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

Venue

This is a virtual event, accessible online and over phone. Access instructions will be provided after registration.

Description

This is a complimentary program sponsored by Manatt, Phelps & Phillips, LLP.

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.

Educational Objectives:

• 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 Bureau of Consumer Financial Protection 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.

Who would benefit most from attending this program?

Executives, business leaders, in-house counsel, and outside counsel working with the financial services industry.

Presenters

Rick Hartunian
  • Partner, Corporate Investigations and White Collar Defense
  • Manatt, Phelps & Phillips, LLP

Richard S. Hartunian offers clients the benefit of his decades of experience as lead government counsel in high-profile, high-stakes criminal and civil disputes. Rick defends companies against allegations of white collar crime, healthcare fraud and environmental violations, and advises on cross-border security and trade issues as well as cybersecurity, employment and defense procurement matters. He also helps clients manage crises that result from litigation and government enforcement efforts, particularly when investigations involve multiple agencies and jurisdictions.

During his tenure as United States Attorney for the Northern District of New York, Rick served in national leadership positions as a member, vice chair and chair of the Attorney General’s Advisory Committee of U.S. Attorneys, providing advice and guidance to the department’s leaders on the full range of criminal and civil issues affecting the DOJ and United States Attorneys’ Offices nationally. Within the Northern District of New York, Rick headed several key initiatives and prosecutions, and strengthened his office’s Civil Division by emphasizing affirmative civil enforcement to combat healthcare, procurement and environmental fraud. Rick also worked closely with the FBI and U.S. Department of Homeland Security on cybercrime, including trade secret and customer data theft.

Brett Natarelli
  • Partner, Financial Services Group
  • Manatt, Phelps & Phillips, LLP

Concentrating on consumer finance and protection laws, Brett J. Natarelli handles a range of litigation matters and provides compliance advice relating to mortgage servicing issues. His clients include banks, mortgage servicers, real estate law firms, title insurers, prime and subprime lenders, and other businesses with operations regulated by federal consumer finance laws.

Brett has experience defending clients in the context of consumer class actions and complex contested mortgage foreclosures relating to the Home Affordable Modification Program and the Mortgage Servicing Rule. Brett has also defended clients in cases involving the Fair and Accurate Credit Transactions Act, the Real Estate Settlement Procedures Act, the Equal Credit Opportunity Act, the Servicemembers Civil Relief Act and the Fair Housing Act, among other state and federal consumer protection statutes and regulations.

Jacqueline Wolff
  • Co-chair, Corporate Investigations and White Collar Defense
  • Manatt, Phelps & Phillips, LLP

Jacqueline Wolff has spent over 25 years defending companies and individuals accused of white collar crimes and False Claims Act (FCA) violations. A former chief of the Environmental Crimes Unit and an assistant United States attorney for the Frauds Division in the District of New Jersey, Jacqueline focuses her practice on violations of the Foreign Corrupt Practices Act (FCPA) and fraud-based crimes including healthcare, securities and tax fraud, mostly in the healthcare, pharmaceutical and financial services industries. She has successfully defended multiple clients in FCA cases, resulting in declinations from the government, resolutions as overpayment cases or, where the government decided not to intervene, outright dismissals of the qui tam. Jacqueline has also represented corporate clients ranging from Fortune 100 companies to small venture capital firms in FCPA investigations. She has successfully represented corporate officers in tax and securities fraud matters.

While in the United States Attorney’s Office, Jacqueline received numerous awards, including those from the Nuclear Regulatory Commission, the Immigration and Naturalization Service, the Environmental Protection Agency and the Attorney General of the United States.

Andrew Zimmitti
  • Partner, Litigation
  • Manatt, Phelps & Philips, LLP

Andrew Zimmitti is a litigation partner in the financial services practice of the firm’s Washington, D.C., office. Andrew has represented financial institutions, institution-affiliated parties, money services businesses and tribal-owned lenders in civil litigation and administrative enforcement actions involving U.S. sanctions compliance and enforcement (Office of Foreign Assets Control [OFAC], Bank for International Settlements); Bank Secrecy Act (BSA)/Anti-Money Laundering (Office of the Comptroller of the Currency [OCC], Federal Deposit Insurance Corp. [FDIC], Financial Crimes Enforcement Network); state money transmitter licensing; the Consumer Financial Protection Bureau (CFPB); and related federal and state regulatory matters. He also has represented acquirers, payment processors, independent sales organizations and merchants in civil litigation concerning contract disputes and EMV card and payment card network rules.

Andrew has more than 18 years of experience representing clients in federal and state courts across the country in a wide variety of civil and white collar matters. He also advises and represents clients in complex commercial litigation at the trial and appellate levels, and in domestic and international arbitrations. Andrew’s experience includes representing clients in Securities and Exchange Commission (SEC) investigations and in bankruptcy court litigation on both the creditor and debtor sides. 
In addition, as a licensed private pilot, Andrew leads the firm’s Unmanned Aircraft practice team, advising clients on matters relating to Part 107 (small commercial drone operations), Federal Aviation Administration (FAA) enforcement proceedings, and civil litigation concerning federal preemption and First Amendment issues at the federal and state levels.

Prior to joining the firm, Andrew was a partner at an AmLaw 100 firm. He also served on active duty as a judge advocate in the U.S. Navy, where he acquired substantial experience trying cases before military courts-martial and administrative separation boards, and advising active-duty and retired military personnel on diverse civil matters.

Continuing Education

Credits:
1.5 CLE, 1.5 General COA
Practice Areas:
Legal
Prerequisite:
A basic understanding of the laws and regulations applicable to the financial services industry.
Level:
Intermediate
Production Date:
09/25/2018