Program

The Compliance Programs Conference is closed to the media.

Print version (pdf)

Wednesday, May 21

6:00 a.m.

Mutual Fund Walk and Jog

Back by popular demand! For a fun and healthy start to your morning, please assemble in the Terrace Lobby.

7:00 a.m.–6:30 p.m.

Conference Registration

Washington Hilton Foyer

8:45–9:00 a.m.

Opening Remarks

9:00–10:15 a.m.

Current Events: Keeping Up with New and Evolving Compliance Issues 

Jefferson and Lincoln Rooms

The opening panel of the conference will discuss regulatory events that have impacted chief compliance officers (CCOs) of mutual funds and their advisers over the past year. Panel topics will include, for example, the Volcker Rule and CFTC Rule 4.5, as well as the focus of the SEC’s inspection and enforcement staffs and what this means for funds and their advisers.

Robert P. Scales

Robert P. Scales, Moderator
Chief Compliance Officer
Columbia Acorn Funds

 

Jane Jarcho
National Associate Director, Investment Adviser/Investment Company Examination
Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

 

Katherine M. Primas
Chief Compliance Officer
Dodge & Cox

 

Janet Squitieri
Global Head of Compliance
Van Eck

 

Nicole Trudeau
Associate
K&L Gates LLP

10:30–11:30 a.m.

The Evolving Cybersecurity Landscape Part I: Overview of Cybersecurity Threats and Attacks

Jefferson and Lincoln Rooms

In part I of our two-part session, a cybersecurity expert will provide an overview of cybersecurity concerns and threats, discuss the community of attackers, walk through the anatomy of an attack, and discuss ways to mitigate attacks.

Ben Smith

Ben Smith
RSA, the Security Division of EMC

11:30 a.m.–12:30 p.m.

The Evolving Cybersecurity Landscape Part II: The Intersection of CCOs and Cybersecurity Concerns

Jefferson and Lincoln Rooms

In part II of our two-part session, a panel will discuss the involvement of CCOs in overseeing cybersecurity concerns, as well as issues to consider to help protect their organizations from attacks.

Charles C. S. Park

Charles C. S. Park, Moderator
Chief Compliance Officer and Managing Director
BlackRock Fund Advisors

 

Breda Beckerle
Chief Compliance Officer
Franklin Templeton Investments

 

John H. Walsh
Partner
Sutherland Asbill

 

Michael H. Whitaker
Senior Vice President and Chief Compliance Officer, Fixed Income and Asset Allocation Funds
Fidelity Investments

12:30–2:15 p.m.

Reception and Luncheon with Keynote Speaker

Washington Hilton Ballroom

The 2014 GMM luncheon will feature an address by a world-renowned senior statesman, who will then engage in a dynamic conversation about global political and leadership challenges with ICI Chairman William McNabb.

Luncheon sponsored by:

2014 GMM Sponsors

2:30–3:45 p.m.

The Impact of Evolving Intermediary Relationships on Oversight and Board Reporting

Jefferson and Lincoln Rooms

This panel, jointly sponsored with the Operations and Technology Conference, will focus on the continuing challenges associated with intermediary oversight. The panel’s discussion will include board reporting as well as insights from the SEC’s ongoing “distribution in guise” review.

Richard J. Gorman

Richard J. Gorman, Moderator
Chief Compliance Officer
Oakmark Funds

 

Robert J. Adams
Executive Vice President
National Financial Services

 

Renee Esfandiary
Assistant Director, National Examination Program
Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

 

Basil Fox
President
Franklin Templeton Investor Services

 

Kelly B. Whetstone
Counsel and Senior Director of Compliance
Homestead Funds

4:00–5:15 p.m.

Staying Ahead of the Curve: Anticipating What’s to Come

Jefferson and Lincoln Rooms

This panel, jointly sponsored with the Independent Directors Council, will discuss practices for looking beyond day-to-day compliance program responsibilities to identifying trends and developments that will affect compliance processes in the future.

Robert M. Zakem

Robert M. Zakem, Moderator
General Counsel and Chief Compliance Officer
RidgeWorth Investments

 

Vanessa C. L. Chang
Independent Director
American Funds

 

Gazala Khan
Chief Compliance Officer
Goldman Sachs & Co.

 

Steven Miyao
CEO
kasina, LLC

5:15–7:00 p.m.

Reception and Legal Forum

Exhibit Hall

Specialty bar sponsored by:

Legal Forum Presentations

The following Legal Forum presentations will take place during the reception:

  • Board Oversight of Alternative Investment Strategies for Mutual Funds
    Drinker Biddle & Reath
  • Cybersecurity: What to Do Once There Has Been an Attack
    Dechert
7:00 p.m.

56th Annual GMM Dinner with Entertainment

Washington Hilton Ballroom

Featuring entertainment by Million Dollar Quartet

Million Dollar Quartet is the Tony Award–winning Broadway musical inspired by the true story of the famed recording session that brought together rock ’n’ roll icons Elvis Presley, Johnny Cash, Jerry Lee Lewis, and Carl Perkins for the first and only time. Enjoy a great selection of classic hits including “Blue Suede Shoes,” “Great Balls of Fire,” and “Walk the Line.”

Million Dollar Quartet

Million Dollar Quartet touring cast. Photo by Jeremy Daniel

Evening event sponsored by:

Dinner Sponsors


Thursday, May 22

7:00–11:00 a.m.

Conference Registration

Washington Hilton Foyer

7:30–8:45 a.m.

Breakfast Session: A Regulatory Address by Mary Jo White

Washington Hilton Ballroom

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

Mary Jo White

Mary Jo White
Chair
U.S. Securities and Exchange Commission

Breakfast sponsored by:

Breakfast Sponsors

9:00–10:15 a.m.

Advisers and Compliance: New Issues and New Approaches to Old Issues for Advisers and Subadvisers

Jefferson and Lincoln Rooms

This panel will focus on issues relating to fund advisers, including the use of subadvisers, and the CCO’s role in overseeing advisory issues. In addition to current issues impacting advisers, the panel will discuss conflicts of interest, risk, valuation, and board interaction.

Nancy Morris

Nancy Morris, Moderator
Chief Compliance Officer
Wellington Management Company, LLP

 

Lewis Collins
Senior Vice President and Senior Counsel
Affiliated Managers Group, Inc.

 

Robert R. Leveille
Chief Compliance Officer
Putnam Investments and Putnam Funds

 

Monica L. Parry
Of Counsel
Bingham McCutchen LLP

10:30–11:30 a.m.

Lightning Round

Jefferson and Lincoln Rooms

Back by popular demand! This panel of compliance experts will answer questions submitted by attendees, providing them with an opportunity to have their burning questions answered by a bevy of compliance experts. Conference attendees are encouraged to submit a question for the panel at the time of registration, though questions also may be submitted throughout the conference.

Tom Mistele

Tom Mistele, Moderator
Chief Operating Officer, Senior Counsel, and Director
Dodge & Cox

 

Richard J. Gorman
Chief Compliance Officer
Oakmark Funds

 

Nancy Morris
Chief Compliance Officer
Wellington Management Company, LLP

 

Charles C. S. Park
Chief Compliance Officer and Managing Director
BlackRock Fund Advisors

 

Monica L. Parry
Of Counsel
Bingham McCutchen LLP

 

Robert P. Scales
Chief Compliance Officer
Columbia Acorn Funds

 

Nicole Trudeau
Associate
K&L Gates LLP

 

John H. Walsh
Partner
Sutherland Asbill

 

Robert M. Zakem
Chief Compliance Officer and General Counsel
RidgeWorth Investments

11:30 a.m.–12:30 p.m.

Breakout Discussion Sessions

The breakout discussion sessions, another popular feature of the conference, have returned this year. These sessions provide an opportunity for conference attendees to discuss compliance challenges in an informal setting with their colleagues at similarly sized companies. While the discussion is facilitated by a compliance professional, it will focus on 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
Cardozo Room

Nicole Trudeau, Discussion Facilitator
Associate
K&L Gates LLP

Medium Fund Complexes
Fairchild Room

Monica L. Parry, Discussion Facilitator
Of Counsel
Bingham McCutchen LLP

Large Fund Complexes
Gunston Room

John H. Walsh, Discussion Facilitator
Partner
Sutherland Asbill

12:30–2:00 p.m.

Brunch

International Terrace

Additional sponsors:

2014 GMM Sponsors

SunGard Compliance USB     PWC Boston Financial Data Services DST State Street   Columbia Management