Regulatory compliance webcast series:A discussion of the CFPB investigation process and use of the compliance framework for vendor management.
Join our complimentary webcast on Thursday, March 19, to gain clarity around regulatory compliance issues impacting your institution or organization.
This first installment of our 2015 series will be led by McGladrey presenters:
Guest speakers will include Camden Webb and Alan Clark of Williams Mullen.
- CFPB investigation process and enforcement actions: We will explain the CFPB’s powers related to examinations, investigations and enforcement, as well as the powers of other federal agencies and state regulators. We will also review the investigation process, how the actions of the CFPB, U.S. Department of Justice and state attorneys’ general actions work, and highlight ways organizations can prepare for possible investigations. In addition, we will explain how civil actions can arise from regulatory examinations and investigations and take a look at the regulators’ current compliance priorities and discuss how to properly respond to adverse examination findings.
- Using the compliance management system framework for vendor management: As the regulatory environment continues to evolve, challenges and risks are increasing. We’ll discuss the four components of an effective compliance management system and how they can be used to mitigate vendor risk.
- Updates and reminders