Regulations of Financial Institutions: Translating Law into Compliance

New York City Bar Program

01/25/2018 09:00 a.m. - 12:00 p.m.

Financial Services, Banking + Financial Services, Financial Institutions + Financial Services, Financial Services Litigation, and Financial Services Enforcement

New York City Bar
42 West 44th St
New York, NY 10036

Barbara R. Mendelson

Barbara R. Mendelson

Speaking Engagement

Partner Barbara Mendelson will serve as program co-chair for the New York City Bar’s “Regulations of Financial Institutions: Translating Law into Compliance” program.

Complex financial institutions operate in a challenging legal environment marked by pervasive regulation, overlapping state and federal oversight, and ever-changing supervisory expectations.

This program will provide an overview of some of the principal legal requirements affecting complex financial institutions, and will explore the practical challenges and considerations associated with building and maintaining a compliance program to implement those regimes.

In-house/outside counsel and attorneys serving in compliance roles will address the following:

  • The Roles of Legal and Compliance
  • Key Federal Banking Laws: Bank Holding Company Act, International Banking Act, and The National Bank Act
  • Anti-Money Laundering and Sanctions Compliance
  • Data Security and Cybersecurity Requirements (including Vendor Management)
  • Volcker Rule Compliance
  • Regulation of Over-the-Counter Swaps Markets

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