Financial Services Industry Investigations: Tips on Responding to U.S. Attorneys, Attorneys General & Regulatory Agencies

Please join Holland & Knight's Financial Services Regulatory Team for the next installment of our Crystal Ball series as we provide an overview of external investigations, including the latest trends and developments impacting financial regulatory bodies in the U.S.

Topics Include:

• Stated and unstated rules of engagement for when a company receives a subpoena and civil investigative demand
• Trending issues of interest in investigations related to the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Suspicious Activity Reporting (SAR), and how to navigate them with the U.S. Department of Justice (DOJ), Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN)
• Trending issues of interest in investigations involving consumers and how to navigate investigations spurred by the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC)

Continuing Legal Education (CLE):

Please note: After the completion of the program, Holland & Knight will apply for CLE credit in the following jurisdictions based on attendee requests: California, Colorado, Florida, Georgia, Illinois, Iowa, Missouri, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Utah, Vermont, Virginia and Washington. Some programs may not be awarded CLE credits because of content or jurisdictional restrictions. Please be aware that the CLE approval process can be lengthy in some jurisdictions. Holland & Knight is an approved CLE provider in several jurisdictions, including California, Illinois, New York, Pennsylvania and Texas. For New York attorneys, this program's format qualifies for CLE for transitional (newly admitted) and experienced attorneys. General Certificates of Attendance will be provided upon request for states where applications are not submitted.