How to Respond to Your Financial Services Agency

These days if you are counsel in the financial services industry, responding to a host of regulatory agencies and even being involved in the judicial process is practically daily fare. This cadre could include the Federal Reserve, FDIC, OCC, SEC and other various and sundry state insurance, banking, and exchange regulators. This program addressed the issues that may come up in responding to them, including the attorney-client privilege and demands of waiver, whether to be compliant or adverse, and other issues that arise with respect to official process. Our panel was comprised of in-house counsel and representatives from regulatory agencies who shared the nuts and bolts of this practice area.