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NY Attorney General and NY Department of Financial Services: Statutory Authority and Recent Initiatives Impacting the Financial Services Industry

Recorded on: Dec. 20, 2017
Running Time: 01:03:11

Full Transcript:



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Taken from the One Hour Briefing Recorded December 2017 in New York

NY Attorney General and NY Department of Financial Services: Statutory Authority and Recent Initiatives Impacting the Financial Services Industry [01:03:10]

In this One-Hour Briefing, we will explore the significant role New York’s Attorney General and its Department of Financial Services (DFS) play in the financial services industry and why these two state-level agencies will continue to exert significant power over the financial services industry, especially with federal oversight potentially shrinking.  Although President Trump has promised to reduce federal regulation and law enforcement efforts regarding the financial services industry, both New York Attorney General Eric Schneiderman and Maria Vullo, the superintendent of New York’s DFS, have made it clear – through their remarks and regulatory and enforcement initiatives –that they stand ready to exercise their broad authority to fill any federal regulatory gaps that may emerge with shrinking federal oversight.   

The panel will discuss: 

  • Statutory powers of the New York Attorney General and the NY DFS
  • Recent legislative efforts to expand the NY DFS’s enforcement authority
  • Current NY Attorney General and NY DFS enforcement matters impacting the financial services industry
  • NY Attorney General and NY DFS initiatives to fill potential federal regulatory and law enforcement gaps

Panelists: 
Antonio F. Dias, Partner, Jones Day
Courtney Lyons Snyder, Associate, Jones Day

Presentation Material
  • The New York Attorney General and NY Department of Financial Services: Statutory Authority and Recent Initiatives Impacting the Financial Services Industry
    Antonio F. Dias, Harold K. Gordon, Courtney Lyons Snyder
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