An Introduction to the Complex U.S. Bank Regulatory Framework

(132 Ratings)

Produced on: November 09, 2018

Course Format On Demand Audio

Taught by


Course Description

Time 64 minutes
Difficulty Beginner

In this important update to her 2016 program, Norton Rose Fulbright’s Kathleen Scott provides an introduction to the complex U.S. bank regulatory framework, covering the basics of banking law. Ms. Scott reviews the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on federal banking laws and examines federal anti-money laundering legislation and addresses hot-topic fintech issues (such as cryptocurrency). She also addresses methods for chartering banks, capital requirements, authorized activities and investments for banks, and margin lending regulations.

This program is aimed to provide the non-banking law practitioner with exposure to the relevant banking laws, regulations, and terms lawyers may come across on a daily basis.

Learning Objectives:

  1. Recognize the applicable federal banking statutes and regulations
  2. Identify the federal bank regulatory agencies
  3. Address capital requirements
  4. Break down transaction-related issues and other regulatory issues
  5. Gain exposure to some of the systemic risk issues addressed in the Dodd-Frank regulatory reform legislation
  6. Discuss non-US banks setting up operations in the United States
  7. Highlight potential regulatory issues when looking at cryptocurrency and the blockchain


Kathleen A. Scott

Norton Rose Fulbright

Kathleen A. Scott is a senior counsel in the New York office representing some of the world's largest international banks and other financial institutions concentrating on a broad range of financial services regulatory, anti-money laundering and privacy matters.

She represents financial institution clients with respect to the bank regulatory aspects of mergers and acquisitions, establishment of new banking organizations and nonbanking affiliates, and other transactions. Kathleen also advises U.S. and non-U.S. banks, bank holding companies and other financial institutions on a broad range of federal and state regulatory issues affecting all their operations and interacts routinely with federal and state banking regulators. She has expertise regarding U.S. federal and state banking laws and regulations regarding banks as well as nonbank financial companies that might require licensing at the state level.

In addition, Kathleen counsels financial institutions facing enforcement or other supervisory actions or investigations by state and federal regulators on their compliance with federal consumer, privacy and anti-money laundering legislation and regulations. More specifically, she handles compliance with the Gramm-Leach-Bliley Act for banks and other financial institutions and related financial privacy and information security matters. She also uses her regulatory expertise to advise financial institutions on a broad range of anti-money laundering compliance and enforcement issues.

She also is a member of the firm's global financial technology practice, advising on the U.S. financial services regulatory aspects of cryptocurrencies, the blockchain and smart contracts

Kathleen began her career as an attorney for the United States Department of Treasury and also served as an assistant counsel for the New York State Banking Department before going into private practice at two other major law firms in New York before joining Norton Rose Fulbright.


Anneliese V.

This presenter was better than most.

Elizabeth S.

Excellent presenter!

Beth H.

I've enjoyed the instructors from Norton Fulbright. Expansive knowledge.

Shena D.

Love this presenter. Always extremely knowledgeable about the subject matter.

Jeffrey D.


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$ 59 Banking Law In Stock


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