Anatomy of a Regulation for Compliance Professionals


Describes how laws are created and how regulations are developed and structured to fulfill their intent. Explains the standard means for referencing a citation and tips for researching various laws and regulations more efficiently.


  • Explain the purpose of federal banking laws and regulations
  • Explain how bills become law and describe the structure of a typical law
  • Describe the structure and format of regulations
  • Identify sources of guidance and practical tips for understanding and interpreting federal laws and regulations

Audience: Compliance professionals including compliance managers, officers, and other compliance team members whose primary role is within the compliance function at their financial institution; bank examiners, bank regulators, auditors and lending compliance professionals.

Your Instructor: Tom Pareigat, Attorney and General Counsel, The Bancorp, Inc.

Tom Pareigat is General Counsel of The Bancorp, Inc., headquartered in Wilmington, DE, where he oversees the company’s legal, compliance and third-party risk management division. He has more than 25 years of consumer protection and regulatory compliance experience and is a frequent speaker on emerging risk issues within the financial services industry. he serves on the ABA Bank Compliance magazine editorial advisory board and has previously served on the faculty for the ABA Compliance Schools. Prior to joining The Bancorp, he was a partner at the law firm of Lindquist & Vennum PLLP, where he advised banks on a wide range of regulatory matters and represented clients in all phases of the enforcement process.

Related Training: ABA Certificate in Deposit Compliance and ABA Certificate in Lending Compliance

ABA Certifications: 2.0 CRCM

The New York Bankers Association is a Local ABA Training Provider.

NYBA Professional Development at (212) 297-1679 or
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Member $275
Non-Member $375

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