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Description:
This webinar will provide an overview of the concerns that arise when a bank receives legal requests, such as subpoenas, investigative demands, or requests for financial information. We will look at the applicability of Regulation P, the Right to Financial Privacy Act (RFPA), the Taxpayer First Act, and other factors in determining the best practice for handling legal requests for documents or information.
Key Takeaways:
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- Understand the laws and regulations governing a bank’s disclosure of information
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- Review best practices and common points of confusion related to requests for legal documents or customer information
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- Learn about the compliance requirements that apply to requests for disclosure of financial information
Who Should Attend: Branch staff, Account Opening staff, Compliance Officers, Compliance staff, staff tasked with reviewing or responding to legal requests for documents or information
Presenter:
Jessica Lamoreux, JD, CRCM
Director of Education
Jessica Lamoreux, JD, CRCM is Director of Education at Compliance Alliance. She earned her law degree magna cum laude from Case Western Reserve, where she was a law review editor, and holds a Political Science degree from Kenyon College. Licensed in Ohio, Jessica has worked in bankruptcy court, a debt collection law firm, a consumer lender, and as Director of Risk & Compliance at an SaaS startup. Her work focuses on compliance training and policy drafting. She’s a featured author and frequent speaker on regulatory issues.