Global Enforcement Year in Review – Global Investigations of Financial Institutions Continue to Make Headlines and Generate Huge Penalties: Where Are You Vulnerable?
O’Melveny & Myers LLP (Washington, DC)
Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial (Newark, NJ)
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?