When and How to Collect Monitoring Information


Presented by: Jack Holzknecht and Andy Zavoina

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Every lender must collect government monitoring information (information on race, ethnicity, etc.) under the requirements of Regulation B (the Equal Credit Opportunity Act), separate agency Fair Housing regulations or under Regulation C (the Home Mortgage Disclosure Act). Some must collect under more than one rule. This two-hour program reviews each of the different federal regulations that require the collection of monitoring information.

Upon completion of this program, participants will understand:
  • When the collection of information is required under:
    • Regulation B
    • Regulation C
    • OCC Part 27
    • FDIC Part 338
    • NCUA Part 701
  • What information must be collected under the various rules; and
  • How to properly collect the information in face-to-face applications, telephone applications, and electronic applications.
Participants receive a detailed manual that serves as a handbook long after the program is completed

This two-hour program:
  • Explains the rules;
  • Explains how to develop a system that assures compliance; and
  • Includes checklists, questionnaires and other forms to make compliance easy.
The program is designed for loan originators, loan officers, lending department management, compliance officers and auditors.

About the Speakers: Jack Holzknecht is a principal with Pegasus Educational Services, LLC. He has been delivering the word on lending compliance for 36 years. In Jack's 31 years as a trainer, over 100,000 bankers (and many examiners) have participated in his live seminars and webinars. Jack's career began in 1976 as a federal bank examiner. He later headed the form, software and education divisions of a regional consulting company. There he developed loan and deposit form systems and software. He also developed and presented training programs to bankers in 43 states. Jack has been an instructor at compliance schools presented by several state bankers associations. He developed and delivered compliance training for the FDIC and OTS for ten years. He is a Certified Regulatory Compliance Manager and a member of the National Speakers Association. He is also a "BOL Guru" at http://www.bankersonline.com.

Andy Zavoina, CRCM, is an Executive Vice President with the Glia Group, best known for its involvement with BankersOnline.com.

Andy has been in finance and banking for 23 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, he has been a consumer, commercial and real estate lender and managed those departments as well as being the banks first webmaster. He was responsible for compliance, management, auditing, and training for both banks.

Andy is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He was chairman of the Editorial Advisory Board for the ABA's Compliance Magazine, Compliance Action magazine, was a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.

He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.

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CD-ROM Includes:
  • Complete presentation (including slides and audio)
  • Written Materials
  • Follow-up Q & A
You have the right under this license agreement for this CD-ROM to use this presentation on a single-workstation. Use on a network is in violation of the copyright agreements. CD may be used by multiple users at a given institution but may not be placed on a network or in any other multi-user environment.

This program was recorded in its entirety in April 2012. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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  • Model: cd_monitor0412
  • Manufactured by: Glia Group, Inc.

This product was added to our catalog on Friday 19 May, 2006.

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