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Avoiding Regulatory and Lending Compliance Pitfalls


Keep up with the shifting financial services landscape to avoid regulatory and lending compliance pitfalls.

This material will provide an overview of how to manage regulatory and legal compliance for lenders and financial institutions in the field of consumer lending. The information will discuss the key expectations of regulatory agencies when examining the effectiveness of a compliance management system, with specific focus on the subjects of Fair Lending and the Bank Secrecy Act/Anti-Money Laundering obligations (BSA/AML). You will be provided insight as to the identification of risks as well as the key indicators that likely will be subject to regulatory scrutiny.



David K. Stein

David K. Stein

Bricker & Eckler LLP

  • Partner and chair of Bricker & Eckler's Banking & Financial Services practice group
  • The core of practice is the representation of banks, mortgage lenders, real estate settlement service providers, residential and commercial real estate finance associations, and other financial institutions in an extensive range of matters
  • Experience in the defense of complex litigation and adversarial matters, including successful resolution of class actions, regulatory investigations and state and federal enforcement actions, including those before the Consumer Financial Protection Bureau and the Federal Trade Commission
  • Veteran in the financial services industry
  • Spent more than two decades in roles as in-house and outside general counsel for national financial services companies
  • Known for guiding clients through significant challenges as a trusted advisor to C-Suite executives
  • Nationally recognized authority and frequent speaker in the area of trade practices, including advertising and sales practices
  • Author of the Social Media and Digital Advertising Compliance Resource Guide, published by the Mortgage Bankers Association
  • Can be contacted at 614-227-7740 or [email protected]

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