Extract to table
Pull the structured facts out of a document: parties, dates, amounts, obligations.
Extract to table / workstream-5-governance-training-plan.docx
workstream-5-governance-training-plan.docx
Parties
HARKNESS LLP
Pope LLP
Pinnacle Compliance Solutions LLC
Thornfield Consulting Group LLC
Drayton Mercer LLP
BaaS-related SA
Ridgeline Data Systems LLC
Senior SA
Dates
January 15, 2025
May 15, 2025
April 15, 2025
February 15, 2026
February 28, 2025
January 20, 2025
December 31, 2024
July 15, 2025
January 15, 2026
June 30, 2025
Amounts
$1,450
$895
$725
$2,300,000
$500,000
$1,800,000
$2,250,000
$3,600,000
$1,100,000
$42,500,000
Obligations
The Board, through the Compliance Committee, shall actively oversee remediation progress and shall engage constructively with the independent consultant
The Compliance Committee shall consist of no fewer than three independent directors at all times
The Compliance Committee is expressly authorized under its Charter to retain independent legal counsel, consultants, and other advisors as it deems necessary, and shall have direct and unrestricted access to Philip Hartmann of Calderwood & Harkness LLP and to Dr
The bylaw amendments provide, among other things, that each member of the Compliance Committee must qualify as an "independent director" under applicable listing standards and applicable federal banking regulations, and that at least one member of the Committee shall possess documented BSA/AML experience or a comparable financial services regulatory background
All 15 positions shall be filled no later than August 2025
3; • All training records will be retained for a minimum of five years and shall be available for review by the OCC and by Thornfield