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2019 Opening New Accounts - Documentation and Compliance
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A full day comprehensive workshop

When: 5/8/2019
From 8:30 am to 3:30 pm Lunch Included
Where: Ramkota Hotel
800 N. Poplar Street
Casper, Wyoming 
United States
Presenter: Suzette (Suzie) Jones
Contact: Cheryl Johnston

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Ramkota Hotel
800 North Poplar Street
Casper, Wyoming 


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Seminar Description


Well-trained new account personnel and universal bankers who recognize and stop attempted fraudulent activity are the first line of defense in protecting a financial institution. This workshop encompasses every aspect of account opening – from personal accounts, court ordered, Trusts, simple business to the challenges of more complicated layered business structures. Participants gain confidence and a clear understanding of the regulatory, compliance, documentation, and state law requirements for every ownership offered.  Suzie Jones, CFP® brings technical information to life with her engaging training style, in-depth technical knowledge, and passion for empowering new account representatives with the skills and tools to protect their organizations while at the same time providing quality customer service. 

The 100+ page training manual is customized to your state law and has become known as the "technical reference handbook" for new account departments across the country


What You Will Learn

  • Six Requirements For Opening Any New Account

  • Understanding the Importance and Far-Reaching Ramifications of “Checking a Box” on a Signature Card 

  • TIN Compliance – When to Use an SSN vs. EIN

  • Proper Business Account Documentation and Resolutions:

    • Sole Proprietorships, General and Limited Partnerships, LLC, LLP, LLLP, Corporations, PA, PC,

      Escrows, Non-Profit Associations/Organizations, IOLTA, Public or Governmental Units

    • How to handle business account ownership changes -what documents are needed when asked to

      delete a partner or member, company name changes, entities merger, owner/partner dies…

  • Opening Personal Accounts:

    • Individual, Joint With Rights of Survivorship, Tenants-In-Common Without Rights of Survivorship

  • Adding Authorized Signers or Agents to Personal or Business Accounts

  • Who has Access at Death on a Personal or Business Account?

  • Power of Attorney – In-House vs. Statutory POA

  • Trust Accounts – Formal vs. Informal, Revocable vs. Irrevocable, Living Trusts, Trust Account Certification

  • Payable on Death, In Trust For “ITF”

  • Accounts For Minors – Single Account In Minor’s Name, Joint Account With a Minor, UTMA

  • Court Ordered Accounts: Estate, Guardianship, and Conservatorship

  • Social Security Representative Payee

  • Beneficial Owner Requirements - FinCen - New Customer Due Diligence







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