State Licensing and Prudential Standards

57 minute watch | June.21.2022

Orrick attorneys Katy Ryan, Jedd Bellman, and Keisha Whitehall Wolfe kicked off a three-part series on the licensing and supervision lifecycle with a discussion on how prudential regulators evaluate the qualifications of entrants into the marketplace.

Webinar filmed prior to the combination of Buckley and Orrick in 2023.

The information contained herein is for informational purposes only, does not constitute legal advice, and does not necessarily reflect the opinions of Orrick or any of its attorneys or clients. This presentation is not intended to create, and does not create, an attorney-client relationship between you and Orrick, or any of the presenters, and you should not act or rely on any information in this presentation without consulting legal counsel. The information contained in this presentation may or may not reflect the most current legal developments. Accordingly, information in this presentation is not promised or guaranteed to be correct or complete, and it should not be considered an indication of future results. Orrick expressly disclaims all liability in respect to actions taken or not taken based on any or all of the contents of this presentation.

About the Licensing & Supervision Lifecycle webcast series

The opportunity to do something new in financial services has never been greater, and innovative market entrants are staking their claim every day. Companies best positioned to succeed are those that best understand the complex rules of the road that are largely determined by federal and state regulators — and are changing constantly.

These discussions are a must-attend for any in-house attorney or compliance professional at a financial services business that is either licensed or subject to the supervisory authority of state regulators, state attorneys general, and the federal government.

Part 1: State Licensing and Prudential Standards

 View recording

Part 2: State Supervision, Enforcement, and Multistate Coordination

 View recording

Part 3: State-Federal Collaboration

 View recording