1-Hour Program

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Managing CFPB regulatory exams has become a top concern for financial institutions of all sizes given the heightened expectations under the current CFPB Director. Many institutions struggle with where to start when preparing for a CFPB exam given the number of key stakeholders involved and the complexity of exam requests. 

The session will address best practices in CFPB regulatory exam management and maintaining a strong Compliance Management System (CMS).  More specifically, it will cover the following:

  • Recent CFPB regulatory examination themes and background (15 minutes)
  • Best practices when preparing for a CFPB exam including the following (15 minutes):
    • Workflow for exam responses
    • Developing a consistent narrative
    • Conducting a post-mortem after the exam
  • Best practices around maintaining a strong CMS (15 minutes)
  • Former CFPB regulator perspective on issues (15 minutes)


Who Should Attend:  In-house counsel, outside counsel, compliance, business operations, and other key stakeholders involved in regulatory exam preparation.

Program Level: Update

Prerequisites: None

Advanced Preparation: None



Marci V. Kawski

Husch Blackwell LLP


Badri Sridhar

FTI Consulting, Inc.


David Stickney

FTI Consulting, Inc.

Credit Details

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