Privacy/Information Sharing for Compliance Professionals


Discusses the economic sanctions programs under the Office of Foreign Assets Control or OFAC, how they affect banks and the steps banks must take to comply. Explains the fundamental requirements of a compliance program and the relationship between OFAC and BSA are also covered.


  • Describe the prerequisites that apply to sharing nonpublic personal information (NPI) with nonaffiliated third parties and define key terms included in the Gramm-Leach-Bliley Act (GLBA)
  • Explain the requirements for sharing information among affiliates, and additional privacy notice requirements and considerations, including alternative delivery requirements
  • Describe the GLBA Security Guidelines and components included in an information security program and actions banks must take to properly manage and control risk, and the requirements under the Right to Financial Privacy Act for disclosure of financial institution records
  • Describe key laws and regulations that impact bank marketing strategies and how banks communicate with customers
  • Explain requirements and definitions of the FTC rule for the Children’s Online Privacy Protection Act (COPPA), and the requirements of HIPAA/HITECH Act, including bank products provided to covered entities included under HITECH and financial institution activities that are subject to HIPAA

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

ABA Certifications: 2.0 CRCM

Your Instructor: Patti Blenden, President and Founder Financial Solutions, Inc.

Patti is frequently a featured speaker at national and state compliance seminars, schools, and conferences as well as a published compliance resource. Patti has been a frequent presenter for American Bankers Association and serves as a faculty member of its prestigious Stonier Graduate School of Banking and its National, Intermediate, and Graduate Compliance Schools.

Related Training: ABA Certificate in Deposit Compliance

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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