Schedule

Schedule subject to change.

Note: Meeting rooms may change, so please refer to the on-site program for final locations.

1 results
Download Agenda Editable Agenda View Full Agenda

Monday, May 6, 2019

  • Applied Compliance Track: UDAAP Compliance

    Location: Empire Ballroom C,
    Level Two


    Speaker(s)

    Anthony (Tony) Alexis, Partner, Goodwin

    Michelle L. Rogers, Partner, Buckley LLP

    Stephanie C. Robinson, Partner, Mayer Brown LLP

    Monika McCarthy, Managing Director and General Counsel, CrossCheck Compliance LLC

    Breakfast,

    Applied Compliance Track

    This session presents scenarios that may present violations to the Unfair Deceptive and Abusive Acts and Practices (UDAAP) rule. Attend this session to test your analysis of the situation against the experts and learn key principles for conducting UDAAP analysis.

    Speaker(s)

    Anthony (Tony) Alexis, Partner, Goodwin

    Tony Alexis is a partner in Goodwin’s Financial Industry practice and serves as the head of the firm’s Consumer Financial Services Enforcement practice. His practice focuses primarily on consumer financial services and government and regulatory investigations. Prior to joining Goodwin in 2017, Mr. Alexis served as Assistant Director and Head of the Office of Enforcement at the Consumer Financial Protection Bureau (CFPB), where he developed and managed the CFPB’s enforcement strategy, consumer financial investigations and litigation. He also coordinated strategy, investigations and litigation in areas such as payday/short-term loans, mortgages, credit cards, credit reporting, debt collection, student and automobile lending, and payments systems with leaders of the enforcement and regulation departments at the Department of Justice (DOJ), U.S. Attorneys’ Offices, state attorneys general, U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of Currency (OCC), and the New York State Department of Financial Services (NY-DFS). Mr. Alexis also served as a member of the CFPB’s Executive Committee and its Civil Penalty Fund Governance Board. He joined the CFPB as the Deputy Enforcement Director for Field Litigation, and was responsible for enforcement work conducted by enforcement’s four regional offices.

    Michelle L. Rogers, Partner, Buckley LLP

    Michelle L. Rogers represents financial institutions, nonbank servicers and originators, and fintechs in a wide range of government enforcement and regulatory matters. A founding member and Partner in the Washington, D.C. office of Buckley LLP, Ms. Rogers has represented clients in matters involving the DOJ, CFPB, FTC, federal and state bank regulators, HUD, and state attorneys general, and in cases involving the False Claims Act, TILA, RESPA, FHA, ECOA, the Civil Rights Act, and UDAP and UDAAP statutes under the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 5 of the FTC Act, and various state laws. An acknowledged authority in her field, Ms. Rogers has been recognized by Chambers USA for Nationwide Financial Service Regulation: Banking (Enforcement & Investigations), Legal 500 for Financial Services: Litigation and for Financial Services: Regulation, Super Lawyers for Banking, and Best Lawyers for Litigation - Banking and Finance (2019).

    Stephanie C. Robinson, Partner, Mayer Brown LLP

    Stephanie Robinson is a partner in Mayer Brown’s Consumer Financial Services group. She focuses her practice on a range of matters related to mortgage banking and consumer finance in both the primary and secondary markets. She represents banks, mortgage lenders and servicers and consumer finance companies in enforcement proceedings before US federal and state agencies, including, among others, the Consumer Financial Protection Bureau (CFPB), the federal prudential regulators, the US Department of Housing and Urban Development, the Department of Justice and state attorneys general. Ms. Robinson also counsels clients on compliance matters involving a variety of issues relating to mortgage lending, servicing and other consumer lending issues. She also performs regulatory compliance due diligence and assists in structuring operations and developing compliance management systems.

    Monika McCarthy, Managing Director and General Counsel, CrossCheck Compliance LLC

    Monika L. McCarthy is a managing director and general counsel for CrossCheck Compliance LLC. She has over twenty-five years of experience as a general counsel, outside counsel and business executive in nationwide public and privately held financial services companies and start-ups. Her expertise includes working with leadership to build and enhance business results aligned with cost effective compliance, monitoring and operations. She has advised senior management and boards of directors on both critical and fundamental legal issues, including guiding lenders through regulatory examinations and enforcement actions.  Monika joined CrossCheck from Stonegate Mortgage Corporation where she was associate general counsel. Previously she has been general counsel for Cove Financial Group, Stearns Lending and New Century Mortgage Corporation. She has also been a senior director, Compliance and Fair Lending at Treliant Risk Advisors.  Monika is the chair of the California Mortgage Bankers Association’s Mortgage Quality and Compliance Committee, the vice president of the Programs and a member of the Governing Committee of the Conference on Consumer Finance Law, and the vice-chair of the Compliance Management Subcommittee of the Consumer Financial Services Committee of the Business Law Section of the American Bar Association. She is a frequent speaker at industry conferences and a published author.