Bank Regulatory: Basics and Beyond (OnDemand)
Originally held on Friday, March 20, 2020 | 9:00 am - 1:00 pm
Please note: This program will consist of audio-only instruction by the faculty, along with a visual aid presentation.
Program Fee:
$129 for Members | $229 for Nonmembers
Small Law Firm: $59 for Members
Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted
for the first time in any state or country 2018-2020),
In-House/Corporate Counsel, Judges, or attorneys that practice within
the Government, Academic or Not-for-Profit sectors attend this program
for free.
CLE Credit:
New York: 4.5 Total: 3.5 Professional Practice, 1.0 Ethics
New Jersey: 4.7 Total: 3.5 General, 1.2 Professional Responsibility
California: 3.75 Total: 2.75 General, 1.0 Professional Responsibility
Pennsylvania: 3.5 Total: 2.5 General, 1.0 Professional Responsibility
Connecticut: Available to Licensed Attorneys
Please Note: Newly admitted NY attorneys cannot fulfill ethics or skills credits through our on-demand programs under OCA rules. For more information on this, please see http://www.nycourts.gov/attorneys/cle/changes_for_2016.shtml.
Description:
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. With current coronavirus market and health events, lawyers and other professionals need to be able to answer regulatory questions to support changing business objectives and regulatory rules. You will learn about these changes from professionals at the NY Fed, FDIC and NYS DFS and other experts in the field.
This basic course will cover the three lines of defense for regulatory matters – business units, compliance/legal and audit. It will cover the new control rules, Volcker Rule, capital requirements (CCAR, DFAST), liquidity (Basel IV), 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.
An expert panel will cover:
· Bank Regulatory and Risk Frameworks
· Key Compliance Areas and Trends
· Roles of Business Units, Legal, Compliance and Audit
· Ethics Related to Selected Bank Regulations and Coronavirus Developments
Who Should Attend: Lawyers who practice in risk, regulatory, finance, securities, lending, M&A, litigation, anti-financial crimes governance, compliance, boards of directors and regulatory areas need to expand their skills and be more valuable to their clients by covering the why, what, when, where and how of bank regulations.
Click Here to View Program Agenda & Faculty
Program Chair:
Adele Hogan, Nelson Mullins Riley & Scarborough LLP
Sponsoring Association Committees:
Banking Law, Gregory J. Lyons, Chair
Mergers, Acquisitions & Corporate Control Contests, Trevor S. Norwitz, Chair
Private Investment Funds, Rebecca F. Silberstein, Chair
Securities Regulation, David S. Huntington, Chair