West Virginia CLE Course Catalog

Consumer financial service regulators have been actively expanding their reach and authority over financial institutions, nonbank partners, and service providers over an increasing number of business practices. Since much of this expansion is accomplished without formal rulemaking, it is important for financial service companies to stay on top of the informal agency guidance and actions. We will discuss the latest regulatory trends and developments and what to watch for in 2023 from agencies including the Consumer Financial Protection Bureau (CFPB), Federal Trade Commission (FTC), and Office of the Comptroller of the Currency (OCC). We will also discuss notable enforcement actions and litigation in these regulatory areas.

As the SEC’s enforcement activities continue to ramp up and the regulatory landscape remains uncertain, businesses must stay updated and be well-versed on any grounds that would result in potential liability risks. Join experienced regulatory and compliance practitioners as they provide a comprehensive discussion on the recent SEC enforcement actions and considerations for fostering an ethical culture and reducing compliance risks. Speakers, among other things, will also offer best practices and effective compliance strategies amidst the ever-changing legal landscape.

With a myriad of new and amended labor & employment laws going into effect on both a national as well as state and local level, employers need to be aware of the many nuances of the changing regulation as well as significant considerations due to the potential shifting political climate. Join this session to discover the laws your business may be subject to and discuss ways GCs can minimize the likelihood of costly fines and potential lawsuits down the road. Our expert panelists will share best practices for in-house counsel to deal with the patchwork of rules in different places and across jurisdictions, including the changing landscapes due to pay equity, remote workforce, and the residual effects on policies.

In an increasingly regulated business landscape, it is crucial for organizations to be prepared when regulators come knocking at their doors. Join our panel of seasoned experts as they share their knowledge and offer guidance on how to proactively prepare for regulator interactions and mitigate potential risks. From regulatory audits to investigations, this session will equip attendees with the tools and knowledge necessary to effectively handle regulatory scrutiny.

Non-compete agreements have been a longstanding practice in many industries, but concerns have arisen regarding their potential adverse effects on innovation, entrepreneurship, and the job market. However, Federal Trade Commission's (FTC) proposed regulations on non-compete agreements have created a fresh set of challenges for legal departments, especially in regard to the protection of trade secrets and potential disruptions to market competition. Join this session as our panelists explore the nuances of non-compete agreements and consider alternative approaches to better balance employee rights and business interests.

Privacy regulations are shifting frequently and GCs need to stay current with the emerging laws to avoid legal and financial ramifications. With various jurisdictions creating their own data privacy regulations and the complexities continuously growing, the landscape of data privacy will continue to evolve making it even more essential for in-house teams to be prepared and build a robust privacy program. Join this session as our privacy experts review existing privacy laws, and share their insights into navigating the upcoming risks and changes expected in the privacy space.

Risk tolerance varies widely among organizations based on many factors, including the organization's overall business goals, the relative risk sensitivity of organizational leaders, and the nature of its assets, resources, and the operational processes they support. As business priorities can often shift and risks lie largely outside of a company's control, in-house legal teams play a key role in anticipating and mitigating the impact of major risks. Join this panel of experts as we discuss the importance of being proactive vs. reactive when it comes to balancing risk appetite with business decisions. Leave this session with a better understanding of how to identify the impact of different types of risks that may face your business, determine what amount of risk your business is willing to accept, and communicate with relevant decision-makers in your organization in order to best mitigate these risks should they occur.

As enforcement activity from government entities continues to increase, organizations need to have the knowledge and guidance to help proactively address the areas of highest enforcement priority. Join this session as our panelists provide an overview of the current landscape, emerging trends, and how to ensure your organization is well protected against enforcement activity.

Listen as finance lawyer Dennis Miralis and financial services industry expert Jesus Ornelas provide the audience with a comprehensive discussion of the recent BSA/AML enforcement trends and developments. Speakers, among other things, will also offer practical tips and compliance strategies in this ever-changing regulatory landscape.