Complex financial institutions operate in a challenging legal environment marked by pervasive regulation, overlapping state and federal oversight, and ever-changing supervisory expectations.
This program will provide an overview of some of the principal legal requirements affecting complex financial institutions, and will explore the practical challenges and considerations associated with building and maintaining a compliance program to implement those regimes.
In-house/outside counsel and attorneys serving in compliance roles will address the following:
- The Roles of Legal and Compliance
- Key Federal Banking Laws: Bank Holding Company Act, International Banking Act, and The National Bank Act
- Anti-Money Laundering and Sanctions Compliance
- Data Security and Cybersecurity Requirements (including Vendor Management)
- Volcker Rule Compliance
- Regulation of Over-the-Counter Swaps Markets
Program Co-Chairs: TBD
Sponsoring Committees:
Banking Law | Mark Zingale, Chair
Compliance | Michael McMaster, Chair
Futures & Derivatives | Robert M. McLaughlin, Chair
In-House Counsel | Darryl W. Gibbs, Chair