Unit 2: Regulatory Overview – Fundamentals

In the first part of the second installment of our Online Training Series, James McAlpin, partner with the law firm Bryan Cave LLP in Atlanta, examines how the banking industry is regulated, the board’s role in the regulatory process, an explanation of safety and soundness supervision and important banking regulations like the Bank Secrecy Act and the Dodd-Frank Act.

Topics Include:

• Why the Banking Industry is Highly Regulated 
• The Board’s Role in the Regulatory Process 
• How Banks Are Regulated 
• CAMELS Rating Systems 
• Types of Examinations 
• Overview of Laws & Regulations

A glossary of banking terms is included with each video unit.

About The Presenter:

Jim McAlpin is a partner in Bryan Cave LLP’s Financial Institutions practice group. The Financial Institutions Group represents hundreds of community banks throughout the United States. It is annually a national leader in merger and acquisition transactions, de novo bank formations, going private transactions, and public and private capital issuance for community banks.

Mr. McAlpin has broad experience in the areas of corporate and business law, including representation of both private and public companies in connection with capital and acquisition strategies, board disputes and dissident shareholders. Mr. McAlpin regularly counsels clients on corporate governance matters, operational and regulatory issues faced by financial institutions and strategies for dealing with regulatory issues. Mr. McAlpin also frequently represents Boards of Directors and special committees, and he has an expertise in the area of the duties, responsibilities and fiduciary obligations of corporate directors.

Mr. McAlpin served as Chairman of Powell Goldstein LLP from March 2004 until its combination with Bryan Cave LLP, January 1, 2009. He is currently serving on the Executive Committee of Bryan Cave.