Recently, regulatory focus has increased significantly on compensation incentives and monitoring systems for employees of financial institutions. Regulators like the CFPB have made it clear that financial institutions will be held accountable for the design of incentive arrangements and their monitoring process. The OCC is currently conducting horizontal risk reviews of sales and incentive programs in its Large Bank Supervision and Midsize Bank Supervision portfolios.

Please join us for a discussion about the current focus of the regulatory agencies and how financial institutions should respond to the examinations, assess their incentive-based compensation programs, and review and strengthen their monitoring programs.

We will explore:

  • Assessing the design of existing incentive-based compensation programs;

  • Regulatory focus on incentive compensation-related controls and risk management;

  • Risks associated with insufficient controls and monitoring;

  • Designing incentive-based compensation programs and related controls to minimize regulatory risks; and

  • Board and management oversight of incentive-based compensation programs.

Date & Time

Wednesday, December 14, 2016
12:00 PM - 1:00 PM ET


Alan S. Kaplinsky, Practice Leader,
Consumer Financial Services


Christopher J. Willis, Practice Leader,
Consumer Financial Services Litigation

James Kim
Consumer Financial Services Litigation

Katayun I. Jaffari
Employee Benefits and Executive Compensation

Diane A. Thompson
Employee Benefits and Executive Compensation

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

Please register at least two days before the webinar. Login details will be sent to all approved registrants. For more information, contact Daniel Martin at