Political Science from The Ohio State University, a Master‚Äôs in Business Administration from Franklin University, and a Juris Doctor from Capital University Law School.¬†Theo¬†began his professional career serving in the United States Marine Corps in communications security and, later, the Ohio Army National Guard as a Military Police Platoon Leader. More recently,¬†Theo¬†served as first-line of defense at the largest bank in the world from 2015 ‚Äď 2017 and led Ethics & Compliance operations at a Texas-based Fortune 500 company from 2017 ‚Äď 2021.

Theo’s professional pursuits include competently guiding business leaders in all matters of regulatory compliance, learning and sharing ways in which blockchain technology can positively impact business operations, and writing publications related to emerging technologies in the legal, risk, and compliance spaces. For B/A, he will be writing monthly for our various publications, including ACCESS magazine.