Navigating a Bank Regulatory Enforcement Action

In the current regulatory environment, federal bank regulatory agencies are taking a more aggressive examination and enforcement against banks from Wall Street to Main Street. Experience has shown that regulators are not looking only at the regulated banks but also at directors, senior executive officers and third-party relationships of the banks, all with the focus of ensuring that banks avoid violations of law as well as unsafe or unsound.

During this program, Holland & Knight Partner Travis Nelson will review the agencies' processes and procedures, from initial examinations, to more formal investigations and enforcement actions.

Topics include:

• jurisdictional issues that allow federal bank regulators to bring enforcement actions against third-party service providers to banks
• actions against bank executives for conduct unrelated to their bank service
• current supervisory priorities of regulators and what to watch for

We hope you can join us for this highly informative program.