Loans to Insiders (Reg O) for Compliance Professionals


Provides a way to obtain a strong knowledge of Regulation O, which governs loans that a bank makes to its insiders (i.e., executive officers, directors, principal shareholders and their related interests). Describes who the regulation applies to, the manner in which its provisions apply to various insiders, and the records that must be maintained.


  • Identify parties and transactions covered under Regulation O
  • Describe basic restrictions and limitations under Regulation O
  • Explain the reporting and recordkeeping requirements of Regulation O

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.

ABA Certifications: 1.25 CRCM, CLBB

Your Instructor: Michael D. Maher, CRCM, CRP
EVP, Wells Fargo Consumer Lending Group

Maher provides oversight and advice to CLG businesses to formulate and implement compliance and operational risk policies, procedures and controls.  Maher serves on the faculty and chairs the advisory board for the American Bankers Association (ABA) National Compliance Schools and has taught at numerous seminars and schools offered by various state and local banking associations.

Related Training: ABA Certificate in Lending Compliance

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

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

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