Dodd-Frank Act Comprehensive Overview and Compliance Essentials
Course Overview The Dodd-Frank Act Comprehensive Overview and Compliance Essentials course is designed to provide participants with a thorough understanding of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This comprehensive course covers the history, key provisions, and compliance requirements of the Act, ensuring that participants are well-equipped to navigate the complex regulatory landscape.
Course Objectives - Understand the history and context of the Dodd-Frank Act
- Identify key provisions and regulations under the Act
- Comply with regulatory requirements and avoid potential pitfalls
- Develop a comprehensive understanding of the Act's impact on financial institutions and markets
- Apply knowledge to real-world scenarios and case studies
Course Outline Module 1: Introduction to the Dodd-Frank Act
- History and context of the Dodd-Frank Act
- Key objectives and provisions of the Act
- Overview of the regulatory framework
- Impact on financial institutions and markets
Module 2: Consumer Financial Protection Bureau (CFPB)
- Role and responsibilities of the CFPB
- Regulatory authority and enforcement powers
- Consumer protection regulations and guidelines
- Compliance requirements for financial institutions
Module 3: Financial Stability and Regulatory Reforms
- Financial Stability Oversight Council (FSOC) and its role
- Systemic risk regulation and oversight
- Stress testing and capital planning requirements
- Living wills and resolution planning
Module 4: Derivatives and Swap Regulations
- Overview of derivatives and swap markets
- Regulatory requirements for derivatives and swaps
- Clearing and trading requirements
- Margin and capital requirements for uncleared swaps
Module 5: Mortgage Reform and Consumer Protection
- Ability-to-Repay (ATR) and Qualified Mortgage (QM) rules
- Mortgage servicing regulations and guidelines
- Appraisal requirements and regulations
- High-cost mortgage regulations
Module 6: Credit Rating Agencies and Securities Regulations
- Regulatory requirements for credit rating agencies
- SEC oversight and enforcement
- Risk retention and securitization regulations
- Disclosure requirements for asset-backed securities
Module 7: Compliance and Risk Management
- Compliance program requirements and best practices
- Risk management frameworks and strategies
- Internal controls and audit requirements
- Vendor management and third-party risk
Module 8: Enforcement and Penalties
- Enforcement actions and penalties under the Dodd-Frank Act
- Regulatory expectations and compliance risks
- Case studies and real-world examples
- Best practices for avoiding enforcement actions
Module 9: Emerging Trends and Future Directions
- Emerging trends and regulatory developments
- Potential changes to the Dodd-Frank Act
- Impact of regulatory changes on financial institutions
- Future directions for compliance and risk management
Course Features - Interactive and engaging content: Learn through a mix of video lessons, interactive quizzes, and hands-on projects
- Comprehensive and up-to-date content: Stay current with the latest regulatory developments and industry best practices
- Personalized learning experience: Learn at your own pace and track your progress
- Expert instructors: Learn from experienced professionals with deep knowledge of the subject matter
- Certification upon completion: Receive a certificate issued by The Art of Service upon completing the course
- Flexible learning: Access the course from anywhere, at any time, on a range of devices
- User-friendly interface: Navigate the course with ease and access all materials in one place
- Mobile accessibility: Learn on-the-go, with a mobile-friendly course platform
- Community-driven: Connect with other learners and instructors through discussion forums and live sessions
- Actionable insights: Apply your knowledge to real-world scenarios and case studies
- Hands-on projects: Practice your skills through interactive exercises and projects
- Bite-sized lessons: Learn in manageable chunks, with lessons designed to fit into your busy schedule
- Lifetime access: Return to the course materials at any time, with lifetime access
- Gamification: Stay motivated with interactive elements and rewards
- Progress tracking: Monitor your progress and stay on track with course completion tracking
Certificate of Completion Upon completing the Dodd-Frank Act Comprehensive Overview and Compliance Essentials course, participants will receive a certificate issued by The Art of Service. This certificate demonstrates your expertise and commitment to compliance with the Dodd-Frank Act.,
- Understand the history and context of the Dodd-Frank Act
- Identify key provisions and regulations under the Act
- Comply with regulatory requirements and avoid potential pitfalls
- Develop a comprehensive understanding of the Act's impact on financial institutions and markets
- Apply knowledge to real-world scenarios and case studies
Course Outline Module 1: Introduction to the Dodd-Frank Act
- History and context of the Dodd-Frank Act
- Key objectives and provisions of the Act
- Overview of the regulatory framework
- Impact on financial institutions and markets
Module 2: Consumer Financial Protection Bureau (CFPB)
- Role and responsibilities of the CFPB
- Regulatory authority and enforcement powers
- Consumer protection regulations and guidelines
- Compliance requirements for financial institutions
Module 3: Financial Stability and Regulatory Reforms
- Financial Stability Oversight Council (FSOC) and its role
- Systemic risk regulation and oversight
- Stress testing and capital planning requirements
- Living wills and resolution planning
Module 4: Derivatives and Swap Regulations
- Overview of derivatives and swap markets
- Regulatory requirements for derivatives and swaps
- Clearing and trading requirements
- Margin and capital requirements for uncleared swaps
Module 5: Mortgage Reform and Consumer Protection
- Ability-to-Repay (ATR) and Qualified Mortgage (QM) rules
- Mortgage servicing regulations and guidelines
- Appraisal requirements and regulations
- High-cost mortgage regulations
Module 6: Credit Rating Agencies and Securities Regulations
- Regulatory requirements for credit rating agencies
- SEC oversight and enforcement
- Risk retention and securitization regulations
- Disclosure requirements for asset-backed securities
Module 7: Compliance and Risk Management
- Compliance program requirements and best practices
- Risk management frameworks and strategies
- Internal controls and audit requirements
- Vendor management and third-party risk
Module 8: Enforcement and Penalties
- Enforcement actions and penalties under the Dodd-Frank Act
- Regulatory expectations and compliance risks
- Case studies and real-world examples
- Best practices for avoiding enforcement actions
Module 9: Emerging Trends and Future Directions
- Emerging trends and regulatory developments
- Potential changes to the Dodd-Frank Act
- Impact of regulatory changes on financial institutions
- Future directions for compliance and risk management
Course Features - Interactive and engaging content: Learn through a mix of video lessons, interactive quizzes, and hands-on projects
- Comprehensive and up-to-date content: Stay current with the latest regulatory developments and industry best practices
- Personalized learning experience: Learn at your own pace and track your progress
- Expert instructors: Learn from experienced professionals with deep knowledge of the subject matter
- Certification upon completion: Receive a certificate issued by The Art of Service upon completing the course
- Flexible learning: Access the course from anywhere, at any time, on a range of devices
- User-friendly interface: Navigate the course with ease and access all materials in one place
- Mobile accessibility: Learn on-the-go, with a mobile-friendly course platform
- Community-driven: Connect with other learners and instructors through discussion forums and live sessions
- Actionable insights: Apply your knowledge to real-world scenarios and case studies
- Hands-on projects: Practice your skills through interactive exercises and projects
- Bite-sized lessons: Learn in manageable chunks, with lessons designed to fit into your busy schedule
- Lifetime access: Return to the course materials at any time, with lifetime access
- Gamification: Stay motivated with interactive elements and rewards
- Progress tracking: Monitor your progress and stay on track with course completion tracking
Certificate of Completion Upon completing the Dodd-Frank Act Comprehensive Overview and Compliance Essentials course, participants will receive a certificate issued by The Art of Service. This certificate demonstrates your expertise and commitment to compliance with the Dodd-Frank Act.,
- Interactive and engaging content: Learn through a mix of video lessons, interactive quizzes, and hands-on projects
- Comprehensive and up-to-date content: Stay current with the latest regulatory developments and industry best practices
- Personalized learning experience: Learn at your own pace and track your progress
- Expert instructors: Learn from experienced professionals with deep knowledge of the subject matter
- Certification upon completion: Receive a certificate issued by The Art of Service upon completing the course
- Flexible learning: Access the course from anywhere, at any time, on a range of devices
- User-friendly interface: Navigate the course with ease and access all materials in one place
- Mobile accessibility: Learn on-the-go, with a mobile-friendly course platform
- Community-driven: Connect with other learners and instructors through discussion forums and live sessions
- Actionable insights: Apply your knowledge to real-world scenarios and case studies
- Hands-on projects: Practice your skills through interactive exercises and projects
- Bite-sized lessons: Learn in manageable chunks, with lessons designed to fit into your busy schedule
- Lifetime access: Return to the course materials at any time, with lifetime access
- Gamification: Stay motivated with interactive elements and rewards
- Progress tracking: Monitor your progress and stay on track with course completion tracking