Global Enforcement Year in Review – Global Investigations of Financial Institutions Continue to Make Headlines and Generate Huge Penalties: Where Are You Vulnerable?

December 3, 2014 11:00am

Greta Lichtenbaum
O’Melveny & Myers LLP (Washington, DC)

Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial (Newark, NJ)

Seetha Ramachandran
Special Counsel
Schulte Roth & Zabel LLP (New York, NY)

  • What recent settlements and current investigations reveal about enforcement priorities and what triggers an investigation
  • Lessons learned from BNP Paribas, Standard Chartered Bank, Weatherford, Royal Bank of Canada and Fokker Services
  • How compliance efforts are rewarded
  • What is expected of your company if your industry is under review
  • How different countries work together on global investigations
  • Convergence: What role AML or fraud investigations play in economic sanctions enforcement
  • What are the role and jurisdiction of the SEC over economic sanctions?
  • How US agencies interact during a sanctions investigation
  • Should we expect more enforcement on the state level?