Background Screening in the Financial Services Industry

Regulated employers in the financial services industry, such as banks, credit unions, and broker-dealers, are subject to various investigation and screening requirements, including those in Section 19 of the Federal Deposit Insurance Act, Section 205(d) of the Federal Credit Union Act, the SAFE Act, Regulation Z of the Truth in Lending Act, and, most recently FINRA Rule 3110(e), which enhances the background screening requirements already in place for FINRA member institutions and registration applicants.

This webinar will present guidance on background screening and investigation requirements imposed on banks and other financial service employers, and practical suggestions for complying with these laws and the requirements of the federal Fair Credit Reporting Act, state fair credit reporting laws, and state credit check laws.

Time:
9:00 – 10:00 am HST
11:00 am – 12:00 pm PT
12:00 – 1:00 pm MT
1:00 – 2:00 pm CT
2:00 – 3:00 pm ET 

Login information will be emailed to registered participants.