Regulatory Compliance

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Tuesday, September 14, 2021

  • Breakout Sessions: State Licensing Challenges

    Location: Independence Ballroom I,
    Independence Level


    Speaker(s)

    Kathryn Ryan, Partner, Buckley LLP

    John Socknat, Partner, Ballard Spahr LLP

    William Kooper, MPA, Vice President of State Governmental Affairs and Industry Relations, Mortgage Bankers Association

    Haydn Richards, Partner, Bradley Arant Boult Cummings, LLP

    State licensing rules are complex and ever-changing, especially in the wake of COVID-19. Find out what’s changed, what’s on the horizon, and where to focus your attention so you're best prepared.

    Speaker(s)

    Kathryn Ryan, Partner, Buckley LLP

    Kathryn Ryan, Partner in Buckley LLP’s Washington, D.C., office, advises financial services companies on a variety of regulatory, licensing, compliance, and transactional matters, including federal and state compliance requirements, Secure and Fair Enforcement Act compliance, Federal Housing Administration compliance, and the risks associated with the False Claims Act and FIRREA. She assists clients with matters before state regulatory agencies, the CFPB, DOJ, HUD, federal banking agencies, Fannie Mae, and Freddie Mac. She also provides strategic and tactical advice to help clients identify and secure the nationwide federal and state approvals necessary to achieve operational goals.

    John Socknat, Partner, Ballard Spahr LLP

    John D. Socknat is Practice Co-Leader of Ballard Spahr's Mortgage Banking Group and Managing Partner of the Washington, D.C., office. John uses his knowledge and breadth of the business issues affecting the residential and commercial mortgage banking industries and the legal landscape to advise clients on compliance and licensing matters under state and federal law. John's clients include mortgage and consumer finance companies, financial institutions, servicers, collection agencies, title companies, real estate brokers, and secondary-market investors. John is the Chair of the Industry Advisory Council to the American Association of Residential Mortgage Regulators (AARMR) and a member of the SRR Industry Advisory Council.

    William Kooper, MPA, Vice President of State Governmental Affairs and Industry Relations, Mortgage Bankers Association

    William Kooper is Vice President of State Government Affairs and Industry Relations at the Mortgage Bankers Association and in that capacity leads MBA's advocacy efforts at the state and local level as well as MBA's engagement with mortgage banking associations across the country. William is responsible for the MBA State Legislative and Regulatory Committee, staffs the State Association Relations Committee and leads the State Relations Initiative -- MBA's program to partner with state associations to align business development, communications and advocacy interests.

    Haydn Richards, Partner, Bradley Arant Boult Cummings, LLP

    Haydn Richards, a Partner with Bradley, is one of the foremost leaders in state financial services law and licensing matters. Haydn counsels clients on all aspects of financial services licensing and compliance, state law, the NMLS, and CFPB-related compliance matters. Selected by his peers to serve as the Chair of the Industry Advisory Council of the American Association of Residential Mortgage Regulators (AARMR) from 2018-2020, Haydn regularly interacts with state regulators on behalf of industry members. He has individually resolved financial services enforcement actions in 45 of the 50 states and the District of Columbia, perhaps more than any other attorney in this space. Haydn regularly assists clients with some of the largest acquisitions in the financial services space, with a particular focus on securing the necessary regulatory approvals so that transactions can move forward. He also counsels startup and FinTech companies with respect to licensing obligations in a variety of sectors. Finally, he is the author of the Mortgage Bankers Association’s Mortgage Loan Originator Temporary Authority Resource Guide, which helps compliance professionals navigate challenges associated with Temporary Authority for mortgage originators.

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