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From Compliance to Enforcement: Effective Liaising with Regulators

August 30 @ 1:00 pm 2:00 pm

Even the most compliant Financial Services organizations can find themselves facing regulatory enforcement. Join our fireside chat as we discuss the events and timelines associated with regulatory enforcement actions from their source, i.e., complaints and referrals through CIDs, documentation, corrective action and resolution. We’ll also cover how to develop effective regulatory liaising strategies that have the potential to reduce the cost (both financial and non-financial), and/or avoid or minimize the risk of regulatory enforcement actions. Please note this webinar does not offer CPE credit.  Learning objectives:

•Comprehensive understanding of the enforcement action process
•Discussion of CIDs, MRA and DOJ Referrals
•Strategies for effective response and risk mitigation
•Successful resolution

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