In today's regulatory environment, consumer financial services companies are subject to investigation by a number of different government regulators at any given time. Specifically, the Consumer Financial Protection Bureau, Federal Trade Commission, Department of Justice, state attorneys general, and state banking departments all are empowered to bring enforcement actions against consumer financial services companies, either collaboratively or independently, in accordance with the scope of each regulator's authority and jurisdiction.

While all of these regulators are charged with regulating the same industry, there can be significant and meaningful differences in how each regulator will handle its own investigation. In this webinar, we will explore these differences, as well as examine how they may warrant different strategic choices when defending against a regulatory investigation. We will examine the entire life cycle of each regulator's investigation, including: 

  • How each regulator determines whether to commence an enforcement action 
  • How each regulator initially contacts the target of the enforcement action 
  • What to expect in each type of investigation 
  • How to develop effective resolution strategies     

Program

12:00 PM - 1:00 PM ET | Webinar

Moderator

Alan S. Kaplinsky, Practice Leader, Consumer Financial Services

Presenters

Sanjay Bhandari, White Collar Defense/Internal Investigations

Beth Moskow-Schnoll, White Collar Defense/Internal Investigations

Christopher J. Willis, Consumer Financial Services

Stefanie H. Jackman, Consumer Financial Services

This program is open to Ballard Spahr clients and members of the financial services industry. There is no cost to attend. This program is not eligible for continuing education credits.

Please register at least two days before the webinar. Login details will be sent to all approved registrants. For more information, contact Lisa M. Prickril at prickrill@ballardspahr.com.

Program Contact

Lisa Prickril
prickrill@ballardspahr.com