Bank Regulatory - Basics & Beyond (OnDemand)
Originally held on Friday, March 16, 2018 | 9:00 am-1:00 pm
CLE credit
NY: 4.5 total: 3.5 Professional Practice & 1.0 Ethics
NJ: 4.5 total: 3.5 General & 1.0 Professional Responsibility
CA: 3.5 total: 2.5 General & 1.0 Professional Responsibility
PA: 3.5 total: 2.5 General & 1.0 Professional Responsibility
OnDemand: Member: $189 | Nonmember: $289
Click Here to View Program Agenda & Faculty
This course will enable both in-house and outside counsel to expand their skills and be more valuable to their clients by covering the why, what, when, where and how of bank regulations. The bank regulatory environment has completely changed in the last few years and further changes are coming. You will learn about these changes from experts in the field. Lawyers who practice in finance, securities, lending, M&A, litigation, anti-financial crimes and regulatory areas need to increase their knowledge of this area to effectively advise clients.
This basic course will cover the three lines of defense for regulatory matters - business units, compliance/legal and audit. It will cover the Volcker Rule, capital requirements (CCAR, DFAST, Basel II and III), Resolution Plans ("Living Wills"), Anti-Money Laundering ("AML"), Know Your Customer ("KYC"), Sanctions, Office of Foreign Asset Control ("OFAC"), Foreign Corrupt Practices Act ("FCPA"), Committee on Foreign Interests in the US ("CFIUS"), data privacy rules and other important bank regulations. Bank regulatory rules for initial coin offerings and block chain will also be covered. There will be one ethics credit relating to compliance with bank regulations and how to structure deals and lending arrangements within the parameters of some of these new regulations.
Program Chair: N. Adele Hogan, Former Director, Deutsche Bank AG
Sponsoring Association Committees:
Banking Law| Mark Zingale, Chair
Financial Reporting | David S. Huntington, Chair
Futures & Derivatives Regulation | Robert M. McLaughlin, Chair
Mergers, Acquisitions & Corporate Control | Trevor Saul Norwitz, Chair
Securities Regulation | Mark Rossell, Chair