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Course description

An effective internal audit may assist the financial institution with mitigating reputational, regulatory, and financial risks associated with UDAAP violations. With the possibility of a UDAAP violation with each disclosure prepared, any advertisement, and even every word spoken to a consumer, development of a UDAAP audit requires not only allocation of adequate resources but also knowledge of the FI's products, services, and culture.

The task may appear to be daunting, even impossible. The tools and information provided in this session will assist you in developing risk-based audit procedures to identify and report UDAAP risks.

Who Should Attend:

  • Internal and external compliance auditors
  • Compliance Officer
  • Chief Risk Officer
  • Marketing Officer

Instructor(s)

Partner, Cashman Compliance Solutions, LLC

Patricia Cashman

Patricia Cashman is a partner in Cashman Compliance Solutions, LLC. She is responsible for consumer compliance reviews, Bank Secrecy Act (BSA) and Anti-Money Laundering reviews, and compliance and BSA training. Patricia began her banking career in 1969. She has been the senior operations officer for three Dallas-Ft. Worth area community banks, an assistant examiner for the Texas Department of Banking and managed the compliance/internal audit division of TIB - The Independent BankersBank, one of the largest bankers' banks in the country. Additionally, Patricia has spoken as a webcast/teleconference presenter for the American Bankers Association (ABA), BankersOnline (BOL) and the Center for Financial Training (CFT), taught a variety of compliance subjects for the Texas Bankers Association (TBA) and ABA at their respective Compliance Schools. She also serves as a BOL GURU and been a speaker/trainer for numerous banks and compliance organizations.

Course curriculum

  • 1

    Video

    • UDAAP - Auditing for Fairness? Deception? Abuse?

  • 2

    Materials

    • Materials

    • Slides

    • Questions and Answers