Events | 05-28-25
The Future of Compliance: Regulatory Exams Across Banks and Fintechs
As regulatory expectations continue to intensify, both traditional banks and fintech firms are facing heightened scrutiny and evolving obligations from federal and state regulators.
This complimentary CLE webinar brings together top compliance, legal, and regulatory experts to provide a deep dive into how institutions can effectively prepare for (and succeed during) regulatory exams.
Join us for an engaging, practical discussion featuring key insights on:
- Exam Readiness Across Institutions: How exam expectations differ between fintechs and banks—and what both can learn from each other.
- Evolving Regulatory Landscape: Understand the post-2023 enforcement climate and how agencies like the OCC, CFPB, FinCEN, and state regulators are raising the bar.
- Common Pitfalls & Findings: Learn from real-world case studies that reveal the most frequent exam deficiencies, from SAR narratives to vendor oversight.
- Preparing for Success: Practical guidance on internal documentation, mock audits, compliance training, and building a culture of exam readiness.
- Leveraging Technology: Explore how RegTech, AI, and automation can enhance compliance operations, streamline audits, and improve examiner engagement.
- Legal Considerations & Privilege: Navigate the complexities of privilege during exams and understand when to bring legal counsel into the process.
Designed for attorneys, compliance officers, risk managers, and financial industry leaders, this session will arm you with tools and tactics to strengthen your organization’s compliance posture and stay ahead of regulatory expectations.
*1.0 CLE credit (pending approval).