An Insider's Look at Handling Regulatory Investigations

An Insider's Look at Handling Regulatory Investigations

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This program is a unique conversation between former financial services regulator Jedd Bellman (former Assistant Commissioner for compliance and enforcement in the Office of the Maryland Commissioner of Financial Regulation) and financial services industry advocate Leslie Bender, discussing the perspectives of regulator and an advocate for regulated client in an examination or other investigation conducted by a Maryland regulatory body.

Topics this program will explore include these: (1) how to read between the lines in the initial examination or investigation materials to identify potential theories or concerns in the regulatory scope; (2) setting the tone from the beginning for a workable, sensible exam or investigation with a meet and confer; (3) conferring with your client about what to expect in a regulatory exam or investigation; and (4) preparing and organizing responses to regulatory requests.

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