Financial institutions frequently face a seemingly unsolvable dilemma. They are expected to conduct detailed compliance reviews to identify and correct potential issues. However, compliance reviews and audit reports generally are not shielded from discovery by class action plaintiffs and regulators. As a result, the written reports created to document compliance reviews can create a road map for adversaries to establish potential violations of consumer protection laws.

In this webinar, we will address this dilemma and discuss how financial institutions can balance their obligations to conduct and document compliance reviews while managing the risk that these reviews may be used against them in litigation.

We will also field your questions on this topic and address them during the course of the presentation. Please let us know what questions you would like our panel to answer by typing them into the boxes at the bottom of the registration form. We encourage you to submit up to three questions and will ensure that your anonymity is preserved.


  • How to effectively set up and structure a compliance program to minimize risks
  • General guidelines for writing compliance reviews
  • Suggestions for how to write about sensitive issues and potential violations
  • When, if ever, compliance reviews will be protected by the attorney-client, attorney work product, or self-testing privileges 


Thursday, June 4, 2015
12:00 PM - 1:00 PM ET | Webinar


Alan S. Kaplinsky, Practice Leader
Consumer Financial Services Group


Mark J. Furletti 
Consumer Financial Services Group 

Christopher J. Willis
Consumer Financial Services Group 

Sarah T. Reise
Consumer Financial Services Group

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 Prickril at


Related Practice

Consumer Financial Services