Neil Bloomfield and Kate Wellman served as moderators for FMA's 32nd Annual Legal & Legislative Conference
Moore & Van Allen (MVA) Co-head of Financial Regulatory Advice & Response Neil Bloomfield and Member Kate Wellman served as moderators for FMA's 32nd Annual Legal & Legislative Conference which was held on November 2 and 3.
Neil served as moderator for the panel “Enforcement Update and Anticipated Trends.” This panel allowed attendees to learn about enforcement actions in 2023 taken by financial services regulators including the Federal Reserve, OCC, SEC and FINRA. The panel also explored anticipated enforcement trends for the remainder of the year and into 2024 and discuss stated enforcement priorities and recent actions related to improper fees, sales pressure, re-presentment issues, AML, sanctions violations and unauthorized communication channels.
Kate served as moderator for the panel, “Legal Inventory Building.” This panel explored efforts throughout the industry to create an inventory of federal and state laws that apply to the products and services offered by financial services institutions. Additionally, it will discuss how to scope the project, workflow, managing internal constituencies and the use of third parties.