Program

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

Wednesday, May 1

1:00–7:00 p.m.

Conference Registration

Marriott Ballroom Foyer

1:00–3:00 p.m.

Exhibit Hall Open

Exhibit Hall C

Refreshments will be available.

3:00–3:30 p.m.

Welcome and Opening Remarks

Marriott Ballroom

 
Yie-Hsin Hung

Chair
GMM Planning Committee
CEO
New York Life Investment Management

 

Chairman’s Address

  George C. W. Gatch
George C. W. Gatch

Chairman
Investment Company Institute
CEO, Global Funds Management
JP Morgan Asset Management

3:30–4:30 p.m.

Joseph C. Tsai in Conversation with Paul Schott Stevens

Marriott Ballroom

  Joseph C. Tsai
Joseph C. Tsai

Cofounder and Executive Vice Chairman
Alibaba Group

 
Paul Schott Stevens

President and CEO
Investment Company Institute

4:30–7:00 p.m.

Welcome Reception and Legal Forum

Exhibit Hall C

Sponsored by

Thursday, May 2

7:00 a.m.–6:30 p.m.

Conference Registration

Marriott Ballroom Foyer

7:30–8:40 a.m.

Regulatory Breakfast Session

Marriott Ballroom

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

  Jay Clayton
Jay Clayton

Chairman
US Securities and Exchange Commission

 
Sponsored by
9:00–9:50 a.m.

The Year in Review and Coming Attractions

Thurgood Marshall Ballroom

Our kickoff panel for the conference will provide an overview of regulatory issues affecting CCOs and senior compliance professionals over the past year, as well as issues that may be on the horizon.

 
Philip Wellman, Moderator

Vice President and CCO
MassMutual Funds

 
Russell C. Lemley

CCO
Capital Research and Management Company

 
Paulita A. Pike

Partner
Ropes & Gray

 
Nicole Trudeau

Chief Legal Officer
Saturna Capital Corporation

10:00–11:15 a.m.

Oversight Challenges

Thurgood Marshall Ballroom

This panel will discuss the challenges that compliance professionals face with respect to their oversight obligations. In addition to discussing oversight of internal and external vendors, it will also discuss overseeing quant models in the wake of recent SEC enforcement actions.

 
Anita Zagrodnik, Moderator

Senior Vice President, AML Officer, and CCO
U.S. Bank Global Fund Services

 
Janet D. Olsen

Independent Director
PPM Funds

 
Michael Shoemaker

CCO
Driehaus Capital Management LLC

 
Patrick J. Spellman

Senior Vice President and CCO
AMG Funds

 
Todd Spillane

Executive Director
Morgan Stanley Investment Management Inc.

11:15–11:50 a.m.

Reception and Legal Forum

Exhibit Hall C

11:50 a.m.–1:30 p.m.

Luncheon with Keynote Speaker Steven Pinker: Enlightenment Now

Marriott Ballroom

If you read the news today, you might conclude that the human race is doomed, that democracy is on the decline, and that authoritarianism and tribalism are on the rise. But is the world really falling apart? In a timely and hopeful keynote address, Steven Pinker, one of the world’s most influential public intellectuals, makes the case for reason, science, and humanism: the ideals we need to confront our problems and continue our progress.

 
Steven Pinker

Professor
Harvard University
Author, Enlightenment Now: The Case for Reason, Science, Humanism, and Progress

 
Sponsored by
1:50–2:40 p.m.

Assessing and Addressing Conflicts of Interest

Thurgood Marshall Ballroom

In light of increasing regulatory focus on conflicts of interest and a recent enforcement action, this panel will discuss the process of identifying conflicts of interest and, once identified, how they are addressed. The panel will also explore the evolution of this process as the business and its relationships evolve.

 
Kevin Gleason, Moderator

Senior Vice President and CCO
Voya Funds

 
Michael F. Hogan

CCO
Charles Schwab Investment Management, Inc.

 
Tito Pombra

Compliance Consultant

 
Trevor E. Swanberg

Deputy CCO
John Hancock Advisers, LLC

2:50–3:40 p.m.

Fighting the Borg Collective: What a Relentless Cybersecurity Threat Means for the Enterprise

Thurgood Marshall Ballroom

Attend this joint session of the Operations and Technology and Compliance Programs Conferences to learn which strategies and tactics firms leverage to mitigate evolving and persistent threats. Explore key issues operational and compliance professionals should consider as they address cyber risks within their firms.

 
Janine Comstock, Moderator

Chief Security Officer
MFS Investment Management

John Cembrook

Chief Information Security Officer
Lord, Abbett & Co.

Matthew J. DeSarno

Special Agent in Charge, Criminal Division
Washington Field Office
Federal Bureau of Investigation (FBI)

3:45–5:00 p.m.

Compliance Hot Topics

Thurgood Marshall Ballroom

This panel will explore a variety of topics that compliance professionals are currently focused on. Topics expected to be discussed include: where members are in implementing the SEC’s liquidity rule and any remaining challenges; lessons learned from recent SEC enforcement actions; the impact of OCIE on setting compliance priorities; and the increasingly complex global regulatory environment.

 
Katherine M. Primas, Moderator

CCO
Dodge & Cox

 
Kevin F. Cahill

Partner
Dechert LLP

 
Matt Chambers

CCO
Horizon Investments, LLC

 
Wendy D. Fox

CCO
Ariel Investments, LLC

Joseph M. McGill

CCO
Lord, Abbett & Co. LLC

5:00–6:30 p.m.

Reception with Book Signing and Legal Forum

Exhibit Hall C

 

Come meet GMM speaker Parag Khanna, who will be signing his latest book, The Future Is Asian. Registrants may purchase this book in advance of the conference, pick it up in the Exhibit Hall, and have it signed. A limited number of books also will be available for purchase onsite.

 
Sponsored by
7:00–10:00 p.m.

2019 GMM Dinner Reception

Smithsonian National Air and Space Museum

 
Enjoy excellent networking, cocktails, and hors d’oeuvres while exploring the exhibition space at the Smithsonian National Air and Space Museum.
 
Bus transportation from the Marriott Wardman Park to the museum will begin at 6:30 p.m. Buses will be departing from the 24th Street lobby entrance of the hotel.

Friday, May 3

7:00–11:00 a.m.

Conference Registration

Marriott Ballroom Foyer

9:00–9:50 a.m.

Engaging with Subadvisers

Thurgood Marshall Ballroom

This panel will focus on the interaction between subadvisers and advisers and the challenges these relationships present. Among other issues, the panel is likely to discuss how fund advisers and their subadvisers are coordinating their implementation of the SEC’s liquidity rule, evolving communication protocols, oversight challenges, and challenges associated with operating in multiple jurisdictions across the globe.

 
Brooke Billick, Moderator

CCO
Artisan Partners Funds

 
Richard J. Gorman

Senior Vice President and CCO
Jackson National Asset Management LLC

 
Brian Harris

Managing Director and Funds CCO
State Street Global Advisors

 
Cheryl B. Wichers

CCO
Russell Investments

10:00–11:05 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.

 
Frank Knox, Moderator

CCO
John Hancock Financial Services

 
Brooke J. Billick

CCO
Artisan Partners Limited Partnership

 
Kevin M. Gleason

Senior Vice President and CCO
Voya Funds

 
Paulita A. Pike

PartnerCO
Ropes & Gray

 
Katherine M. Primas

CCO
Dodge & Cox

 
Phillip S. Wellman

CCO
MassMutual Funds

 
Anita M. Zagrodnik

CCO
U.S. Bank Global Fund Services

Thank you to our other sponsors