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Live Webinar

90-minute live streaming program
  • August 31
  • 1:00 - 2:30 pm EST

Asserting and Defending the Bank Examination Privilege in Litigation

August 31

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.

Learning Objectives

  • You will be able to describe the purpose and rationale of the bank examination privilege.
  • You will be able to identify confidential supervisory information in order to determine whether and to what extent certain data is protected by a regulator’s bank examination privilege.
  • You will be able to explain the process for seeking permission from a regulator to disclose documents covered by that regulator’s bank examination privilege.
  • You will be able to recognize when it may be appropriate to provisionally object to the production of materials in discovery that may be protected by a regulator’s bank examination privilege.

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Why Lorman?

Over 33 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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Why Lorman?

Over 33 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

Live Webinar Registration

  • AL CLE 1.5
     
  • This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.5 hours credit.
     
  • AR CLE 1.5
     
  • This course has been approved for 1.5 hours of CLE by the Arkansas CLE Board.
     
  • Arizona CLE 1.5
     
  • The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona.
     
  • 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.
     
  • CT CLE 1.5
     
  • Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.5 CLE credit(s).
     
  • HI CLE 1.5
     
  • This program was approved by the Hawaii State Board of Continuing Legal Education for 1.5 CLE credit hours.
     
  • IL CLE 1.5
     
  • This course was approved for a total of 1.5 hours of MCLE Credit by the Illinois MCLE Board.
     
  • ME CLE 1.5
     
  • This course has been approved by the State of Maine Board of Overseers of the Bar. Lawyers who complete this course shall receive 1.5 hours of CLE credit under M. Bar R. 12.
     
  • NH MCLE 1.5
     
  • NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 90 Minutes.
     
  • NJ CLE 1.8
     
  • This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 1.8 hours of total CLE credit.
     
  • NV CLE 1.5
     
  • This program has been approved by the Nevada Board of Continuing Legal Education for 1.5 CLE hours.
     
  • PA CLE 1.5
     
  • This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.5 hours of substantive law, practice and procedure CLE credit.
     
  • RI CLE 1.5
     
  • This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 1.5 hours of CLE credit.
     
  • VT CLE 1.5
     
  • This program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hours of CLE credit.
     
  • WI CLE 1.5
     
  • This program has been approved by the Board of Bar Examiners for 1.5 hours for use toward the Wisconsin Mandatory CLE requirement.
     
  • WV MCLE 1.8
     
  • This program has been approved by the West Virginia State Bar MCLE Commission for 1.8 MCLE hours.
     
  • CPE 1.8 including Specialized Knowledge 1.8
     
  • Lorman Education Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: https://www.nasbaregistry.org/cpas/complaints. For more information regarding administrative policies such as complaint and refund, please contact our offices at 866-352-9539. CPE Credit: Maximum Credit Hours: 1.8 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Specialized Knowledge for 1.8 hours. Prerequisite: basic knowledge of the banking industry. Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: Group Internet Based. Please refer to the information in this brochure for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board. Please note: In order to receive CPE credit for this course you MUST use the streaming audio option, as well as enable and complete the required progress checks.
     
  • Lorman Business Center, LLC. is a registered provider for CPA CPE through the State Education Department of New York, Sponsor number: 000640. The following course will carry the subject area of Specialized Knowledge and Applications for 1.5 hours.
     

Who should attend?

This live webinar is designed for presidents, vice presidents, branch managers, loan officers, compliance officers, loan department personnel, accountants, controllers, CFOs, credit and collection managers, and attorneys.

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Why Lorman?

Over 33 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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Why Lorman?

Over 33 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.

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Product ID: 406550
Published 2020
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