Program

Print version (pdf)

Tuesday, May 20

1:00–7:00 p.m.

Conference Registration

Washington Hilton Foyer

1:00–3:00 p.m.

Exhibit Hall Open

Exhibit Hall

Refreshments will be available.

3:00–3:30 p.m.

Welcome and Opening Remarks

Washington Hilton Ballroom

Marie A. Chandoha

Marie A. Chandoha
Chair
GMM Planning Committee
President and CEO
Charles Schwab Investment Management, Inc.

President’s Address

Paul Schott Stevens

Paul Schott Stevens
President and CEO
Investment Company Institute

3:30–4:45 p.m.

GMM Policy Forum

Washington Hilton Ballroom

Laurence D. Fink, BlackRock’s Chairman and CEO, will engage in a far-reaching discussion about global financial markets and key public policy issues with Paul Schott Stevens, ICI President and CEO.

Laurence D. Fink

Laurence D. Fink
Chairman and CEO
BlackRock

Paul Schott Stevens

Paul Schott Stevens
President and CEO
Investment Company Institute

5:00–7:00 p.m.

Welcome Reception and Legal Forum

Exhibit Hall

Featuring GMM’s Fourth Annual Capital Chef Classic

Sponsored by:

Compliance Science

At this fun event, three critically acclaimed chefs will compete in a cook-off. After the competition, the chefs will participate in a book signing, and the following books will be available for sale.

  • Baby Love: Healthy, Easy, Delicious Meals for Your Baby and Toddler by Geoff Tracy
  • Crazy Good Italian: Big Flavors, Small Plates by Mike Isabella
  • Pati’s Mexican Table: The Secrets of Mexican Home Cooking by Pati Jinich

Chefs

Legal Forum Presentations

The welcome reception will also feature the following Legal Forum presentations.

  • Regulatory Initiatives and Enforcement Cases
    Cipperman & Company
  • Building Your Gateway to Latin American Investors
    BNP Paribas


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

7:30–8:45 a.m.

Buffet Breakfast with Exhibitors

Exhibit Hall

7:30–8:45 a.m.

Interactive Breakfast Discussion Session

Closed to the media

Buffet breakfast will be available.

Please note that the GMM and Operations and Technology Conference breakfast discussion sessions are expected to fill early and admission will be on a first-come, first-served basis. You may not receive your first choice of sessions.

Intermediary Oversight and the Role of the Financial Intermediary Controls and Compliance Assessment (FICCA) 
Cardozo Room (Terrace Level)

Stuart Bateman, Discussion Co-Leader
Senior Vice President
Franklin Templeton Investments

Timothy O’Sullivan, Discussion Co-Leader
Director, Regulatory and Capital Markets
Deloitte & Touche

9:00–10:15 a.m.

GMM Leadership Panel: Serving Investors in an Evolving World

Washington Hilton Ballroom

A cross section of industry leaders will explore various strategies and factors influencing the fund business and how we serve our shareholders.

Edward Bernard

Edward Bernard, Moderator
Vice Chairman
T. Rowe Price Group

Dana M. Emery

Dana M. Emery
President and CEO
Dodge & Cox

Martin L. Flanagan

Martin L. Flanagan
President and CEO
Invesco Ltd.

Daria L. Foster

Daria L. Foster
Managing Partner
Lord, Abbett & Co. LLC

William F. “Bill” Glavin

William F. “Bill” Glavin
Chairman
OppenheimerFunds

10:30–11:45 a.m.

Welcoming Remarks

Georgetown Room

Kathy Joaquin

Kathleen C. Joaquin
Chief Industry Operations Officer
Investment Company Institute

Operations and Technology Leadership Roundtable

Georgetown Room

Operations and technology leaders from the fund industry will explore business priorities and key challenges.

Barry Benjamin

Barry Benjamin, Moderator
U.S. and Global Asset Management Leader
PricewaterhouseCoopers LLP

Maureen Leary-Jago

Maureen Leary-Jago
President
MFS Service Center

Christopher “Chris” Perretta

Christopher “Chris” Perretta
Executive Vice President and Chief Information Officer
State Street Corporation

Matthew Walker

Matthew Walker
Principal
Operations and Technology Group
Vanguard Financial Advisor Services

11:45 a.m.–12:45 p.m.

Reception

Exhibit Hall

12:45–2:15 p.m.

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

Closed to the media
Lincoln and Jefferson Rooms

This panel, jointly sponsored with the Compliance Programs Conference, will focus on the 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

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

Basil Fox

Basil Fox
President
Franklin Templeton Investor Services

Kelly Whetstone

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

4:00–5:15 p.m.

Fund Distribution: Evolving Opportunities and Challenges

Georgetown Room

This panel, featuring fund industry distribution leaders, will explore topics such as:

  • Future wants, needs, and demands of distribution partners for service, support, product, etc.
  • Role of Operations in achieving/maintaining a competitive advantage
  • Role of data in transforming distribution
  • Convergence of institutional and intermediary business practices
George D. Riedel

T. Neil Bathon, Moderator
Managing Partner
FUSE Research Network

William Connoll

William Connolly
Head of Global Distribution
Putnam Investments

George D. Riedel

George D. Riedel
Head of Financial Institutions
T. Rowe Price Associates

Witkos

Matthew J. Witkos
President
Eaton Vance Distributors

5:15–7:00 p.m.

Reception and Legal Forum

Exhibit Hall

Specialty bar sponsored by:

Thomson Reuters

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.

The Evolving Cybersecurity Environment: An Operations and Technology Perspective

Georgetown Room

Carl Herberger

Jason M. Weinstein, Moderator
Partner
Steptoe & Johnson

Mark Clancy

Mark Clancy
Managing Director of Technology Risk Management
Corporate Information Security Officer
DTCC

Carl Herberger

Carl W. Herberger
Vice President, Security Solutions
Radware

Brandon Hines

Brandon Hines
Manager, Information Risk and Security
Dimensional Fund Advisors

10:30–11:30 a.m.

Moving U.S. Policy and Fiscal Objectives Forward

Washington Hilton Ballroom

Former U.S. Senator Olympia Snowe (R-ME) strongly supports bipartisan compromise to achieve policy and fiscal goals beneficial to the United States. In this GMM closing session, Snowe will be interviewed by Marie Chandoha, President and CEO of Charles Schwab Investment Management, about her views on how to end partisan obstructions and move policy and fiscal objectives forward.

Olympia Snowe

Olympia Snowe
Former member of U.S. Senate and House of Representatives

Marie Chandoha

Marie Chandoha
Chair
GMM Planning Committee
President and CEO
Charles Schwab Investment Management, Inc.

11:30 a.m.–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