Thursday, May 10
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| 7:00 a.m.–6:30 p.m. |
Marriott Ballroom Foyer
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| 7:30–8:45 a.m. |
Exhibit Hall
Featuring:
Join your colleagues and GMM exhibitors for this fun and healthy start to the day.
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8:45–9:00 a.m.
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Robert C. Grohowski
Senior Counsel
Investment Company Institute
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| 9:00–10:15 a.m. |
Keeping up with current events is imperative for compliance professionals. This panel will discuss issues—including those arising from new regulations issued by the SEC and FINRA—that have impacted the compliance function in mutual fund complexes over the past year. These include, among others, the SEC’s new pay-to-play and whistleblower rules, FINRA’s new Operations Professional rule, concerns relating to insider trading/expert networks, the SEC’s increasing focus on risk governance, and the SEC’s enforcement initiatives. In addition to highlighting these issues, the panel will discuss the challenges that the new rules have presented and how they have been addressed.
Robert P. Scales, Moderator
Chief Compliance Officer
Columbia Acorn Funds
Stephen M. Benham
Compliance Director
HSBC Global Asset Management (USA) Inc.
Richard J. Gorman
Chief Compliance Officer
Oakmark Funds
John H. Walsh
Partner
Sutherland Asbill & Brennan
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| 10:30–11:45 a.m. |
Oversight of intermediaries distributing fund shares and maintaining account records of fund shareholders continues to be a challenge for chief compliance officers, particularly as more accounts are held in omnibus positions and regulators seem to pursue greater account transparency. This panel will discuss those challenges and provide insights on how to effectively and efficiently oversee distributors of fund shares and fund recordkeepers.
Robert M. Zakem, Moderator
Chief Compliance Officer and General Counsel
RidgeWorth Investments
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Lynne M. Cannon
Chief Compliance and Administrative Officer
Stratton Management Company
Louis J. Dempsey
Founder and President
Renaissance Regulatory Services
Mark C. Trenchard
Director of Operational Compliance
Putnam Investment Management
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| 11:45 a.m.–12:45 p.m. |
Exhibit Hall
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12:45–2:15 p.m.
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Marriott Ballroom
Howard Schultz
Chairman, President, and CEO
Starbucks
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Luncheon sponsored by:
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| 2:30–3:45 p.m. |
Effective oversight of a fund’s service providers, such as subadvisers, custodians, and pricing vendors, involves striking the right balance based on the risk presented by the service provider, the information available to the fund regarding such provider and its operations, and the fund’s compliance resources. This panel will discuss striking this balance and sources and types of information that can enable fund compliance personnel to be more effective and efficient in the oversight process.
Matt Calabro, Moderator
Deputy Chief Compliance Officer
Delaware Investments
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Amy D. Duling
President
DundeeWealth Funds
Thomas D. Jones III
Chief Compliance Officer
Hartford Investment Financial Services, LLC
Kevin O’Connell
Principal
PricewaterhouseCoopers, LLP
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4:00–5:15 p.m.
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Chief among the risks to fund complexes are the risks associated with litigation, regulatory proceedings, and operational errors. This panel will discuss controls and practices for minimizing litigation and regulatory risks, as well as controls for minimizing losses resulting from portfolio management and other operational errors. The panel will include an array of perspectives, including those of directors overseeing the fund, a fund chief compliance officer, outside counsel, and an external service provider providing insurance services to funds.
Pauline C. Scalvino, Moderator
Chief Compliance Officer
The Vanguard Group
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Daniel T. Steiner
Executive Vice President and General Counsel
ICI Mutual Insurance Company
Michael R. Young
Partner
Willkie Farr & Gallagher LLP
Additional panelist TBD
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| 5:00–7:00 p.m. |
Exhibit Hall
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| 7:00 p.m. |
Marriott Ballroom
Featuring Entertainment By:
Come celebrate this “twist-and-shout extravaganza” featuring Beatles hits from the early days of the Fab Four to their later classics!
Evening event sponsored by:
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Friday, May 11
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| 7:00–11:00 a.m. |
Marriott Ballroom Foyer
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| 7:30–8:45 a.m. |
Breakfast will be served until 8:00 a.m.
Marriott Ballroom
Mary Schapiro
Chairman
U.S. Securities and Exchange Commission
Breakfast sponsored by:
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9:00–10:15 a.m.
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This session, which returns by popular demand, consists of a panel of chief compliance officers and other compliance experts. The panel will answer questions relating to compliance requirements or challenges that have been posed by the audience either in advance of the conference or during this session. We encourage conference attendees to submit a question for this panel at the time of registration.
James M. Davis, Moderator
Director, Global Compliance
Franklin Templeton
Marguerite C. Bateman
Partner
Schiff Hardin LLP
Matt Calabro
Deputy Chief Compliance Officer
Delaware Investments
Kevin O’Connell
Principal
PricewaterhouseCoopers, LLP
Robert P. Scales
Chief Compliance Officer
Columbia Acorn Funds
Pauline C. Scalvino
Chief Compliance Officer
The Vanguard Group, Inc.
Robert M. Zakem
Chief Compliance Officer and General Counsel
RidgeWorth Investments
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10:30–11:30 a.m.
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Marriott Ballroom
This session will offer an entertaining and instructive discussion of the parallels of leadership in film production and asset management.
Mellody Hobson
President
Ariel Investments
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George Lucas
Founder, Producer, and Director
Lucasfilm, Ltd.
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Additional panelist TBD
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11:45 a.m.–12:45 p.m.
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Also back by popular demand are the breakout discussion sessions. These sessions provide an opportunity for conference participants 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 sessions. Attendees may select whether to attend the session for small, medium, or large fund complexes.
Large Fund Discussion Facilitator
Kevin O’Connell
Principal
PricewaterhouseCoopers, LLP
Medium Fund Discussion Facilitator
Marguerite C. Bateman
Partner
Schiff Hardin LLP
Small Fund Discussion Facilitators
John H. Walsh
Partner
Sutherland Asbill & Brennan
Anita Zagrodnik
Chief Compliance Officer
Ariel Investments LLC
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