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2017 Program

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The Mutual Fund Compliance Programs Conference is closed to the media.

THURSDAY, MAY 4    |    FRIDAY, MAY 5

THURSDAY, MAY 4

7:00 a.m.–6:30 p.m.

Conference Registration

Marriott Ballroom Foyer

7:30–8:45 a.m.

Buffet Breakfast with Exhibitors

Exhibit Hall C

7:30–8:45 a.m.

Breakout Discussion Sessions

These sessions, which are a perennial part of the conference, have been moved to the beginning of the agenda! They provide attendees an opportunity to discuss compliance challenges in an informal setting with their colleagues at similarly sized companies. The discussion is facilitated by a compliance professional, but it will focus on those topics of interest to, or raised by, those participating in the session. Attendees may select whether to attend the session for small, medium, or large fund complexes. The breakout discussion sessions are open only to representatives of ICI member firms.

Small Fund Complexes

Roosevelt 1 (Exhibition Level)

Marguerite C. Bateman

Marguerite C. Bateman, Facilitator
Partner
Schiff Hardin LLP

Medium Fund Complexes

Roosevelt 2 (Exhibition Level)

Trayne S. Wheeler

Trayne S. Wheeler, Facilitator
Partner
K&L Gates LLP

Large Fund Complexes

Roosevelt 3 (Exhibition Level)

Todd L. Spillane

Todd L. Spillane, Facilitator
Compliance Consultant
Westwood Management Group

9:00–9:50 a.m.

What a Year It’s Been: The Year in Review   

Thurgood Marshall Ballroom

Our kickoff panel for the conference will provide an overview of the compliance environment over the past year, including issues affecting CCOs and senior compliance professionals from regulatory, rulemaking, OCIE, Enforcement, and legal perspectives. Panel topics are likely to include distribution-in-guise, the DOL fiduciary rule, the rules adopted by the SEC in 2016, valuation considerations, and recent enforcement actions.

Nancy M. Morris

Nancy M. Morris, Moderator
Managing Director and Chief Compliance Officer
Wellington Management Company LLP

Marguerite C. Bateman

Marguerite C. Bateman
Partner
Schiff Hardin LLP

Philip L. Kirstein

Philip L. Kirstein
Senior Officer and Independent Compliance Officer
AllianceBernstein

Robert P. Scales

Robert P. Scales
Former CCO and General Counsel, Columbia Acorn Funds
Principal, Robert P. Scales, LLC

10:00–10:50 a.m.

New Rules of the Road: CCOs and the SEC’s Liquidity and N-Port Rules

Thurgood Marshall Ballroom

This panel will do a deeper dive on the SEC’s new rules, including discussing their material components, how members are going about the implementation process, the role of compliance in this process, and related compliance challenges. 

Natalie S. Bej

Natalie Bej, Moderator
Principal and Chief Compliance Officer
The Vanguard Group, Inc.

Brian Harris

Brian Harris
Managing Director and Funds Chief Compliance Officer
State Street Global Advisors

Brian M. Moran

Brian M. Moran
Executive Director and Chief Compliance Officer
Sterling Capital Management LLC

Sarah G. ten Siethoff

Sarah G. ten Siethoff
Deputy Associate Director, Rulemaking Office
Division of Investment Management
US Securities and Exchange Commission

11:00 a.m.–12:15 p.m.

Working in Harmony: Factoring Subadvisory Relationships into the Compliance Equation

Thurgood Marshall Ballroom

This panel will focus on the interaction between subadvisers and advisers and the challenges these relationships present with respect to compliance issues. It will follow the panel on the SEC’s new rules, and will continue that discussion by focusing on how subadvisers are affected by the new rules and how they are coordinating their implementation of the rules with primary advisers to funds. The panel will also explore other issues unique to the subadvisory relationship including, for example, challenges associated with operating in a global environment. 

Frank Knox

Frank Knox, Moderator
Chief Compliance Officer
John Hancock Financial Services, Inc.

Brooke J. Billick

Brooke J. Billick
Chief Compliance Officer
Artisan Partners Limited Partnership

Steven Hartstein

Steven Hartstein
Chief Compliance Officer
Brighthouse Funds

Philip S. Wellman

Philip S. Wellman
Chief Compliance Officer
MassMutual Funds

Trayne S. Wheeler

Trayne S. Wheeler
Partner
K&L Gates LLP

12:15–12:45 p.m.

Reception and Legal Forum

Exhibit Hall C

The reception will feature the following Legal Forum presentation:

  • Where Are the Gatekeepers? The Need for Investment Firm Oversight of the Capital Markets
    Lieff Cabraser Heimann & Bernstein LLP
    Speaker: Bruce W. Leppla (11:55 a.m.–12:40 p.m.)

12:45–2:30 p.m.

Luncheon with Keynote Speaker Jeff Immelt

Marriott Ballroom

Walter Isaacson

Jeff Immelt
Chairman and CEO
GE

William F. “Ted” Truscott

Paul Schott Stevens
President and CEO
Investment Company Institute

Luncheon sponsored by

NextShares Solutions LLC

2:45–3:45 p.m.

No Fund Is an Island: Overseeing Service Providers  

Thurgood Marshall Ballroom

This panel will focus on effective and efficient ways for funds and their advisers to oversee service providers to fund complexes. It will discuss prioritizing service providers for review; how funds and advisers go about the review process and the frequency of reviews; issues of focus; the documentation process; how to ensure a service provider promptly reports red flags; and how members are thinking about fourth-party service providers. The panel will also discuss redundancy issues in the event a service provider experiences an outage affecting a fund or its adviser.

Kevin M. Gleason

Kevin M. Gleason, Moderator
Chief Compliance Officer
Voya Funds

Rhonda K. R. Cook

Rhonda K. R. Cook
Director, Third-Party Risk Management
SEI

Christopher S. Crossan

Christopher S. Crossan
Global Chief Compliance Officer
Dimensional Funds Advisors LP

Robert R. Leveille

Robert R. Leveille
Chief Compliance Officer
Invesco Advisers, Inc. and Invesco Funds

4:00–5:00 p.m.

Joint Compliance Programs and IDC Session:
Reporting Up: The CCO’s Relationship with the Board

Thurgood Marshall Ballroom

This panel will discuss a variety of issues relating to a CCO’s engagement with fund boards including, for example: how to make sure boards receive all necessary information without overwhelming them; managing the volume of information provided to boards; how to ensure boards are up to speed on new and emerging issues; and effective tips for engaging with fund boards. In addition, the panel will discuss how the compliance, risk, and audit functions within a complex coordinate their activities, particularly when engaging with the board, in order to avoid duplication.

Richard J. Gorman

Richard J. Gorman, Moderator
Chief Compliance Officer
Oakmark Funds

Kathleen T. Barr

Kathleen T. Barr
Independent Director
William Blair Funds

Matt Chambers

Matt Chambers
Chief Compliance Officer
Horizon Funds

Marc S. Joseph

Marc S. Joseph
Independent Director
Thrivent Funds

Todd Kuehl

Todd Kuehl
Managing Director and Chief Compliance Officer
Legg Mason

5:00–7:30 p.m.

Reception and Legal Forum

Exhibit Hall C

The reception will feature the following Legal Forum presentations:

  • Selecting and On-Boarding Directors: Preserving Board Culture and Integrating New Members
    Goodwin Procter LLP
    Speakers: Marco Adelfio and Paul Delligatti (5:05–5:50 p.m.)

  • SEC Enforcement and Civil Litigation: What Went Wrong and How You Can Avoid the Same Fate
    Mayer Brown LLP
    Speakers: Amy Pershkow and Stephanie Monaco (5:55–6:40 p.m.)

  • Securities Lending: An Evolving Tool for Shareholder Value Relating to Return, Financing, and Liquidity
    eSecLending
    Speakers: Craig Starble and Peter Bassler (6:45–7:30 p.m.)

7:30 p.m.

GMM Dinner Event

Marriott Ballroom

Featuring entertainment by Mike Flaherty’s Dixieland Direct Jazz Band

Dinner event sponsored by

Dinner sponsors

FRIDAY, MAY 5

7:00–11:00 a.m.

Conference Registration

Marriott Ballroom Foyer

7:30–8:30 a.m.

Washington Today: A Regulatory Update

Marriott Ballroom

Paul Schott Stevens

Paul Schott Stevens
President and CEO
Investment Company Institute

Breakfast event sponsored by

Deloitte

Breakfast will be served until 8:00 a.m.

8:45–9:45 a.m.

Getting Things Done: Additional Challenges Facing CCOs 

Thurgood Marshall Ballroom

This panel will explore a hodgepodge of issues affecting CCOs and their staff. The topics will likely include: how to keep one’s head above water with the SEC’s aggressive agenda over the past year; engaging with OCIE; the aftermath of the SEC’s distribution-in-guise review; managing data; overseeing cyber issues; global considerations affecting the CCO; the proverbial doing more with less; the current political and regulatory environment; and what to expect over the coming year and how to prepare for it. 

Michael H. Whitaker

Michael H. Whitaker, Moderator
Chief Compliance Officer
Wells Fargo Asset Management, LLC

Manoj Tito Pombra

Manoj Tito Pombra
Chief Compliance Officer
Matthews Asia Funds

Katherine M. Primas

Katherine M. Primas
Chief Compliance Officer
Dodge & Cox

Todd L. Spillane

Todd L. Spillane
Compliance Consultant
Westwood Management Group

10:00–11:00 a.m.

Lightning Round

Thurgood Marshall Ballroom

It’s back again by popular demand! This session will feature a panel of compliance experts answering questions submitted by attendees. It will give you an opportunity to have your burning questions answered by a bevy of compliance experts. Attendees are encouraged to submit a question for the panel at the time of registration, though questions may also be submitted throughout the conference.

Thomas M. Mistele

Thomas M. Mistele, Moderator
Executive Vice President, Secretary, and Senior Counsel
Dodge & Cox

Kevin M. Gleason

Kevin M. Gleason
Chief Compliance Officer
Voya Funds

Richard J. Gorman

Richard J. Gorman
Chief Compliance Officer
Oakmark Funds

Frank Knox

Frank Knox
Chief Compliance Officer
John Hancock Financial Services, Inc.

Nancy M. Morris

Nancy M. Morris
Managing Director and Chief Compliance Officer
Wellington Management Company LLP

Robert P. Scales

Robert P. Scales
Former CCO and General Counsel, Columbia Acorn Funds
Principal, Robert P. Scales, LLC

Michael H. Whitaker

Michael H. Whitaker
Chief Compliance Officer
Wells Fargo Funds Management, LLC


THANK YOU TO OUR CONFERENCE SPONSORS