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Preliminary Program

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

 

WEDNESDAY, MAY 23    |    THURSDAY, MAY 24

WEDNESDAY, MAY 23

7:00 a.m.–6:30 p.m.

Conference Registration

Concourse Foyer

7:45–8:45 a.m.

Buffet Breakfast with Exhibitors

Exhibit Hall

7:45–8:45 a.m. 

Breakout Discussion Sessions

Open only to ICI members who are registered for the Mutual Fund Compliance Programs Conference

These sessions, which are a perennial part of the conference, provide attendees with an opportunity to discuss compliance challenges in an informal setting with their colleagues at similarly sized companies. The discussion will be facilitated by an outside counsel and 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.

Small Fund Complexes

Molly Moynihan

Molly Moynihan, Facilitator
Partner
Perkins Coie LLP

Medium Fund Complexes

Monica L. Parry, Facilitator
Of Counsel
Morgan Lewis & Bockius LLP

Large Fund Complexes

John H. Walsh, Facilitator
Partner
Eversheds Sutherland

9:00–10:05 a.m.

Happenings: The Regulatory Year in Review   

Our kickoff panel for the conference will provide an overview of regulatory, rulemaking, OCIE, Enforcement, and legal issues affecting CCOs and senior compliance professionals over the past year.

Frank Knox

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

Paul Cellupica
Deputy Director, Division of Investment Management
US Securities and Exchange Commission

Monica L. Parry
Of Counsel
Morgan Lewis & Bockius LLP

Janet Squitieri
Executive Director Compliance
J.P. Morgan Asset Management

10:15–11:30 a.m.

Data Science: Adding Data Mining to the Compliance Tool Box

This panel will discuss the increasing importance of data to CCOs as the SEC continues to amass vast amounts of data on funds. The panel will discuss how mutual funds are exploring the use of data scientists, and data science as another tool available to CCOs. The panelists will share their experiences with the brave new world of data as a compliance tool and the lessons they have learned on their journey.

Mark A. Egert, Moderator
Head of Asset Management Americas Compliance and Chief Compliance Officer
J.P. Morgan Investment Management, Inc.

Brian W. Dvorak
Principal
The Vanguard Group, Inc.

Jim Fricano
Compliance Officer
Wellington Management Company LLP

Kathleen Ives
Director of Internal Audit
OppenheimerFunds

Randy R. Randall
Chief Compliance Officer
William Blair Investment Management, LLC

11:30 a.m.–12:15 p.m.  

Reception and Legal Forum

Exhibit Hall

12:15–2:00 p.m.

Luncheon with Keynote Speaker

International Ballroom

Speaker TBA

Luncheon sponsored by

Citi

2:20–3:15 p.m.

Symbiosis: Advisers and Subadvisers Working Together

This panel will focus on the interaction between advisers and subadvisers and the challenges these relationships present with respect to compliance issues. In part, the panel will discuss how advisers and subadvisers are working together to implement the SEC’s liquidity rule and how they are allocating responsibilities associated with the rule for those funds that rely on subadvisers. 

Christy Sears, Moderator
Chief Compliance Officer
American Beacon Funds

Kevin Bopp
Chief Compliance Officer
New York Life Investment Management LLC

Molly Moynihan

Molly Moynihan
Partner
Perkins Coie LLP

Katherine Stoner
Head of Compliance
Great-West Capital Management, LLC

3:30–4:45 p.m.

Superintendence: Overseeing Third-Party Vendors  

This panel will discuss approaches funds can use to effectively and efficiently oversee their third-party service providers. In addition to providing the perspective of CCOs, the panel includes two risk officers who have been actively engaged in third-party oversight, as well as a representative of Santa Fe Group Shared Assessments, which works with ICI members and others on these issues. Topics are likely to include prioritizing service providers for review, the review process, and the frequency of reviews.

Randall S. Fillmore, Moderator
Chief Compliance Officer
Aquila Investment Management LLC

Stephanie M. Beran
Managing Director, ERM
Legg Mason

Jeffrey A. Engelsman
Chief Compliance Officer
TCW Group, Inc.

Amy S. Gilfenbaum
Head of Operational Risk
Neuberger Berman Management LLC

Charlie Miller

Charlie Miller
Senior Vice President
Santa Fe Group Shared Assessments

4:45–6:30 p.m.

Reception and Legal Forum

Exhibit Hall

Reception sponsored by

J.P. Morgan

7:00–10:00 p.m.               

GMM Dinner Reception

Smithsonian National Museum of African American History and Culture

NMAAHC

Enjoy excellent networking, cocktails, and hors d’oeuvres while exploring the thought-provoking and important exhibition space at the Smithsonian National Museum of African American History and Culture.


Bus transportation from the Washington Hilton to the museum will begin at 6:30 p.m.

Dinner sponsored by

PGIM

THURSDAY, MAY 24

7:00–11:00 a.m.

Conference Registration

Concourse Foyer

7:30–8:45 a.m. 

Regulatory Session: A Conversation with SEC Commissioner Michael S. Piwowar

International Ballroom

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

Michael S. Piwowar Michael S. Piwowar
Commissioner
US Securities and Exchange Commission
Paul Schott Stevens

Paul Schott Stevens
President and CEO
Investment Company Institute

Breakfast sponsored by

PWC

9:00–9:50 a.m. 

Across the Pond: EU/UK Issues Affecting US Firms 

This panel will provide an overview of EU/UK issues that may affect US funds, such the requirements imposed by the EU’s General Data Protection Requirement (GDPR) and the revised Markets in Financial Instruments Directive (MiFID II). It will also discuss how funds are integrating these requirements into their organizations.

Alyssa Albertelli, Moderator
Chief Compliance Officer
State Street Global Advisors

John R. Gilner
Chief Compliance Officer
T. Rowe Price Associates, Inc.

Andrew Henderson
Partner
Eversheds Sutherland

10:00–10:10 a.m.

Modern Compliance: Best Practices for Securities and Finance

David H. Lui and John H. Walsh, editors of Modern Compliance: Best Practices for Securities and Finance, will give attendees a brief overview of the book’s contents and purpose. (The authors have graciously provided conference attendees a complimentary copy.)

David H. Lui

David H. Lui
Principal
Galliard Capital Management, Inc.

John H. Walsh
Partner
Eversheds Sutherland

10:10–11:15 a.m.

Your Questions Answered: The Lightning Round

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 questions for the panel at the time of registration, though questions may also be submitted throughout the conference.

Nancy M. Morris

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

Alyssa Albertelli
Chief Compliance Officer
State Street Global Advisors

Mark A. Egert
Head of US Compliance and Chief Compliance Officer
J.P. Morgan Investment Management, Inc.

Randall S. Fillmore
Chief Compliance Officer
Aquila Investment Management LLC

Frank Knox

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

Christy Sears
Chief Compliance Officer
American Beacon Funds

John H. Walsh
Partner
Eversheds Sutherland


THANK YOU TO OUR CONFERENCE SPONSORS