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Buckley Webcasts

Buckley Webcast: State licensing and prudential standards

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. Buckley attorneys Katy Ryan, Jedd Bellman, and Keisha Whitehall Wolfe for the first in a three-part series on the licensing and supervision lifecycle, kicked things off with focusing on how prudential regulators evaluate the qualifications of entrants into the marketplace.

Future sessions will explore how numerous governmental jurisdictions are meeting their legislative mandates through individual and coordinated activity, from the sharing of confidential supervisory information to joint examinations and multijurisdictional enforcement endeavors.

PART 1: State licensing and prudential standards

PART 2: State supervision, enforcement, and multistate coordination

PART 3: State-federal collaboration

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.

Registration required. Please, no outside law firms, government agency personnel, media, or consulting firms. After registering and being approved, you will receive a confirmation email containing instructions for joining the webcast.

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