IM Coffee Chat - Session Twenty-Three - Resolving Exam or Enforcement Issues

Date: July 14, 2021

Time: 10:30 a.m. - 11:00 a.m. ET

Contact: Elise Hoffer, 513.352.6748 -

A complimentary webinar presented by Thompson Hine LLP

Join us for a mid-morning break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Wednesday, July 14

10:30 – 11:00 a.m. ET

Session Twenty-Three: Resolving Exam or Enforcement Issues
Step Two: Understanding Regulators’ Motives and Moves

Receiving an inquiry from a regulator can be jarring. How you respond in the hours and days immediately after can, quite literally, save the day or doom the outcome. In this Coffee Chat, Oyster Consulting’s Bill Reilly and Thompson Hine’s Marc B. Minor, use their collective 50+ years’ experience to explain what regulators are thinking during investigation, how to assess risks of cooperating or being combative, and which negotiation/settlement strategies have the best return on investment. This chat will help you plan in advance of all the things to consider: formal/informal, reportable/not reportable, admission/neither admit or deny, firm/individual liability, restitution/disgorgement, fines/penalties, consultant/attorney (or both) and more.

Topics include:

• Assessing Risk of Enforcement Contact
• Reviewing and Retaining Experience and Expertise with Regulators
• Self-Reporting and Cooperation Credit
• Managing Internal Investigation and Narrowing Scope
• Navigating and Negotiating Potential Outcomes–from Jurisdiction
   to Jedi Mind Tricks


Bill Reilly, Oyster Consulting
Marc B. Minor, Senior Counsel, Thompson Hine

Upcoming program in this series (you must register separately for each):

July 21 – A Guide to Mutual Fund Insurance Coverage: Are You Protected?

Contact Elise Hoffer