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. |
