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2018 Program

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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

Columbia Room, Terrace Level

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

Holmead West, Lobby Level

Molly Moynihan

Molly Moynihan, Facilitator
Partner
Perkins Coie LLP

Medium Fund Complexes

Holmead East, Lobby Level

Monica L. Parry

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

Large Fund Complexes

Jay, Lobby Level

John H. Walsh

John H. Walsh, Facilitator
Partner
Eversheds Sutherland

9:00–10:05 a.m.

Happenings: The Regulatory Year in Review   

International Ballroom West, Concourse Level

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

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

Monica L. Parry

Monica L. Parry
Of Counsel
Morgan Lewis & Bockius LLP

Janet Squitieri

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

International Ballroom West, Concourse Level

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.

Chad A. Earnst

Chad A. Earnst,Moderator
Global Head of Compliance
PGIM

Brian W. Dvorak

Brian W. Dvorak
Chief Compliance Officer
The Vanguard Group, Inc.

Jim Fricano

Jim Fricano
Compliance Officer
Wellington Management Company LLP

Ellen McGlynn Koke

Ellen McGlynn Koke
Vice President, Corporate Compliance
Prudential Financial

Randy Randall
Chief Compliance Officer
William Blair Investment Management, LLC

11:30 a.m.–12:15 p.m.  

Reception with Book Signing and Legal Forum

Exhibit Hall
Columbia, Terrace Level

Come meet GMM keynote speaker Jon Meacham and Operations and Technology Conference speaker Amy E. Herman at the pre-lunch reception book signing. The speakers will be signing the following books:

  • The Soul of America by Jon Meacham
  • Visual Intelligence by Amy E. Herman

Registrants may purchase either or both of these books in advance of the conference, pick them up in the Exhibit Hall, and have them signed. A limited number of books also will be available for purchase onsite at the GMM. Purchase Now.

Legal Forum Presentation:

Gunston, enter through Exhibit Hall

How ESG Is Shaping the Future of New Fund Launches Globally
BNP Paribas
Speaker: Georg Lasch

12:15–2:00 p.m.

Luncheon with Keynote Speaker Jon Meacham

International Ballroom, Concourse Level

Pulitzer Prize–winning author Jon Meacham will discuss The Soul of America, his forthcoming book exploring key turning points in US history, apply lessons drawn from the country’s sometimes turbulent past to today’s partisan divisions, and explore what the future might hold for America.

Following Meacham’s remarks, he will engage in a question-and-answer session with ICI President and CEO Paul Schott Stevens.

Jon Meacham

Jon Meacham
Pulitzer Prize–Winning Author
Presidential Historian

Paul Schott Stevens

Paul Schott Stevens
President and CEO
Investment Company Institute

Luncheon sponsored by

Citi

2:20–3:15 p.m.

Symbiosis: Advisers and Subadvisers Working Together

International Ballroom West, Concourse Level

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

Christy Sears, Moderator
Chief Compliance Officer
American Beacon Funds

Kevin Bopp

Kevin Bopp
Chief Compliance Officer
New York Life Investment Management LLC

Molly Moynihan

Molly Moynihan
Partner
Perkins Coie LLP

Katherine Stoner

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

3:30–4:45 p.m.

Superintendence: Overseeing Third-Party Vendors  

International Ballroom West, Concourse Level

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

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

Stephanie M. Beran

Stephanie M. Beran
Managing Director, ERM
Legg Mason

Jeffrey A. Engelsman

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

Amy S. Gilfenbaum

Amy S. Gilfenbaum
Head of Operational Risk
Neuberger Berman Investment Advisers 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
Columbia, Terrace Level

Legal Forum Presentations:

Gunston, enter through Exhibit Hall

The Annual Contract Review Process: Developments in Recent Fee Litigation, Takeaways for Fund Boards, and What’s Next
Goodwin Procter
Speakers: Paul Delligatti and Michael Isenman

How the Global Asset Manager Conducts Asset Management Business
in China Under the New Opening Up Policies

Llinks Law Offices
Speaker: Sandra Lu, Partner of Llinks

Reception sponsored by

J.P. Morgan

7:00–10:00 p.m.               

GMM Dinner Reception

Smithsonian Institution 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. Buses will be departing from the T Street entrance of the Washington Hilton.

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, Concourse Level

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 

International Ballroom West, Concourse Level

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

Alyssa Albertelli, Moderator
Deputy General Counsel
State Street Global Advisors

John R. Gilner

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

Andrew Henderson

Andrew Henderson
Partner
Eversheds Sutherland

10:00–10:10 a.m.

Modern Compliance: Best Practices for Securities and Finance

International Ballroom West, Concourse Level

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

John H. Walsh
Partner
Eversheds Sutherland

10:10–11:15 a.m.

Your Questions Answered: The Lightning Round

International Ballroom West, Concourse Level

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

Alyssa Albertelli
Deputy General Counsel
State Street Global Advisors

Randall S. Fillmore

Randall S. Fillmore
Chief Compliance Officer
Aquila Investment Management LLC

Frank Knox

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

Christy Sears

Christy Sears
Chief Compliance Officer
American Beacon Funds

John H. Walsh

John H. Walsh
Partner
Eversheds Sutherland


THANK YOU TO OUR CONFERENCE SPONSORS