Director and Officer Liability in Financial Institutions: A Deskbook

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9781617462252: Director and Officer Liability in Financial Institutions: A Deskbook
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A comprehensive guide to civil, criminal, and administrative liability in the director and officer liability field Financial institutions are at the center of much of the white collar litigation, involving a number of prominent areas including liability for failing banks, thrifts, and other financial institutions; Bank Secrecy Act and other anti-money laundering activities; consumer privacy; and consumer protection against unfair practices by financial institutions. Bloomberg BNA s Director and Officer Liability in Financial Institutions: A Deskbook is designed to protect those at the forefront of liability, directors and officers, and to offer the practitioner a guide in defending them against civil, criminal, and administrative proceedings by either governmental or private parties. The Deskbook is the only reference that covers all three major types of liability. This new guide provides an understanding of the liability that may arise in several areas, exploring what lawsuits have been filed seeking damages; whether criminal exposure exists; what criminal statutory provisions may be triggered by conduct at issue; and whether administrative agencies are likely to bring charges, triggering yet another area of liability. The Deskbook explores recent developments that have created today s climate of increased regulation and enforcement and analyzes criminal, civil, and administrative cases relating to the existing financial crisis, including the mortgage-backed security litigation. In addition, it discusses areas unrelated to the financial crisis, including how each of the following areas impact directors and officers in the discharge of their duties: The new Consumer Financial Protection Bureau (CFPB) and its role in policing unfair, deceptive, and abusive practices violations The Safeguards Policies issued by the Federal Trade Commission, and likely agency initiatives directed at directors and officers of financial institutions regarding privacy policies Enforcement related to money laundering, including having appropriate policies in place directed to anti-money laundering activities, as well as the filing of suspicious activity reports Director and Officer Liability in Financial Institutions: A Deskbook is an invaluable resource for readers hoping to understand not only what the courts have ruled in recent liability instances, but also the likelihood that agencies will bring a case. The Deskbook provides a particular focus on affirmative defenses and themes that have proven useful in defending against liability charges. This reference offers practitioner s tips in defending cases and includes useful forms, such as an Indemnification Agreement and a Protective Order, an index and case table, and a table of state laws dealing with duties and responsibilities of directors and officers.

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About the Author:

Samuel Rosenthal, chair of the Government Investigations and Litigation practice group at Patton Boggs LLP, has represented individuals and entities in a range of white collar criminal matters, including matters involving D&O liability. Previously, Mr. Rosenthal served as the chief of the Appellate Section, Criminal Division, with the Department of Justice in Washington. He has argued cases in every federal circuit court of appeals in the United States. Mr. Rosenthal also has served as an Assistant U.S. Attorney in the District of New Jersey, and Associate Independent Counsel to the U.S. Senate in the Leaks Investigation.

Review:

In short, Rosenthal s book is a comprehensive, practical and helpful guide for financial institution directors and officers written by a knowledgeable and experienced practitioner. For anyone called upon to address liability and enforcement issues, having this book at hand will be like having a hotline to a skilled and trusted advisor. This book is an essential resource that everyone involved in D&O liability issues should have on their desks. --The D&O Diary, published by Kevin M. LaCroix, Esq.

Director and Officer Liability in Financial Institutions: A Deskbook is an insightful and thorough analysis of the challenging issues that directors and officers face in this critical industry. Because financial institutions are subject to private lawsuits as well as investigation by a myriad of state and federal agencies, anyone working in this industry, including accountants, auditors, and attorneys will find this work to be an invaluable resource. --Jonathan S. Feld, Partner, Dykema Gossett PLLC, Chicago, IL

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