ComplianceOnline

Emerging Technology related to E-Signature, E-CDD, and E-Disclosures

Instructor: Thomas Nollner
Product ID: 705392
Training Level: Intermediate
  • Duration: 60 Min
Purchase option for this webinar is currently unavailable. Please contact our Customer Care for more info.

Customer Care

Fax: +1-650-362-2367

Email: customercare@complianceonline.com

Read Frequently Asked Questions

Learn latest trends in emerging technology related to electronic information gathering and how this new technology affects KYC and CDD/EDD information gathering and verification. This training will provide attendees with the latest guidance and information from financial regulators and FinCEN.


"Emerging Technology related to E-Signature, E-CDD, and E-Disclosures" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.2 CPE credit up on full completion of the course.

Why Should You Attend:

In recent years the increased use of electronic means to obtain customer signatures, to conduct verification of customer information, and to conduct overall customer due diligence has posed problems for financial institutions to fully comply with KYC, CDD/EDD requirements.

This webinar will discuss methods of using electronic means for these activities and will discuss up-to-date guidance provided by FinCEN and financial regulators in the use of electronic platforms for these processes.

Staff and employees of financial institutions need to be aware of the latest trends in emerging technology related to electronic information gathering, the methods used and the risks associated with this type of information gathering. This presentation will allow attendees to obtain background information of how this new technology affects KYC and CDD/EDD information gathering and verification, it will explain to attendees how this new technology is constantly changing, and provide attendees with the latest guidance and information from financial regulators and FinCEN.

Learning Objectives:

  • An overview of FinCEN and regulatory requirements and guidance related to electronic information gathering.
  • Defining exactly what constitutes an E-Signature, and E-Verification, and E-CDD/EDD.
  • Common mistake financial institutions make related to electronic information gathering.
  • Internal controls needed to ensure that electronic information gathering complies with AML/CFT laws and regulations.
  • Needed additions to KYC and CDD/EDD policies, procedures, and practices to improve current bank guidance.
  • Regulatory expectations for compliance with electronic information gathering.

Areas Covered in the Webinar:

  • FinCEN regulations and guidelines related to electronic information gathering.
  • FFIEC and other regulatory requirements and guidance.
  • Items to include in your electronic information gathering policies, procedures, and practices.
  • Current industry standards and business norms related to electronic information gathering.
  • Recent enforcement actions related to weak programs and practices.
  • Proposed future issues related to electronic information gathering.

Who Will Benefit:

Banks and Money Service Businesses will benefit from this training. The following titles should attend:

  • Front line BSA/AML staff
  • Account opening staff
  • Risk managers
  • BSA/AML Officers
  • Compliance Officers
  • BSA/AML Audit staff
  • Broker/Dealers
  • Auditors
  • BSA/AML Consultants
  • SAR decision makers
  • Risk Managers
Instructor Profile:
Thomas Nollner

Thomas Nollner
Banking AML and CFT Consultant, Various International Consultant Firms

Thomas E Nollner has more than 35 years of experience in financial institution supervision and consulting. Mr. Nollner spent 30 years as a National Bank Examiner for the Comptroller of the Currency where he was a safety and soundness examiner and a compliance examiner. As a safety and soundness examiner he examined national banks for capital adequacy, asset quality, management issues, earnings concerns, and liquidity funding. As a compliance examiner, he examined national banks for compliance with consumer laws and regulations such as the Truth-in-Lending Act, the Real Estate Settlement Procedures Act, the Flood Disaster Protection Act, the Community Reinvestment Act, and AML/CFT laws and regulations. His specialty was as an AML/CFT examiner, where he analyzed a bank’s AML/CFT program to ensure that it complied with applicable banking laws, rules, and regulations; he reviewed the bank’s suspicious transactions identification, monitoring, and reporting process; he traced proceeds and transactions through several layers of activity; and, he reviewed a bank’s processes and procedures to determine root causes of AML/CFT program weaknesses.

Mr. Nollner currently works as a consultant for the Office of Technical Assistance (OTA), a branch of the U.S. Treasury that assists developing countries with banking issues. Mr. Nollner is assigned to the Economic Crimes Team that focused on training, assisting, and mentoring the staffs of the financial regulatory departments and financial intelligence units of various countries regarding AML/CFT compliance. In this capacity, he worked in countries such as Afghanistan, Iraq, Turkmenistan, Viet Nam, Honduras, Guatemala, Guyana, Suriname, and Argentina developing AML/CFT examination procedures, providing AML/CFT training and mentoring, and updating local AML/CFT laws and regulations.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

Follow us :
World Class Risk Management - What The Best International Standards Say About Risk - ISO 31000, ISO 14971 and ICH Q9
Managing an Effective AML Compliance Program

Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email customercare@complianceonline.com call +1-888-717-2436 (Toll Free).

Product Reviews

This product hasn't received any reviews yet. Be the first to review this product! Write review

Best Sellers
You Recently Viewed
    Loading