Regulatory Enforcement Procedures
This course is designed to arm lawyers for financial institutions with the tools to respond to regulatory investigations. The course first examines how financial institutions are regulated and inspected and the sources of regulatory authority. Given the myriad types of financial institutions and the myriad regulators, the course will explore how to determine and navigate their different points of view and agendas. The course then will arm students with a step-by-step guide through the process of responding to various types of investigations, including conducting internal investigations and defending against criminal proceedings. Leading practitioners from regulatory agencies and prosecutors will be regular guest speakers, and the course will feature several projects through which practical skills can be gained. The final exam will present a real-world scenario and require students to respond as if they were in-house counsel to the target of an investigation.