Government Investigations and Enforcement in the Financial Services Industry: What’s New?

In the new webinar “Government Investigations and Enforcement in the Financial Services Industry: What’s New?,” Manatt lawyers will discuss recent enforcement trends in the financial services industry and what to do if the government comes knocking.

Learn how you can protect yourself and your organization from a government investigation or enforcement action. The program will provide a summary of 2018 key enforcement trends and developments, an overview of the relevant laws and regulations, and the key government agencies that enforce the regulations. During the program, you will:

  • Understand how key enforcement agencies are addressing Anti-Money Laundering/Bank Secrecy Act compliance.
  • Gain insights into the key enforcement agencies, including the DOJ, the SEC, the Financial Industry Regulatory Authority, the Office of the Comptroller of the Currency and the Office of Foreign Assets Control, as well as the types of actions and investigations they are pursuing.
  • Learn about the impact of the changes at the CFPB and the enhanced role of state enforcement agencies.
  • Explore the Foreign Corrupt Practices Act and implications of doing business overseas.
  • Find out what to do if you are faced with an enforcement action, and how routine audits can blossom into full-blown investigations.

Rick Hartunian, Partner, Corporate Investigations and White Collar Defense
Brett Natarelli, Partner, Financial Services Group
Jacqueline Wolff, Co-chair, Corporate Investigations and White Collar Defense
Andrew Zimmitti, Partner, Litigation

Date and Time
This webinar was held on September 25, 2018

If you would like to receive an audio transcript of this webinar due to accessibility issues, please email us at

This program does not constitute legal advice, nor does it establish an attorney-client relationship. Views expressed by presenters are strictly their own and should not be construed to be the views of Manatt or attributed to Manatt.



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