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OnDemand Course

Asserting and Defending the Bank Examination Privilege in Litigation

Gain an understanding on bank examination privilege and how to protect privileged information in litigation.

Banking institutions benefit from a unique privilege held by prudential regulators with respect to the confidential information they exchange in furtherance of the regulators' examination and supervision responsibilities. This privilege - the bank examination privilege - serves to protect confidential supervisory information (CSI) from disclosure to third parties, including litigants, as part of discovery proceedings. Confusion regarding the qualified nature of the bank examination privilege, along with the varied and sometimes conflicting regulator and court interpretations of its scope and application, can lead to the improper and unnecessary disclosure of protected materials. And, the interaction between the bank examination privilege and other privileges and protections available to banks can have far-reaching implications. This information aims to help banks navigate the bank examination privilege in responding to discovery requests seeking CSI. By walking through the scope of the privilege and applicable regulations, the program equips compliance and legal personnel with critical information regarding how to approach regulators to obtain assertion of the privilege and possible steps to take in response to efforts by litigants to override the privilege. The topic will feature illustrative case examples and hypotheticals and will explore the relationship between the attorney-client privilege and the bank examination privilege. Understanding how to identify CSI and respond to investigatory and discovery demands can help to minimize the risks and avoid the consequences of the inadvertent disclosure.

89 minutes
Course Exam
Certificate of Completion
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Over 35 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Overview of the Bank Examination Privilege

  • Purpose and Rationale
  • Common Law and Regulatory Bases
  • Qualified Nature of the Bank Examination Privilege

Application of the Bank Examination Privilege in Discovery

  • Setting: Types of Lawsuits That May Involve Discovery of Bank Examination Records
  • Scope: Defining and Identifying Confidential Supervisory Information
  • Procedures: Requesting That a Prudential Regulator Assert the Privilege

Protecting Privileged Information From Discovery: Takeaways From Case Examples

  • Demanding the Exhaustion of Administrative Procedures
  • Seeking Intervention by the Prudential Regulator
  • Responding to Efforts to Override the Privilege
  • Interaction With Other Privileges and Protections Available to Banking Institutions
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Over 35 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Course

Applications have not yet been submitted for Delaware, Idaho, Kentucky, Maine, New Hampshire, Ohio, Oklahoma, South Carolina, and Wyoming CLE for this course. However, if you are interested in obtaining CLE for any of the listed states or have any additional credit questions please email us at [email protected] or call us at 866-352-9540.

This course was last revised on August 31, 2020.

Call 1-866-352-9540 for further credit information.

  • AR CLE 1.5
     
  • This course has been approved for 1.5 hours of CLE by the Arkansas CLE Board.
     
  • CA MCLE 1.5
     
  • Lorman Business Center, LLC. is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 CLE hours of participatory credit.
     

To earn each credit Lorman offers through the OnDemand learning platform, you need to watch 100% of the program. Also, for certain credits you will need to fulfill additional requirements which will be displayed on the "credits" tab when viewing the course.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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Why Lorman?

Over 35 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Meghan E. Flinn

Meghan E. Flinn

K&L Gates LLP

  • Associate in the Washington, D.C. office of K&L Gates LLP
  • Focuses her practice on government investigations, regulatory enforcement actions, internal investigations, and complex civil litigation matters with a concentration on securities and financial services litigation
  • Wrote several publications related to white-collar defense and related issues facing banks, investment advisers, broker-dealers, and other financial institutions, including the attorney-client privilege and the bank examination privilege, the False Claims Act, Dodd-Frank whistle-blower provisions, and the Foreign Corrupt Practices Act
  • Selected to the 2020 Washington, D.C. Rising Star list by Super Lawyers in the area of white-collar defense
  • Maintains active memberships in the Women in White Collar Defense Association, Women in Law Empowerment Forum, and National Association of Women Lawyers
  • J.D. degree, Washington & Lee University School of Law; B.A. degree, West Virginia University
  • Can be contacted at 202-778-9458 or [email protected]
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Product ID: 406550
Published 2020
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