Maryland State Bar Association Legal Summit 2023

Speaking Engagement | June.07.2023 - June.09.2023

Roland E. Powell Convention Center | Ocean City, MD

An Insider’s Look at Handling Regulatory Investigations
Wednesday, June 7, 2023 – 3:00 PM

Regulated entities know that they may face an investigation or a regulatory exam at any moment. But what will that entail? How can they prepare? Former financial services regulator Jedd Bellman, now senior counsel at Orrick, and financial services industry advocate Leslie Bender offer insights into what to expect in an investigation or examination conducted by a Maryland regulatory body. The program will discuss identifying potential theories or concerns in the regulatory scope; setting the tone for a workable, sensible exam or investigation; and preparing and organizing responses to regulatory requests.