1 Dallas Area Compliance Association DACA the networking association for compliance professionals since nd Annual Compliance Conference SURVIVAL IS THE ONLY OPTION! September 25, 2013 The Crowne Plaza Dallas Near the Galleria Midway Road Addison, Texas 75001
2 DACA once again brings together recognized experts for a day packed full of information you need to survive! We are proud to be presenting this year s speakers. Karen Neeley IBAT General Counsel Cox Smith Washington & Texas Outlook Tom Moreno Bank of San Antonio Deposit Compliance Issues and Corporate Account Takeover Sandra E. Jesberger, CRCM FDIC Compliance Regulatory Hot Topics and Effective Compliance Exam Management Mary Beth Guard Bankers Online Lending Changes
3 And Keynote Speaker Dave Lieber Dave Lieber has been a newspaper columnist for more than 20 years. As The Dallas Morning News newest columnist, he writes an investigative column The Watchdog twice a week exposing wrongdoing and right-doing. And, as a sideline, he started a children s charity - Summer Santa - 16 years ago. The all-volunteer SummerSanta.org sends children to summer camps, provides free medical checkups, books, toys and athletic league scholarships for kids who need help. For this, he won the Will Rogers Humanitarian Award as the U.S. columnist who has made positive contributions to his community. Dave is also founder of WatchdogNation.com, a consumer rights movement that shows Americans how easy it is to fight back and win. A very big special thanks to our Keynote Sponsor And our Ice Cream Social Sponsor
4 Keynote Sponsor CenTrax-MARQUIS has delivered proven CRA, HMDA & Fair Lending software, outsourcing and consulting solutions for OVER 25 years. In fact, MARQUIS pioneered the first ever CRA & HMDA software CenTrax, in Since then, over 750 financial institutions worldwide have counted on MARQUIS to deliver results in compliance, marketing, profitability and Sales/Service CRM; and now also Direct Mail and Fulfillment. For more information, Contact Marie Tank-Garza at (800) or MARQUIS - Solutions Designed Exclusively For Financial Institutions. CRA, HMDA, Fair Lending, MCIF Solutions, CRM Solutions, and Creative Direct Mail. CenTrax-MARQUIS - Get Results. Nothing Else Matters.
5 Sponsors RSM McGladrey McGladrey ranks as the fifth largest U.S. provider of assurance, tax and consulting services, with 7,000 professionals and associates in nearly ninety offices. McGladrey & Pullen is a licensed CPA firm that provides assurance services. RSM McGladrey is a leading professional services firm providing tax and consulting services. Both firms are members of RSM International, the sixth largest global network of independent accounting, tax and consulting firms. For more information, visit the McGladrey website at CoNetrix CoNetrix specializes in providing security, compliance, and IT consulting for community banks. CoNetrix offerings include IT/GLBA Audits & Network Assessments, Penetration Testing, Information Security Programs, Managed Network and Security Services and tandem software, an innovative suite of online security and compliance management tools for Risk Assessment, Business Continuity Planning, Vendor Management, Information Security Policies and Identity Theft Prevention Program. Contact Russ Horn at (806) or CrossCheck CrossCheck is a professional services firm providing internal audit, regulatory compliance, and loan review services to banks and mortgage lenders. Built around a strong team of industry leaders, the firm is uniquely positioned to help clients navigate core issues and has the operational experience to deliver high impact solutions. We hire only experienced professionals who possess the tools, methodologies and hands-on experience to thoroughly assess risk and determine the best solutions for your organization. We are not distracted by other business lines and practices. Instead, we focus our efforts and resources on what we do best, financial services. For more information please contact Angela E. Watson, Director of Business Development, at or
6 FIS Enterprise Governance, Risk & Compliance (EGRC) Solutions We provide clients a 360-degree solution set of compliance and risk management tools and services to address effective Compliance Management System and Enterprise Risk Management solutions. Our services include: Compliance Consulting Compliance Risk Assessment and Tools Regulatory Advisory Services Enterprise Risk Management Consulting Regulatory Reporting Compliance Business and Knowledge Process Outsourcing Online Compliance Training Over 5,000 financial institutions use our solutions, and we train all bank examiners: Fed, FDIC, OCC, NCUA, CSBS & CFPB. For more information contact: Gene Collett, Assistant Director: , Shane Lefever, Client Development Manager: , Weaver For more than 61 years, Weaver has provided clients in the financial services industry with assurance, tax and advisory services. The firm offers a broad range of services specific to financial institutions including regulatory compliance audits (consumer compliance and BSA/AML), IT audit, internal audit, risk assessment, enterprise risk management, SOX/FDICIA, loan review, financial statement audit, and interest rate and liquidity risk management reviews. Ranked as the largest independent accounting firm in the Southwest, Weaver has more than 450 employees in seven offices throughout Texas. Weaver is committed to providing quality service to financial institutions throughout Texas and beyond. For more information, visit weaverllp.com or contact Bruce Zaret ( ; or Bill Delong ( ;
7 Global Vision GlobalVision Systems, Inc. is the leading provider of enterprise-wide regulatory compliance and risk management solutions for financial institutions of all asset sizes. PATRIOT OFFICER is the #1 BSA/AML/ATF/FACTA/UIGEA Solutions endorsed by the American Bankers Association and many well-known bankers Associations across the nation. GlobalVision s comprehensive suite of products and services includes: Bank Secrecy Act; Anti-Money Laundering and Anti- Terrorist Financing Solutions; Risk Management Solution; Fraud Prevention Solution; Customer Due Diligence and Enhanced Due Diligence Solutions; and Case Management Solution, etc.
8 Conference Schedule 8:00 8:30 Registration and Continental Breakfast 8:30 8:45 Opening Comments and Introductions 8:45 9:45 Tom Moreno Deposit Compliance Issues and Corporate Account Takeover- Bank of San Antonio 9:45-10:30 Sponsor Presentations - Morning Break 10:30 11:30 Mary Beth Guard - The Glia Group Lending Changes 11:30 1:30 Lunch Keynote Speaker Dave Lieber Sponsored by 1:30 2:30 Sandra E. Jesberger Federal Deposit Insurance Corporation - Compliance Regulatory Hot Topics and Effective Compliance Exam Management 2:30 3:00 The Survival Vote Ice Cream Social Sponsored by 3:00 4:30 Karen Neeley Cox Smith Washington and Texas Legal Outlook 4:30 Survival Race - GIVE AWAY and Closing Comments
9 Conference Registration Please print or type: Name: Title: Institution: Address: City: State: Zip: Phone: Fax: If registering more than one person, please use separate forms for each person. Please indicate your lunch preference: Option 1 - Steak and Lobster Option 2 Steak and Chicken Cordon Bleu NEW ADDRESS - Mail completed form with payment to: Dallas Area Compliance Association Ken Holmes 5982 Lofland Dr Frisco TX Payment by Check ONLY and must accompany registration. Make checks payable to: Dallas Area Compliance Association, Inc. (DACA) Pricing: Registration $ to 9/7/2013 Late Registration $ after 9/7/2013 Required fine print disclosures just for you compliance types Special Requests Persons with disabilities who plan to attend this Conference and who may need auxiliary aids are requested to contact DACA at least 5 working days before the scheduled date so that appropriate arrangements may be made. IRS Information The IRS now requires a notice on all registration forms, which informs the attendee of the amount of the registration fee representing food and beverage that is deductible as an ordinary business expense. We estimate the food portion of your basic registration fee is $100. Under current tax laws, 50% of this amount is deductible as an ordinary business expense. Please contact your accountant or tax advisor for further details.