This program is being offered without cost to investment professionals and their counsel interested in investing in consumer and small business finance companies and assets. Please feel free to share this invitation with colleagues who might find the program of interest.

Investing in consumer and small business finance companies and assets presents an appealing market opportunity. However, these investments require informed consideration of regulatory and compliance risks. The Consumer Financial Protection Bureau (CFPB) and Director Richard Cordray remain in place. And other federal and state authorities are poised to fill any perceived enforcement gap arising from the recent election.

Our program will examine the issues at play and help investors chart a path forward. Speakers include Raj Date—the first Deputy Director of the CFPB and current Managing Partner of Fenway Summer LLC. Also featured are Ballard Spahr Consumer Financial Services attorneys with extensive experience in the relevant regulatory issues and the businesses in question.

Thursday, June 15, 2017 | 12:30 PM – 6:15 PM EST

Registrations subject to approval by Ballard Spahr.


12:30 PM – 1:00 PM

Registration (box lunches and drinks will be provided)

1:00 PM – 1:10 PM

Introduction and Welcome

Alan S. Kaplinsky

1:10 PM – 1:45 PM

Regulatory and Enforcement Environment under the Trump Administration

Raj Date will discuss how these asset classes have been—and will be—affected by economic factors and regulatory changes at the federal level under the Trump administration. He also will examine the likely response from state banking regulators and attorneys general.

Raj Date

Christopher J. Willis (moderator)

1:45 PM – 2:15 PM

The Regulatory Diligence Process

The practice leaders of Ballard’s Consumer Financial Services Group will provide an overview of the regulatory diligence process and preview issues of particular concern for these asset classes.

Alan S. Kaplinsky

Jeremy T. Rosenblum

2:15 PM – 3:15 PM

Investments in "Traditional" Consumer Finance Assets

The panel will examine compliance issues associated with investments in unsecured credit cards, residential mortgages and lines of credit, student loans, and auto finance instruments.

John L. Culhane, Jr.
John D. Socknat
Glen P. Trudel

Christopher J. Willis

3:15 PM – 3:30 PM

Networking Break

3:30 PM – 5:00 PM

Specialty Finance Investments

The panel will discuss compliance issues associated with online lending, high-rate credit (payday, auto title, pawn and installment loans), retail credit, rent-to-own, small business finance (both loans and alternative products such as merchant cash advances), litigation funding, delinquent debt, secured credit cards and payments companies.

Mark J. Furletti
Stefanie H. Jackman
James Kim
Scott M. Pearson

Jeremy T. Rosenblum

5:00 PM – 6:15 PM

Cocktail Reception


NYU Grand Hall
238 Thompson Street
(Between W 3rd and W 4th)

New York, NY 10011

For more information, contact Lisa Cheresnowsky at