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  • Description

    Traditional corporate and business lawyers must have a firm grasp on the many regulatory issues which shape corporate law. Banks, however, are not corporate entities but rather are the creations of law, both federal and state. Therefore, it is incumbent upon non-banking attorneys to study the regulatory issues which dictate banks and banking, including investment banking.

    This CLE course, designed specifically for non-banking attorneys, will explain what banking is and comprehensively review:

    • regulatory agencies
    • relevant statutes
    • major legislation
    • holding companies
    • banks’ organizational structure
    • restricted transactions
    • and other regulatory issues
  • Instructor Bio

    Kathleen Scott

    Kathleen A. Scott is a senior counsel in the New York office of Norton Rose Fulbright, representing some of the world's largest international financial institutions concentrating on a broad range of financial services regulatory, anti-money laundering and privacy matters. Kathleen 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 advises foreign and domestic banks 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 various other state banking laws and regulations regarding banks as well as nonbank financial companies that might require licensing at the state level.

    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 advises financial institutions on a broad range of anti-money laundering compliance and enforcement issues. Kathleen is also part of the firm's FinTech practice, and frequently speaks and writes on virtual currency, blockchain, and smart contract issues.

    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. Since 2005, she has written a bi-monthly column on International Banking for the New York Law Journal. In addition, she routinely contributes to the Financial Services: Regulation Tomorrow blog, which provides insight and commentary on the global financial regulatory environment.