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The Time Is Now to Prepare for Congressional Inquiries from a Democrat-led House
Neil Bloomfield, Esq., Edward O’Keefe, Esq., and Elena Mitchell, Esq.
March 2019, Westlaw Journal Bank & Lender Liability

At the start of a new year, we tend to make promises to ourselves. We often promise to address issues head-on — to be proactive instead of reactive. While most New Year’s resolutions are quickly forgotten, we urge those involved with highly regulated institutions to make and stick to at least one — to prepare for potential investigations by the House of Representatives. To paraphrase a Navy SEAL’s remarks about the piracy of a U.S. ship: We weren’t planning on that outcome, but we were prepared for it. Investigations are coming, and delaying preparation until the institution or its executives need to testify is a mistake. As is true with respect to any major project, when preparing to testify before the House it is helpful to break the process down into its component parts. We suggest thinking about three core elements: pre-hearing groundwork, providing information and documents, and crafting the narrative.

Lamberth, O’Keefe and Whittaker co-author article for Market Solutions
Katherine M. Lamberth, Edward P. O'Keefe, Kristina B. Whittaker
October 2018

Charlotte Litigation Associate Katherine Lamberth, Member Ed O’Keefe, and Counsel Kristina Whittaker co-authored the article titled, “Fintechs Can Now Be Banks, Too: Overview of the OCC’s Fintech Charter and Related Considerations” that was published in Market Solutions, Volume 27, Number 3.

Contributor to Moore & Van Allen's MVA White Collar Defense, Investigations, and Regulatory Advice Blog
Keeping clients up to date on the constantly evolving regulatory environment and serving as a thought leader as regulations and enforcement policy
John A. Fagg, Jr., Katherine M. Lamberth, Edward P. O'Keefe, Thomas A. Pennington, Kristina B. Whittaker

Regulatory Litigation
Thompson Reuters and Association of Corporate Counsel’s Successful Partnering Between Inside and Outside Counsel
Edward P. O'Keefe

Effective partnering between inside and outside counsel enables corporate law departments to improve the quality and reduce the costs of legal services provided to corporate clients. The best-known source of expert guidance on partnering is the four-volume, 7,000-page treatise and practice guide entitled Successful Partnering Between Inside and Outside Counsel, which is a joint project of Thomson Reuters/West and the Association of Corporate Counsel (ACC).

Navigating the Complexities of CSI
Regulators have different rules for confidential supervisory information. Increased awareness and reform will help regulatory agencies ensure that CSI is understood and protected.
Ed O'Keefe
August 2017

In an era of increased oversight, regulatory agencies have taken a greater interest in standardizing the conduct of financial institutions. An area of ongoing interest is the protection of confidential supervisory information (CSI), a term used by the banking agencies to refer to information that is prepared by, on behalf of, or for the use of financial regulatory agencies, including state or federal banking supervisors. CSI extends to information related to an examination, inspection, or other visitation of an institution. Each of the regulators has issued rules that govern the disclosure of CSI by “supervised financial institutions.”

Focusing on the Mission While Watching Macro Trends
For our clients and companies, we can provide effective leadership and advice by maintaining focus on our missions.
Jim McLoughlin, Ed O'Keefe, Tom Pennington
August 2017

The flow of media coming at us reminds us that we continue to live in the challenging times that began in 2007. For our clients and companies, we can provide effective leadership and advice by maintaining focus on our missions. Through focus on a commonly understood corporate mission while watching for macro trends, we reduce the risk of unstable environments. We see three macro trends that merit attention.

Knowledge Management Improves Business Flow
Knowledge Management (KM) is the process of capturing, developing, sharing, and effectively using organizational knowledge.
Edward P. O'Keefe
July 2016

Our most valuable resource is the legal knowledge that underpins the service we deliver. All lawyers are expected to bring their expertise to the table, but the demands of a modern legal department require more. Clients are challenging lawyers to be more innovative, more creative, more economical, and more proactive than ever before.

Set in Stone: Does Current Regulation Limit Flexibility?
The OCC’s guidelines on informal recommendations and MRAs, issued one year ago, limit flexibility and increase the use of lengthy and costly formal processes.
Ed O'Keefe
January 2015

Effective understanding and management of risk requires the exercise of expert analysis and experienced intuition. It is an art and a science. Understanding the impact of multiple risks across time requires a deep understanding of hard data as well as human behavior. For bank regulators, gathering the necessary information to apply professional analysis and intuition requires a balance of formal and informal engagement between the supervisors and the supervised.

Economically Motivated Relocations of Work and an Employer's Duties Under Section 8(d) of the National Labor Relations Act: A Three-Step Analysis,” Fordham University’s Fordham Urban Law Journal, Volume 11, Issue 4, Article 2
Ed O'Keefe

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