Bank Enforcement Actions—Roundtable With the Experts: New Issues, Higher Penalties, Joint Enforcement Actions
|Date / Time:
While the number of federal enforcement actions has decreased from the height of the financial crisis, they still remain significantly high in historical terms. Moreover, penalties against banks have continued to increase.
Dodd-Frank requirements and capital dominated the issues scrutinized in recent enforcement actions, along with consumer protection issues, AML/OFAC policies, and bank soundness and safety policies.
The Consumer Financial Protection Bureau (CFPB) has commenced enforcement activity well as joined other agencies in joint enforcement actions in 2014. The CFPB’s aggressive stance against banks and non-banks will not abate any time soon.
Listen as our authoritative panel of banking practitioners with more than 130 years of experience evaluates current issues and defenses in bank enforcement actions and predicts what we can expect to see in the near future.
- DOJ’s use of 12 USC 1833(a)
- Impact and defense of project choke point
- The complications of criminal prosecutions
- Defending multiple actions
- Current consumer protection issues
- Anti-money laundering and OFAC policies
- Holding company, capital and stress test issues
- Fair lending challenges
- Enforcement focus on directors and officers
The panel will review these and other key questions:
- What issues have been the focus of OCC, FDIC and Federal Reserve actions?
- Where has the CFPB been focusing its enforcement efforts?
- What trends can we expect to see for the remainder of 2014 and into 2015?
Thomas P. Vartanian, Partner
Dechert, Washington, D.C.
Mr. Vartanian is a corporate counselor, regulatory advisor, litigator and deal maker who has represented a wide variety of financial services clients before federal financial agencies and the Department of Justice on matters ranging from mergers and acquisitions, non-control investments, FDIC acquisitions, restructurings, enforcement, fair lending, administrative challenges, GSEs and D&O liability.
Richard M. Alexander, Partner
Arnold & Porter, Washington, D.C.
Mr. Alexander's practice involves some of the most significant enforcement, supervisory, and governance matters affecting the financial services industry. He represents financial services companies and their officers and directors, as well as accountants, attorneys, and other professionals, in significant enforcement or investigative proceedings brought by federal or state agencies.
Ronald Glancz, Partner
Venable, Washington, D.C.
Mr. Glancz represents financial institutions of every type and represents companies and investors seeking to become or acquire a bank. He also represents directors and officers of financial institutions. He focuses on bank and thrift regulation, supervision and enforcement, M&As, new financial products and services, corporate governance, FDIC issues, and Bank Secrecy Act compliance.
Robert H. Ledig, Partner
Dechert, Washington, D.C.
Mr. Ledig advises financial institutions on corporate, regulatory, enforcement, and litigation issues. He previously served as an attorney in the Office of the General Counsel of the Federal Home Loan Bank Board, where he was responsible for regulatory policy matters. He has been recognized for his work in Financial Services: Banking (Regulatory Enforcement & Investigations) by Chambers USA.
Andrew L. Sandler, Chairman & Executive Partner
Buckley Sandler, Washington, D.C.
Mr. Sandler's a recognized leader in financial services litigation, enforcement, regulatory and compliance. He also serves as a strategic legal advisor to many leading banks and thrifts, mortgage and consumer finance companies, and credit card issuers to help them navigate complex litigation and civil and criminal investigations and examinations by government enforcement and bank regulatory agencies.
John K. Villa, Partner
Williams & Connolly, Washington, D.C.
Mr. Villa focuses his practice on corporate, securities and financial services-related litigation (both civil and criminal) and legal malpractice defense. He has represented a substantial number of the largest law firms in the United States. Chambers says he is “the ‘first name to come to mind for financial services litigation matters.’”
CPE Credits Available!
This program has been approved for 1.5 CPE hours through Strafford Publications. CPE Credit is available only for the LIVE webcast. Recorded versions do not qualify for credit.
Strafford is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.
To obtain CPE credit, attendees must participate in the live event, return an Official Record of Attendance to Strafford affirming their participation (including the CPE code announced during the program), and pay a processing fee of $35 per person. Strafford then will mail a certificate of credit within approximately two weeks of receiving your completed Official Record of Attendance.
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