June 13, 2024

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

Holland & Knight Webinar

Holland & Knight's Financial Services Regulatory Team hosted a webinar overview on external investigations, including the latest trends and developments impacting financial regulatory bodies in the U.S.

Topics covered 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)

Duration: 1:02:43

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