On Demand Audio

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

(1k+ reviews)

Produced on November 09, 2018

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Course Information

Time 1h 4m
Difficulty Beginner
Topics covered in this course: Banking

Course Description

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

Credit Information

After completing this course, Lawline will report your attendance information to {{ accredMasterState.state.name }}. Please ensure your license number is filled out in your profile to ensure timely reporting. For more information, see our {{ accredMasterState.state.name }} CLE Requirements page . After completing this course, {{ accredMasterState.state.name }} attorneys self-report their attendance and CLE compliance. For more information on how to report your CLE courses, see our {{ accredMasterState.state.name }} CLE Requirements FAQ .


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.


Jocelyn A B.

Very good CLE.

lisa j.

Very knowledgable instructor with a tremendous amount of information. While it is amazing that she could impart so much knowledge in one hour, and the materials are very helpful for further study, I think it would be incredibly useful if this was a 4 or 5 part series, as it was a lot to take in at speed. Thanks!

Daniel D.

excellent cle. thank you

Patrick K.


Edmund S.


Lina F.

Very interesting

Natasha P.

really enjoyed cle. Wish she talked a little slower, so I could take notes.

Marisol L.

Well done. Good overview with sufficient detail.

Alexandra F.

Great introduction to the Banking Regulation.

Lee N.

Knoweldgable. She barely looked at her own notes.

Kathryn Z.

This is one of the best CLEs I have taken

Junya M.

impressive lecture

Thomas C.

thank you.

Merrill S.

Excellent introduction to Banking regulation. Perhaps needs to be updated from 2015 to current 2020.

Frank M.

Nice presentation.

Shaun S.

Really well presented overview

Timothy Q.

Excellent presentation and substantive information well covered.

Randy B.

Great overview and the course materials are very detailed.

John B.

That was very informative and helpful. Thank you!

Yvenne K.

Excellent overview. Thank you!

Bridget H.

Great program and presenter - thanks!

michael g.

Quite a lot of material presented in a clear and concise fashion. Very good overview of the tangled web of banking regulations.

Michael P.

Excellent overview of a very vast and complex field.

Shelly N.

Excellent and very informative speaker.

Michael L.

excellent overview


Very good presentation.

Russell L.

Surprisingly interesting

Jeffrey C.


Paul G.

Thank you!

Robin N.

very relavant!

M Hope A.

I liked her presentation.

Teresa C.

She is a gifted lecturer on a difficult subject.

Julian M.

Extremely informative and interesting presentation. Thank you.

Renee P.

She was an excellent presenter!

Asha S.

Great overview for getting a handle on banking industry organization, laws and regulations.

Michael R.

This was a great course explaining the banking differences between state and federal.

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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