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Fraud As An Operational Risk For Banks
Neil Bloomfield and Kristina Whittaker
October 2019, Law360

Charlotte Financial Regulatory Advice and Response Member Neil Bloomfield and Counsel Kristina Whittaker’s article titled, “Fraud As An Operational Risk For Banks” was published by Law360 on October 8.

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.

FRB and FDIC Cast a Critical Eye on Resolution Plans
Neil Bloomfield and Kate Wellman
March 2019, Banking Perspectives

While the living-will process continues to evolve, it is likely that many of the central tenets and requirements will remain in place for the foreseeable future. ON DECEMBER 20, 2018, the Federal Reserve Board (FRB) and the Federal Deposit Insurance Corporation (FDIC; together with the FRB, the Agencies) released their determinations regarding the 2018 resolution plans of four foreign banks and announced they had finalized resolution plan guidance applying to the eight U.S. global systemically important banks (G-SIBs).1

Law of Astana International Financial Centre
Colby Jenkins, Saniya Perzadayeva (Unicase Law Firm)
January 2018

Anti-Money Laundering and Bank Secrecy Act Update
Neil Bloomfield, Nathan White
October 2017

After the Panama Papers exposed efforts by wealthy individuals and government officials to hide funds offshore, government authorities around the world have responded with new legislation, regulations and enforcement actions that are beginning to reshape the landscape for anti-money laundering (AML) and Bank Secrecy Act (BSA) violations.

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.

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