Regulatory examinations are a fact of life for licensed financial service companies. More than ever before, remote state examinations are becoming the new normal given the current regulatory environment and effects of the pandemic.
This Checkpoint webcast covered how the pandemic has affected the traditional examination process, and updates from CSBS regarding the latest developments within the State Examination System (SES) and on managing complaints. We also previewed how APPROVED is helping clients address these challenges with the rollout of dedicated examination support services.
APPROVED team members Kristie Battershell and Tim Lange were joined by panelists who shared their industry experience and insights:
- Kyle Thomas, Vice President, Conference of State Bank Supervisors
- Mark Abbott, Corporate Counsel, Veterans United
The information contained herein is for informational purposes only, does not constitute legal advice, and does not necessarily reflect the opinions of Orrick, Herrington & Sutcliffe LLP or any of its attorneys, employees, or clients. This presentation is not intended to create, and does not create, an attorney-client relationship between you and Orrick, Herrington & Sutcliffe LLP, or any of the presenters, and you should not act or rely on any information in this presentation without consulting legal counsel. The information contained in this presentation may or may not reflect the most current legal developments. Accordingly, information in this presentation is not promised or guaranteed to be correct or complete, and it should not be considered an indication of future results. Orrick, Herrington & Sutcliffe LLP expressly disclaims all liability in respect to actions taken or not taken based on any or all of the contents of this presentation.