Don’t Sleep on the States: Financial Regulatory, Compliance & Enforcement Trends

RegFi co-hosts Jerry Buckley and Sherry Safchuk welcome fellow Orrick partner Katy Ryan to discuss the state financial regulatory landscape. Katy provides an overview of how federal agencies and states interact in our dual-regulatory system, the benefits and limitations of the Nationwide Multistate Licensing System (NMLS), and the importance of maintaining constructive relationships with state regulators. The conversation also covers state regulatory and enforcement trends, including increasing coordination among state regulators and attorneys general and the potential for states to play a more active role in areas such as consumer protection, BSA/AML and data privacy.

Links:

• CFPB Pause: Where to From Here?
• The Post-Election Outlook for State Financial Regulation
• Orrick Financial & Fintech Advisory
• RegFiPodcast.com