Regulatory Enforcement and Examination Roundtable: The View from Agencies on Enforcement Actions and New Initiatives
Thomas P. James
Senior Assistant Attorney General, Consumer Counsel - Consumer Fraud Bureau
Office of the Illinois Attorney General
Senior Assistant Attorney General, Chief – Computer Crime Section
Virginia Attorney General’s Office
Joel M. Sweet
Assistant U.S. Attorney
United States Attorney’s Office for the Eastern District of Pennsylvania
- 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?
- Effectively responding to investigations