Regulatory Compliance

2021 Sponsors

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MBA thanks the sponsors of  MBA's Regulatory Compliance Conference. We are grateful for their generous support.

Please email Kim Newell or call (202) 557-2791 if you are interested in becoming a sponsor.

2020 Sponsors: To see who sponsored MBA's Regulatory Compliance Conference 2020, access the list here.

11 results
  • Buckley LLP- Platinum Sponsor

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    With offices in Washington, D.C., Los Angeles, San Francisco, New York, Chicago, and London, Buckley LLP offers premier enforcement, litigation, compliance, regulatory, and transactional services to financial services institutions and early stage and leading fintech and technology companies, as well as venture capital and private equity funds, investment companies, and corporate and individual clients throughout the world. "The best at what they do in the country." (Chambers USA)

    • Products and Services: Attorneys
    • Website: www.buckleyfirm.com
    • Phone: (202) 349-8000
    • Address: 2001 M Street NW, Suite 500 Washington, DC 20036
  • Weiner Brodsky Kider PC- Platinum Sponsor

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    The attorneys of Weiner Brodsky Kider PC have been involved in the financial services industry for more than three decades, and our firm is one of the leading law firms in the country practicing in this area. A number of our members have served as senior officials with the U.S. Department of Housing and Urban Development and are experts in housing finance matters. In addition, we have former U.S. Department of Justice trial attorneys who are well-versed in the handling of litigation matters as well as government investigations and administrative proceedings.

    Compliance
    The compliance element of our financial services practice includes advising clients generally with regard to federal and state laws that regulate the origination and servicing of mortgage loans. More specifically, we assist clients in their compliance with, among others, the Real Estate Settlement Procedures Act, Truth in Lending Act, Equal Credit Opportunity Act, Fair Housing Act, Home Mortgage Disclosure Act, Fair Debt Collections Practices Act, E-Sign, and Gramm-Leach-Bliley, as well as with the requirements of CFPB, HUD, VA, GNMA, Fannie Mae, and Freddie Mac. We also counsel clients with respect to licensing and other requirements of various state regulators.

    Our presence in Washington, D.C. naturally lends itself to the representation of mortgage lending clients and their depository affiliates before CFPB, HUD, VA, GNMA, Fannie Mae, Freddie Mac, the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Federal Trade Commission. Without exception, our firm maintains excellent working relationships with these agencies. Our attorneys also participate in agency rulemaking proceedings and advise clients on both federal and state law developments.   Additionally, we assist clients with various mortgage banking related transactions. These transactions include the acquisition and sale of mortgage companies, branch offices, whole loan portfolios and loan servicing portfolios; the structuring of lending programs, loan broker and correspondent programs, warehouse agreements, repurchase agreements, and loan participation agreements; and the negotiation of loan workouts.   We serve as counsel for the National Reverse Mortgage Lenders Association and advise reverse mortgage industry members with respect to regulatory compliance matters, transactions, and new lending and investor programs. We also serve as counsel for The Real Estate Valuation Advocacy Association and The Texas Manufactured Housing Association. Finally, we provide advice directly, and through associated counsel, about state law issues in all 50 states and the District of Columbia affecting financial service industry members.

    Compliance Audits and Due Diligence
    We routinely undertake reviews of the operations, practices and policies and procedures of our clients, and assist with the design and implementation of appropriate corrective action. We undertake similar reviews on behalf of potential investors, as well as reviewing pools and portfolios for compliance with applicable law.

    Litigation
    Building on the firm's financial services practice, our aim is to provide mortgage lenders, and other financial institutions, with litigation assistance with respect to the full range of issues that affect the mortgage industry. In that regard, we have represented clients in a broad array of civil and administrative litigation matters, including cases involving the Dodd-Frank Act, Real Estate Settlement Procedures Act, Truth in Lending Act, Equal Credit Opportunity Act, Fair Housing Act, loan repurchase obligations, and mortgage loan portfolio sales and servicing. We represent clients in litigation involving private parties as well as litigation brought by or against government entities in connection with the participation by clients in government lending, insurance, and guaranty programs.   We have developed a particular expertise in class action cases and have represented a number of clients in connection with class actions involving disclosures, servicing fees, credit reporting, escrow account practices, private mortgage insurance, unauthorized transmission of facsimiles, and other issues arising under all of the major federal mortgage lending laws. Our litigation practice is nationwide, with cases pending in numerous state and federal courts across the country as well as before various administrative agencies.

    • Products and Services: Attorneys
    • Website: www.thewbkfirm.com
    • Phone: (202) 628-2000
    • Address: 1300 19th Street, NW, 5th Floor Washington, DC 20036-1609
  • Ballard Spahr LLP- Gold Sponsor

    Conference Mobile App

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    Few industries have been more impacted by the coronavirus pandemic than the mortgage sector. From Capitol Hill, where regulators have scrambled to balance the needs of homeowners and buyers with those of financial institutions, to Main Street, where protocols have had to shift to reduce possible COVID-19 transmission, the mortgage industry is changing at breakneck pace.

    Having worked with a wide range of clients in both the residential and commercial mortgage banking industries, our attorneys have the broad experience and strong industry relationships to help clients navigate uncharted territory and develop strategies for success. Our Mortgage Banking Group is part of Ballard Spahr's nationally recognized Consumer Financial Services Group. We combine broad regulatory experience with formidable skill in litigation and depth in enforcement actions and transactions. Our team represents clients worldwide, from start-ups to Fortune 500 corporations. Clients include financial institutions; mortgage lenders, brokers, and servicers; secondary-market investors; insurance companies; investment bankers; settlement service providers; auction platforms; and homebuilders. We also advise industry service providers such as technology vendors, collection agencies, document preparation companies, telemarketers, loan fulfillment companies, and trade associations.

    Compliance The Dodd-Frank Wall Street Reform and Consumer Protection Act and its establishment of the Consumer Financial Protection Bureau have expanded compliance requirements, made compliance more complex, and greatly enhanced penalties for noncompliance. More recently, we are assisting clients regarding compliance with issues involving the CARES Act as well as state, GSE and agency forbearance and loss mitigation requirements, and state work from home and related measures. Our attorneys counsel a variety of market participants on issues such as loan originator compensation and steering restrictions, loan originator overtime requirements, risk retention, repayment ability requirements, lending standards and restrictions, and disclosure requirements. We have experience assisting clients with the ever-expanding range of federal laws, including the Truth in Lending Act (TILA), the Real Estate Settlement Procedures Act (RESPA), the Fair Credit Reporting Act (FCRA), the Fair and Accurate Credit Transactions Act (FACTA), the Equal Credit Opportunity Act (ECOA), the Fair Debt Collection Practices Act (FDCPA), the Fair Housing Act (FairHA), the Home Mortgage Disclosure Act (HMDA), and the Gramm-Leach-Bliley Act (GLBA). In addition, our team regularly advises clients on applicable state laws and requirements, including those involving licensing, permissible fees, unfair practices, disclosures, advertising, and telemarketing.

    State and Federal Licensing We assist clients in acquiring and maintaining the state licenses necessary to finance, broker, and service mortgages or engage in consumer credit finance activities. We also advise clients on SAFE Act requirements; help them meet branch, loan officer, trade name, and renewal or recertification requirements; and identify and obtain licenses and approvals related to stock and asset acquisitions. In addition, we work with clients to secure approvals from federal agencies, including Ginnie Mae, FHA, and VA, and the GSEs.  

    Transactions, Due Diligence, and Audits Clients frequently call upon us to oversee transactional matters such as mergers and acquisitions, liquidations of distressed assets, purchases and sales of mortgage loans, servicing rights and other assets, formation of joint ventures and strategic alliances, and the establishment of warehousing and other credit facilities. We assist investors with due diligence, conduct audits to ensure compliance, and develop procedures when corrective action is necessary. Our attorneys have experience reviewing operations for compliance with applicable state and federal law, as well as emerging industry trends. Our attorneys have provided counsel in review of a servicer's compliance with the OCC's Consent Order related to foreclosure practices.

    Litigation When mortgage lending and servicing disputes escalate and require litigation, we have clients well covered. Ballard Spahr is home to a pre-eminent financial services litigation practice. We defend clients nationwide in class actions, single-plaintiff claims, regulatory proceedings, and other complex mortgage litigation. We often act as national coordinating counsel in defending litigation for major financial service providers, and we have handled class actions and other lawsuits involving the enforcement of contracts, challenges to contract terms, compliance challenges, insurance issues, and cases concerning RESPA, TILA, ECOA, FairHA, FCRA, FACTA, HMDA, GLBA, and state consumer protection acts. We also defend clients in administrative enforcement proceedings and investigations, including state and federal audits, fair housing and fair lending complaints and investigations, HUD RESPA enforcement actions, inspector general investigations, and Mortgagee Review Board actions. Our Mortgage Banking Group maintains strong industry relationships in both the private and public sector, and its presence in Washington, D.C., benefits clients who require experienced representation before federal agencies such as the U.S. Department of Housing and Urban Development, the Federal Trade Commission, the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Justice Department. We also represent clients before a variety of state agencies, including state attorneys general and state agencies charged with enforcing a variety of consumer finance laws. Repurchase, Coverage, and Recovery Loan repurchases are a critical issue for the mortgage and financial services industries. We help limit our clients' exposure to loss stemming from repurchase issues, from evaluating repurchase demands and calculating risk to evaluating insurance coverage, and examining any available protections.

    • Products and Services: Attorneys
    • Website: www.ballardspahr.com
    • Phone: (202) 661-2200
    • Address: 1909 K Street NW, 12th Floor Washington, DC 20006-1157
  • Goodwin Procter LLP- Gold Sponsor

    Monday Networking Reception

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    Goodwin's 1,000 plus lawyers across the United States, Europe, and Asia excel at complex transactions, highstakes litigation, and world-class advisory services in the financial, life sciences, private equity, real estate, and technology industries. The firm's unique combination of deep experience serving both the innovators and the investors in a rapidly-changing, technology-driven economy sets Goodwin apart. To learn more, visit www. goodwinlaw.com

    • Products and Services: Attorneys
    • Website: www.goodinlaw.com
    • Phone: (212) 813-8962
    • Address: 620 8th Avenue New York City, NY 10018
  • Mayer Brown LLP- Gold Sponsor

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    • Products and Services: Attorneys
    • Website: www.mayerbrown.com
    • Phone: (202) 263-3000
    • Address: 1999 K. St NW Washington, DC 20006
  • Blank Rome LLP- Silver Sponsor

    Conference Pens

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    Blank Rome's consumer financial services industry team is comprised of a multi-disciplinary group of business, regulatory and litigation lawyers spanning the Firm's geographic footprint.  Their collective related experience is in the areas of regulatory compliance, financial services and commercial litigation, bankruptcy, and white collar criminal defense/government investigations.Members of the consumer financial services team are admitted to practice in the following jurisdictions:  California, Connecticut, Delaware, Florida, Kentucky, Maryland, New Jersey, New York, Ohio, Pennsylvania, Texas, Virginia and Washington, D.C.

    Regulatory Compliance and CFPB Issues
    Our lawyers have been instrumental in helping national mortgage lenders and servicers successfully navigate the rapidly changing regulatory dynamic in the wake of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). The new regulations promulgated by the Consumer Financial Protection Bureau (CFPB) have created a host of new compliance issues, and we have advised clients in all stages of preparing to meet those issues. We have counseled clients through the CFPB rulemaking process during the recent revisions to the Truth in Lending Act (TILA) and the Real Estate Settlement Procedures Act (RESPA), including evaluating the proposed rules, drafting comments, and analyzing the final rule, and are prepared to provide ongoing guidance to clients as the rules continue to evolve. Our lawyers have extensive experience advising clients on developing internal policies and procedures to minimize regulatory noncompliance risk exposure and future litigation risks.

    Statutory Compliance Programs
    To further assist our clients, we have developed novel programs to assist mortgage lenders and servicers in responding to pre-litigation issues raised by borrowers and regulatory agencies. In particular, these programs address highly risk-sensitive response issues relating to recession demands under the Truth In Lending Act (TILA) and Qualified Written Requests under the Real Estate Settlement Procedures Act (RESPA).

    Litigation
    Our litigators have successfully defended national and regional consumer lending and servicing clients in individual and class action lawsuits in numerous state and federal courts, including bankruptcy proceedings. We have a track record of successfully representing lenders and servicers in litigations containing claims related to:      

    • Consumer Financial Protection Bureau (CFPB)
    • Dodd-Frank Wall Street Reform and Consumer Protection Act
    • Truth in Lending Act (TILA)
    • Real Estate Settlement Procedures Act (RESPA)
    • Fair Debt Collection Practices Act (FDCPA)
    • Unfair and Deceptive Acts and Practices (UDAP)
    • Home Ownership and Equity Protection Amendments (HOEPA)
    • Equal Credit Opportunity Act (ECOA)
    • Fair Credit Reporting Act (FCRA)
    • Fair and Accurate Credit Transactions Act (FACTA)
    • Credit Repair Organizations Act (CROA)
    • Predatory Lending Practices
    • Consumer Fraud
    • Federal Loan Modification Programs
    • State Consumer Protection Laws
    • National Mortgage Settlement

    Regulatory Complaints and Government Investigations
    Our lawyers regularly assist clients in responding to complaints filed by and with federal and state regulatory agencies throughout the United States. Additionally, we counsel clients in regard to inquiries and investigations by government agencies, and we conduct internal investigations to strategically assist in the process.

    Transactional Experience
    We solve our client's problems that arise in the relationships among mortgage and installment credit lenders, brokers, and investors. We have assisted clients in numerous merger and acquisition and portfolio sale transactions in the mortgage and other consumer finance industries. From both legal and business viewpoints, we have experience in evaluating, structuring, and documenting consumer credit products and services, including first and second mortgage loans, home equity credit, credit card and revolving loans, consumer leases, personal installment loans, student loans, retail lending, motor vehicle loans and leases, and other retail installment sale programs.

    Additional Industry Services
    We also provide advice on state licensing; compliance examinations; federal and state interest rate and usury law; FHA, FHLMC, FNMA, and GNMA, programs; holding company and multi-state banking and lending problems; and related consumer financial services statutes, regulations, and issues.  Additionally, we provide counsel on the Gramm-Leach-Bliley Act and other federal and state privacy laws, regulations, and directives.

    • Products and Services: Attorneys
    • Website: www.blankrome.com
    • Phone: Phone: (215) 569-5500 Fax: (215) 569-5555
    • Address: 1 Logan Square 130 North 18th Street Philadelphia, PA 19103-6998
  • McGlinchey Stafford - Bronze Sponsor

    Tuesday Continental Breakfast

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    McGlinchey Stafford is a premier mid-sized business law firm that creatively delivers best-in-class, full-service, scalable solutions for clients nationwide by leveraging bold innovation, diverse talent, and leading-edge technology across its growing networked platform.


             

    • Products and Services: Attorneys
    • Website: www.mcglinchey.com
    • Phone: (504) 586-1200
    • Address: 601 Poydras St Ste 1200 New Orleans LA 70130-6057
  • Severson & Werson - Bronze Sponsor

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    Client Commitment
    Severson & Werson has been providing reliable, unwavering support to its clients for more than sixty years. Severson lawyers are taught from the start that clients know their business, its environment, and their needs better than anyone. It is the firm's duty to listen closely, consider fully, and provide honest, straightforward advice and advocacy. 

    Focused Expertise
    Severson & Werson recognizes that short-term satisfaction and long-term success depends on forming a strong partnership with clients. The firm has played an integral part in the growth of modern financial services and insurance industries for decades. Clients in these areas include banks, thrifts, consumer and automobile finance companies, mortgage bankers, and domestic and foreign insurance companies.

    Client demands and opportunities have helped the firm to expand and excel in areas beyond its historical core practices. Severson has developed unsurpassed expertise in defending consumer class action litigation. Severson's respected insurance practice led the firm to develop one of the premier construction practices in California, focused on the representation of architects, engineers, construction managers and environmental professionals. In response to client demands, Severson & Werson enjoys success in insurance coverage, employment practices, real estate, professional liability, sports and athletics, and other key practice areas. 

    Trial Skills
    Severson's aim is not to litigate but to bring the matter to the swiftest and most successful result. Whenever possible, law and motion and appellate procedures are used to end cases without the necessity of trial. Alternative resolution tools such as mediation, arbitration, mini-trial, and third party evaluators are used. If a case cannot be resolved by any other means, Severson & Werson attorneys have the proven expertise to try the most complex of cases. For Severson clients, settlement is always a strategic and financial option.

    Strategic Advice & Advocacy
    Severson attorneys recognize that litigation is only one component of the legal support necessary to serve clients. Severson attorneys take pride in their collective ability to listen to clients and provide strategic, responsive advice, which can often avoid litigation. Because of the firm's dedication to client satisfaction, Severson has become a trusted advisor and counselor to many of its clients as they implement their business strategies.

    • Products and Services: Attorneys
    • Website: www.severson.com
    • Phone: Phone: (415) 398-3344 Fax: (415) 956-0439
    • Address: 1 Embarcadero Center, Suite 2600 San Francisco, CA 94111-3715
  • Locke Lord LLP- Host Sponsor

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    Locke Lord's Consumer Finance Practice Group regularly advises many of the nation's largest consumer financial services companies, including banks, mortgage companies, consumer lenders, loan servicers, credit card issuers, auto finance companies, and retail credit providers on legal issues across a wide range of matters.The group is composed of knowledgeable and skilled partners and associates who are up to speed on the latest litigation trends and issues affecting the industry. We are national litigators who handle "bet the company" cases in jurisdictions all over the country. Our team understands that we must go to where our clients are and deploy national strategies for taking well-founded and consistent positions in different courts around the country.

    Over 40 lawyers are members of the Firm's Consumer Finance Practice Group devoted to defending consumer lenders against class actions and individual actions brought pursuant to a variety of state and federal consumer protection statutes, including cases involving mortgage fraud, predatory lending and unfair and deceptive acts and practices statutes.Our attorneys are well-versed in the laws and regulations that govern our clients, including the Uniform Commercial Code, the Bankruptcy Code, the Truth-In-Lending Act, the Real Estate Settlement Procedures Act, the Fair Credit Reporting Act, the Fair Debt Collection Practices Act, the Equal Credit Opportunity Act and other consumer protection statutes. More recently, we have helped several clients navigate the uncertain waters of qui tam cases and government investigations.

    • Products and Services: Attorneys
  • Schnader Harrison Segal & Lewis LLP- Host Sponsor

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    • Products and Services: Attorneys
    • Website: www.schnader.com
    • Phone: (215) 751-2000
    • Address: Schnader Harrison Segal & Lewis LLP 1600 Market St Ste 3600 Philadelphia, PA 19103-7212

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