2017 Legal Forum

The ninth annual Legal Forum gave firms an opportunity to showcase their investment management expertise through 30-minute presentations, followed by 15 minutes of Q&A/networking with attendees of the 2017 General Membership Meeting (GMM), the Mutual Fund Compliance Programs Conference, the Operations and Technology Conference, and the Fund Directors Workshop. All four meetings ran concurrently at the Marriott Wardman Park Hotel in Washington, DC, from Wednesday, May 3, to Friday, May 5. 


Wednesday, May 3
4:35–5:20 p.m. Drinker Biddle & Reath LLP

Business Continuity: Planning and What to Consider

Speakers: Joshua Deringer, Jillian Bosmann, and Mary Hansen

5:25–6:10 p.m. Stradley Ronon Stevens & Young, LLP

On the ETF Radar:  What’s New and What’s Next

Speakers: Michael Mundt and J. Stephen Feinour Jr.

6:15–7:00 p.m. Kirkland & Ellis LLP

Trends in SEC Examinations and Enforcement

Speakers: Jamie Walter and Aaron Schlaphoff

Thursday, May 4
11:55 a.m.–12:40 p.m. Lieff Cabraser Heimann & Bernstein LLP

Where Are the Gatekeepers? The Need for Investment Firm Oversight of the Capital Markets

Speaker: Bruce W. Leppla
5:05–5:50 p.m. Goodwin Procter LLP

Selecting and Onboarding Directors: Preserving Board Culture and Integrating New Members

Speakers: Marco Adelfio and Paul Delligatti

5:55–6:40 p.m. Mayer Brown LLP

SEC Enforcement and Civil Litigation:  What Went Wrong and How You Can Avoid the Same Fate

Speakers: Amy Pershkow and Stephanie Monaco

6:45–7:30 p.m. eSecLending

Securities Lending:  An Evolving Tool for Shareholder Value Relating to Return, Financing, and Liquidity

Speakers: Craig Starble and Peter Bassler