Part 3: State-federal collaboration
Tuesday, July 19, 2022 | 2:00-3:00 p.m. ET
In the final installment of Buckley’s Licensing & Supervision Lifecycle webcast series, Buckley attorneys John Coleman, Amanda Lawrence, and Jedd Bellman discussed coordination between states and various federal agencies, from the sharing of confidential supervisory information to coordinated examinations and multijurisdictional enforcement endeavors.
About the Licensing & Supervision Lifecycle webcast series
The opportunity to do something new in financial services has never been greater, and innovative market entrants are staking their claim every day. Companies best positioned to succeed are those that best understand the complex rules of the road that are largely determined by federal and state regulators — and are changing constantly.
These discussions are a must-attend for any in-house attorney or compliance professional at a financial services business that is either licensed or subject to the supervisory authority of state regulators, state attorneys general, and the federal government.
Part 1: State licensing and prudential standards
June 21, 2022 | View recording
Part 2: State supervision, enforcement, and multistate coordination
July 12, 2022 | View Recording
Part 3: State-federal collaboration
July 19, 2022 | View Recording