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CLE: Current Regulatory, Compliance and Litigation Issues for Banking and Financial Services Professionals -- Thursday, December 8, 2016

Event | December 8, 2016


On Thursday, December 8, 2016 members of Kutak Rock's National Financial Services Group will present a CLE seminar titled Current Regulatory, Compliance and Litigation Issues for the Financial Services Professional. Please click here to register.

8:30 a.m. Registration followed by welcome -- Kutak Rock attorney Patrick Griffin
9:00 a.m. Kutak Rock attorney Bryan Handlos speaks to prepaid cards, taking a first look at 1,689 pages of Final Rule content in 20 minutes or less
9:30 a.m. Kutak Rock attorney Dale Dixon reviews the case of PHH Corporation, in which the United States District Court for the D.C. Circuit addressed the powers of the CFPB 
10:00 a.m. Break and open forum 
10:15 a.m. Kutak Rock attorney Jeff Makovicka discusses post-election analysis and what it means for the CFPB, banks and the future 
10:45 a.m. Kutak Rock attorney Kevin Griffith provides an overview of fintech and relevant actions of regulatory and legislative bodies, including the CFPB, OCC and FDIC 
11:15 a.m. Michael McDannel, Financial Institutions Counsel, Nebraska Department of Banking and Finance, speaks to a potpourri of topics, including an overview of the Nebraska Banking Act rewrite (LB 430), small-dollar lending, Executive Officer License legislation and other issues 
11:45 a.m. Break and open forum 
12:15 p.m. Mark Quandahl, Director, Nebraska Department of Banking and Finance, will speak to current trends in the state regulation of banking and securities 
1:00 p.m. Welcome -- Kutak Rock attorney Patrick Griffin 
1:00 p.m. Claire McHenry, Deputy Director, Bureau of Securities, Nebraska Department of Banking and Finance, addresses common exam findings and trends, the status of recent securities rulemaking, including highlights of expected rules, and Securities Bureau priorities, including cybersecurity and senior issues 
1:30 p.m. Bryan HillPresident, RIA Compliance Consultants, discusses the anticipated impact of DOL's new rule on RIA-only firms and reviews certain key exam findings by the SEC 
2:00 p.m. Kutak Rock attorney Alison Gutierrez addresses cybersecurity regulation and compliance, including Regulation S-P as the cornerstone of compliance and recent enforcement 
2:30 p.m. Break and open forum 
2:45 p.m. Kutak Rock attorney Vicki Buter speaks to best practices for responding to governmental and regulatory inquiries 
3:15 p.m. Kutak Rock attorney Ed Fox addresses regulatory expectations regarding the protection of whistleblowers 
3:45 p.m. Kutak Rock attorney Ed Warin reviews current SEC and FINRA initiatives and enforcement proceedings 
4:15 p.m. Adjournment 

For more information, see the invitation and agenda linked below.