2011 Presentations


Wednesday, May 4

Welcome and Opening Remarks

General Membership Meeting

Greg Johnson
Chairman
General Membership Meeting Planning Committee
President and CEO
Franklin Resources, Inc.

Speech

 

Chairman’s Address

General Membership Meeting

Edward Bernard
Chairman
Investment Company Institute
Vice Chairman
T. Rowe Price Group, Inc.

Speech



Thursday, May 5

To view the entire Mutual Fund Compliance Programs Conference's notebook, please click here.

Opening Remarks

Mutual Fund Compliance Programs Conference

Karrie McMillan
General Counsel 
Investment Company Institute

Speech

 

What's New Part I: Events over the Past Year Impacting Compliance

Mutual Fund Compliance Programs Conference

Christine Carsman, Moderator
Senior Vice President and Chief Regulatory Counsel

Affiliated Managers Group, Inc.

Thomas Biolsi, Panelist
Regulatory Compliance Leader, Asset Management

PricewaterhouseCoopers

Debra Ann Early, Panelist
Chief Compliance Officer

Wells Fargo Fund Management

Doug Scheidt, Panelist
Associate Director and Chief Counsel
Division of Investment Management

U.S. Securities and Exchange Commission

Bibb Strench, Panelist
Counsel

Seward & Kissel LLP

Slides

 

What's New Part II: Product-Specific Concerns

Mutual Fund Compliance Programs Conference

Amy Doberman, Moderator
General Counsel

ProFund Advisors LLC

Daniel Budofsky, Panelist
Partner

Davis Polk

Steve Keen, Panelist
Counsel

Reed Smith

Todd Kuehl, Panelist
Managing Director and Chief Compliance Officer

Legg Mason

Doug Scheidt, Panelist
Associate Director and Chief Counsel
Division of Investment Management

U.S. Securities & Exchange Commission

Slides

 

Directors' Interface with Compliance, Risk Management, and Internal Audit

Mutual Fund Compliance Programs Conference

Davey S. Scoon, Moderator
Independent Director

Allianz Funds

Joseph Carrier, Panelist
Chief Risk Officer

Legg Mason

Joanna Haigney, Panelist
Chief Compliance Officer

Rydex Funds

Miguel Miranda, Panelist
Director, Enterprise Risk Services

Deloitte

George Sullivan, Jr., Panelist
Independent Director

SEI Funds

Slides

 

Using Social Media in Fund Communications

General Membership Meeting

Alexander Gavis, Moderator
Vice President and Associate General Counsel

Fidelity Investments

Mary Athridge, Panelist
Director, Corporate Communications

Legg Mason

Amy Dobra, Panelist
Principal 

Vanguard

Susan B. McGee, Panelist
President and General Counsel

U.S. Global Investors, Inc.

Slides

 

New Whistleblower Program; the "Pay-to-Play" Rule and Enhanced SEC Enforcement – Practical Considerations for Your Organization

Legal Forum

Bingham McCutchen LLP
Speakers: Lea Anne Copenhefer, Roger Joseph, and Josh Sterling

Slides

 

Alternative Strategy Mutual Funds: Current Regulatory Issues

Legal Forum

Drinker Biddle & Reath LLP
Speakers: Joshua Deringer, David Matteson, and Diana McCarthy

Slides

 

Mutual Fund Crisis Preparation and Response: Some Practical Insights into Preparing for and Responding to a Crisis Affecting Your Organization

Legal Forum

Morgan, Lewis & Bockius LLP
Speakers: Andrew J. "Buddy" Donohue and Anne C. Flannery

Slides

 

The Effect of Dodd-Frank and Other Recent Developments on the Regulation of Money Market Funds

Legal Forum

Stradley Ronon Stevens & Young LLP
Speaker: Joan Ohlbaum Swirsky

Slides

 



Friday, May 6

Insights from Worldwide Private Pension Systems

General Membership Meeting

Cynthia Egan, Moderator
President, Retirement Plan Services 

T. Rowe Price

Peter De Proft, Panelist
Director General 

The European Fund and Asset Management Association (EFAMA)

David W. Powell, Panelist
Principal
Groom Law Group, Chartered

Maria Wilton, Panelist
Managing Director

Franklin Templeton Investments Australia Ltd.

Slides

 

Intelligent Risk Management: Why It Is Everyone's Responsibility

Operations and Technology Conference

Kate Ives, Moderator
Senior Vice President and Deputy General Counsel

OppenheimerFunds, Inc.

Robert Baillargeon, Panelist
Executive Vice President and Chief Risk Officer

State Street Global Markets

Deborah Seidel, Panelist
Vice President

T. Rowe Price Services

Robert W. Smith, Panelist
Senior Vice President

Franklin Templeton Investor Services

Slides

 

Current Affairs: Frank Talk About the U.S. Deficit

General Membership Meeting

Paul Schott Stevens, Moderator
President and CEO
Investment Company Institute

Erskine B. Bowles
Former White House Chief of Staff
Co-Chair, the National Commission on Fiscal Responsibility and Reform

The Honorable Alan K. Simpson
Former Senator from Wyoming
Co-Chair, the National Commission on Fiscal Responsibility and Reform

Slides


 

For session summaries, please visit ICI's GMM Highlights page.

   
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