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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.

Runtime: 89 minutes
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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

OnDemand Course

Applications have not yet been submitted for Delaware, Idaho, Kentucky, 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.

  • AK CLE 1.5
     
  • Alaska attorneys may receive 1.5 hours of continuing legal education for completing this program. Please contact the Alaska Bar Association or go to www.alaskabar.org for details regarding reciprocity with other states.
     
  • 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 Arizona State Bar does not pre-approve or pre-certify MCLE programs. However, records of this program and attendance will be maintained by Lorman Education Services for auditing purposes. 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.
     
  • ND CLE 1.5
     
  • North Dakota CLE policy does not allow for pre-approval of any self-study courses. This course may qualify for up to 1.5 hours of CLE credit.
     
  • NH MCLE 1.5
     
  • NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this Ondemand course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 89 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 self-study program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hour(s) of CLE credit. Please note: Attorneys may only claim 6 credits per compliance period in this format. This course is considered "Non-Moderated Programming without Interactivity".
     
  • WI CLE 1.5
     
  • This program qualifies for 1.5 hour(s) of ondemand CLE through the WI Board of Bar Examiners.
     
  • WV MCLE 1.8
     
  • This program has been approved by the West Virginia State Bar MCLE Commission for 1.8 MCLE hours.
     

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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  • Arizona CLE 1.5
     
  • CA MCLE 1.5
     
  • CT CLE 1.5
     
  • HI CLE 1.5
     
  • ME CLE 1.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5
     
  • VT CLE 1.5
     
  • WV MCLE 1.8
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

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

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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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