Cost:

Members: $185 per attendee
Non-members: $245 per attendee

Hot breakfast, morning cookie/brownie break, backyard BBQ lunch and afternoon pretzel break are included. Please indicate any dietary restrictions on your Registration.

An opportunity to have a day away from the office to recharge your batteries and network with fellow compliance professionals. Hear knowledgeable presenters speak on a variety of compliance-related topics and network with vendors in our vendor area. Don’t forget to bring those business cards for networking and raffles!

This session has been approved for 6.5 CRCM, 2.25 CERP and 1 CFMP credits.

Please send any questions you have for our speakers, in advance to: Speaker Questions.

Speakers & Topics :

• Regulatory Update and Enforcement Actions
  This session will cover regulatory changes impacting banks, as well as review recent enforcement actions and court cases and go over any conclusions drawn from them.
  • Marc Franson, Partner, Chapman and Cutler LLP

• AI in Compliance: Maturity Curve across the Industry, Real-World Use Cases, and the Path Forward
  This session explores how organizations are leveraging artificial intelligence to enhance compliance, risk management, monitoring, testing, and regulatory activities across both the first and second lines of defense. Through practical demonstrations and real-world examples, attendees will see how organizations are progressing along the AI maturity curve, from productivity-focused use cases to more advanced automation, monitoring, and decision-support capabilities. The session will highlight emerging practices, governance considerations, lessons learned, and tangible business outcomes as organizations work to scale AI responsibly within their compliance and risk programs.
  • Philip Maziarz, Managing Director, Protiviti
  • A.J. Friedman, Associate Director, Protiviti

• Issue Management
  We’re in the business of mitigating risk. This means compliance issues with consumer harm implications may still arise, despite best efforts. This session will discuss the issue management lifecycle, including best practices around issue mitigation and remediation. Attendees will be able to apply tips for issue management, regardless of the size and complexity of their organization.
  • Emily Morrissey CRCM, Regulatory Compliance Testing Senior Manager, Crowe Advisory LLC

• Understanding RESPA Section 8 Triggers: Identifying Referral and Kickback Risks
  This presentation explores the key triggers that can create risk under RESPA Section 8, including referral arrangements, marketing agreements, lead-sharing activities, affiliated business arrangements, and other interactions with settlement service providers. Participants will learn how to identify common red flags, understand the distinction between permissible and prohibited conduct, and recognize situations that require additional compliance review. The session will also highlight regulatory expectations and practical considerations for mitigating RESPA Section 8 risk in everyday banking activities.
  • Melissa Blaser CPA CRCM CAMS CFSA CFIRS, Partner, Wipfli Advisory LLC

• Marketing and Social Media Hot Topics
  This session will take a practical look at the compliance hot topics affecting financial institution marketing today—from advertising and promotional practices and social media oversight to FDIC signage requirements, non-deposit investment product reminders, TCPA considerations, website trackers and cookies, and other emerging issues. Attendees will gain insight into the latest developments, common compliance challenges, and practical considerations for navigating the unique challenges in marketing programs.
  • Sara McGinnis CRCM CAMS, Compliance and Audit Manager, CrossCheck

• Interactive Regulation E
  The two areas of greatest risk in Regulation E are the liability calculation and the investigation process. Since the antiquated verbiage of the regulation has not kept pace with emerging technology and new delivery methods of products and services, the operations analyst, compliance professional, or internal audit may struggle with answering critical questions to understand a Reg E claim. “What was the access device used in the disputed transaction?” “Who initiated the disputed transaction?” “How do we define ‘authority’ to use an access device?” “Do I have enough information to deny a claim?” In this interactive session, the facilitator will introduce several scenarios, all based on actual claims, and provide participants with the opportunity to walk through the investigation and liability calculation process. This session encourages collaboration as we share tips and tricks to finding the answers to those difficult questions to put us in the best position to evaluate a claim and manage both our compliance and financial risk associated with Regulation E.
  • Brian Crow CAMS, Managing Partner/Co-President, TCA Compliance

Registration and Breakfast begins at 7:30 am
Session runs from 8:30 am to 4:00 pm

Attendees are advised to arrive before 8:00 am

Last day of registration is 5:00pm CT on October 26, 2026

As a reminder, CCA no longer accepts cash or checks as payment for meetings or membership dues. Payment is only accepted in advance by debit or credit card via our website. Registration for meetings or membership will not be considered complete without prepayment. CCA is no longer able to invoice for events and entry will be denied if payment has not been received. Payment can be made in advance using a debit or credit card via CCAs PayPal page. Failure to pay in advance may result in removal of registration for the event.

Speakers and Topics may be subject to change.

This session is not to be recorded electronically without written permission from the Chicagoland Compliance Association and all speakers. materials and opinions shared from the speakers are not necessarily those of the organization they represent and therefore, unless otherwise indicated, should be assumed personal and not indicative of any implied liability or accountability back to the respective organization.

Reservation cancellations received by the CCA after the registration deadline of 5:00pm on October 26, 2026 will not receive a refund. If you choose to cancel you will not be entitled to a refund for the third-party processing charges incurred for the payment method used.

If after registering you do not see the “Thank You” page or you do not receive a confirmation email within two days, then your registration has not been received. Please email the CCA.

In order to receive Member Pricing for this event, your institution must have paid your Membership Dues for 2026. If you are unsure if your institution is a CCA member, please check the Membership Listing on our website. 

Click here to register for the event.

**We have received some reports of issues registering for the conference from institution devices. If you complete the registration form and are not brought to a screen to submit payment but instead receive a message that says “Thanks for contacting us! We will get in touch with you shortly.” your registration has not gone through. Please try resubmitting from a device not on that network.** 

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