Regulatory Enforcement and Examination Roundtable: The View from Federal and State Agencies and Attorneys General on New and Emerging Initiatives, Enforcement Actions, Examination Procedures, and Investigations

July 24, 2017 11:30am


Richard Hayes
Deputy Chief, Civil Division
United States Department of Justice

Joseph Borg
Alabama Securities Commission

David A. O’Toole
Senior Staff Attorney
Federal Trade Commission Midwest Region

Shannon Smith
Consumer Protection Chief
The Washington State Attorney General’s Office of Consumer Protection

Charles M. Steele
Deputy Chief Counsel
Office of the Comptroller of the Currency Washington, DC

Ken Markison
Vice President & Regulatory Counsel
Mortgage Bankers Association

Thomas P. James
Senior Assistant Attorney General Consumer Fraud Bureau
Office of the Illinois Attorney General


Andrew K. Stutzman
Chair, Finance Services Litigation
Stradley Ronon Stevens & Young LLP

Quyen Truong
Stroock & Stroock & Lavan LLP

  • Assessing the types of investigations and actions that are being brought against financial institutions
  • What are the biggest areas of concern for federal agencies and state attorneys general right now?
  • Pitfalls to avoid when working with federal agencies and state attorneys general
  • What to expect during an examination
  • Regulatory enforcement and examination perspectives
  • How will the CFPB, the FTC, and other federal agencies coordinate investigations, enforcement actions, and settlements with state agencies and attorneys general?
  • Intended impact of Dodd-Frank if it gets repealed and where financial institutions can expect changes
  • Effectively responding to investigations