Program

Thursday, May 2

Conference Registration

Marriott Ballroom Foyer

Buffet Breakfast with Exhibitors

Exhibit Hall

Featuring:

Join colleagues and GMM exhibitors for this fun and healthy start to the day. Wellness Works is an interactive health and fitness event that will take place in the Exhibit Hall from 7:45 to 8:15 a.m. This event will allow attendees to participate in a yoga class led by Jennifer Mercanti from Manulife Financial and network with exhibitors over a delicious and healthy breakfast.

Opening Remarks

Thurgood Marshall Ballroom

What’s Past Is Prologue: The Year in Review and What It Means for the Coming Year

Thurgood Marshall Ballroom

The opening panel of the conference will discuss regulatory events that have affected mutual funds and their advisers during the past year. This discussion will include any new regulatory requirements impacting the CCO’s function as well as the focus of the SEC’s inspection and enforcement staffs and what this means for funds and their advisers.

Andrew J. Bowden
Deputy Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Christopher Stanley
General Counsel
Loring Ward Group, Inc.

Philip Wellman
Vice President and Chief Compliance Officer
Massachusetts Mutual Life Insurance

Doing the Right Thing: Ensuring an Effective Framework for Conflicts Risk Governance

Thurgood Marshall Ballroom

This panel will focus on ensuring funds and advisers have an effective process to:

• identify, understand, and prioritize their conflicts of interest,
• address and mitigate those conflicts, and
• fully integrate conflict of interest considerations into the firm’s overall risk governance structure.

Dan Bender
Managing Director, Risk Consulting
KPMG LLP

Jeffrey A. Engelsman
Managing Director and Chief Compliance Officer
New York Life Investment Management LLC

Kenneth P. Martin 
Vice President, Compliance
OppenheimerFunds, Inc.

Reception

Exhibit Hall

Featuring a Book Signing by GMM Speakers

The following books will be available for sale:

• Every Nation for Itself: Winners and Losers in a G-Zero World by Ian Bremmer
• Beyond Our Means: Why America Spends While the World Saves by Sheldon Garon
• Red Capitalism: The Fragile Financial Foundation of China’s Extraordinary Rise by Carl E. Walter

Luncheon with Keynote Speaker: Lloyd C. Blankfein in Conversation with Paul Schott Stevens

Marriott Ballroom

Lloyd C. Blankfein, Chairman and CEO of The Goldman Sachs Group, will engage in a timely discussion with ICI President and CEO Paul Schott Stevens at the GMM luncheon. Topics will include:

• The state of the global economy
• The outlook for financial markets
• The impact of the regulatory environment both in Washington, DC, and overseas
• Key business challenges facing asset managers

	Lloyd C. Blankfein Chairman and CEO The Goldman Sachs Group
	Paul Schott Stevens President and CEO Investment Company Institute

Luncheon sponsored by:

Trust but Verify Part I: Oversight of Subadvisers

Thurgood Marshall Ballroom

This panel will focus on funds’ use of subadvisers and the role of the CCO in overseeing them. The panel will discuss issues to consider in hiring and utilizing subadvisers, including pointers for effectively overseeing subadvisory relationships.

Brooke Billick
Chief Compliance Officer 
Artisan Partners Limited Partnership

Michael L. Ceccato
Vice President
US Bancorp Fund Services, LLC

Rajib Chanda
Partner
Ropes & Gray LLP

Joint ICI Compliance Conference and IDC Workshop Panel: Trends in Omnibus Subaccounts and Implications for Compliance and Board Oversight

Thurgood Marshall Ballroom

This panel will discuss the impact on CCOs and fund boards of the ever-increasing trend to distribute fund shares through omnibus accounts. The panel will share the oversight challenges these arrangements present and issues that should be considered as the SEC continues to review such arrangements.

Sam Freedman
Independent Chair
OppenheimerFunds

Elizabeth R. Krentzman
Principal, U.S. Mutual Fund Leader
Deloitte & Touche LLP

Paulita A. Pike
Partner
K&L Gates LLP

Reception

Exhibit Hall

Featuring musical entertainment by the Key West Band. If you love Jimmy Buffett tunes and tropical rock, don’t miss this high-energy show!

Legal Forum Presentation

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

• Current Issues and Best Practices for Mutual Fund Platform Arrangements by Drinker Biddle & Reath LLP

55th Annual GMM Dinner

Marriott Ballroom

Featuring entertainment by the world-renowned Neil Diamond tribute band Super Diamond!

Enjoy the timeless music of pop icon Neil Diamond, performed by Super Diamond. The band delivers a high-octane show that includes the classics “Sweet Caroline,” “America,” “Song Sung Blue,” “Forever in Blue Jeans,” and many more. This is sure to be a fun performance; for a preview, please watch this video.

Evening event sponsored by:

Friday, May 3

Conference Registration

Marriott Ballroom Foyer

Breakfast Session: A Regulatory Address by Mary Jo White

Marriott Ballroom

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

Breakfast sponsored by:

Trust but Verify Part II: Valuation

Thurgood Marshall Ballroom

This panel will focus on the valuation processes used by funds and advisers to compute the daily NAV. In addition to discussing issues relating to fair valuation, such as the role of the board and the CCO in this process, the panel will provide pointers on overseeing and managing the relationship with pricing vendors.

Elizabeth Duggan
Managing Director
Interactive Data Corporation

Peter Finnerty
Partner
PricewaterhouseCoopers LLP

Peter Kucharski
Vice President, USMF Securities Valuation
State Street Corporation

Lightning Round

Thurgood Marshall Ballroom

This session, which has been a perennial part of the conference and is back by popular demand, consists of a panel of compliance experts who answer questions submitted by attendees, either in advance of or during the conference. It provides attendees 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.

Marguerite C. Bateman
Partner
Schiff Hardin LLP

Rajib Chanda
Partner
Ropes & Gray LLP

Elizabeth R. Krentzman
Principal, U.S. Mutual Fund Leader
Deloitte & Touche LLP

Nancy Morris
Chief Compliance Officer
Wellington Management Company, LLP

Pauline C. Scalvino
Chief Compliance Officer
The Vanguard Group, Inc.

Todd L. Spillane
Chief Compliance Officer
Invesco Management Group, Inc.

Anita Zagrodnik
Senior Vice President, Fund Administration and Chief Compliance Officer
Ariel Investments, LLC

Breakout Discussion Sessions

The breakout discussion sessions, another popular feature of the conference, also 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 those topics of interest to, or raised by, the persons participating in the session. Attendees may select whether to attend the session for small, medium, or large fund complexes.

Large Fund Complexes
Wilson Room A (Mezzanine Level)

Rajib Chanda, Discussion Facilitator
Partner
Ropes & Gray LLP

Medium Fund Complexes
Wilson Room B (Mezzanine Level)

Marguerite C. Bateman, Discussion Facilitator
Partner
Schiff Hardin LLP

Small Fund Complexes
Wilson Room C (Mezzanine Level)

Todd Cipperman, Discussion Facilitator
Managing Member
Cipperman & Company

Brunch

Virginia Room