Best Practices for Bringing, Defending, or Settling a Regulatory Enforcement Action

What is the current state of financial regulation and enforcement? How does it compare to recent history?

Mr. Lennon, a litigator and forensic accountant with over twenty years of experience in cases involving complex financial issues, will very briefly explore the historical backdrop of regulatory change with an emphasis on recent high-profile enforcement matters. He will then explore the essentials of regulatory enforcement cases with an emphasis on appropriate settlement strategies.

Learning Objectives:

1. Review the historical backdrop behind the current state of financial regulation and enforcement
2. Identify the essential elements of regulatory enforcement actions in the current environment
3. Discuss the importance of relevant settlement strategies and considerations under various circumstances

This course originally appeared as a part of our December 2017 Bridge the Gap Event.