Program

The Mutual Fund Compliance Programs Conference is closed to the media.

Wednesday, May 6

Noon–7:00 p.m. | Marriott Ballroom Foyer

Conference Registration

Noon–2:00 p.m.

Exhibit Hall Open

Refreshments will be available.

2:00–2:50 p.m. | Marriott Ballroom

Jamie Dimon in Conversation with Paul Schott Stevens

Jamie
Dimon

Chairman and CEO
JPMorgan Chase

Paul Schott
Stevens

President and CEO
Investment Company Institute

2:50–3:05 p.m. | Marriott Ballroom

Welcoming Remarks

Lisa M.
Jones

Chair
GMM Planning Committee

Head of Americas and President and CEO
Amundi Pioneer Asset Management USA

3:05–3:40 p.m. | Marriott Ballroom

The Chinese Asset Management Landscape

William F. “Ted”
Truscott

CEO
Columbia Threadneedle Investments

Additional speaker TBA

3:40–4:30 p.m. | Marriott Ballroom

Data-Driven Investing: What the Future May Hold

Tammer
Kamel

Founder and CEO
Quandl

Joe
Boerio

Senior Vice President, Chief Technology Officer, and Head of Investment Management Data Science and FinTech
Franklin Templeton

4:30–7:00 p.m. | Exhibit Hall C

Welcome Reception and Legal Forum

Thursday, May 7

7:00 a.m.–6:30 p.m. | Marriott Ballroom Foyer

Conference Registration

7:30–8:45 a.m.

Breakout Discussion Sessions

These sessions are closed to the media and regulators.

Buffet breakfast will be available.

These sessions, which are a perennial part of the conference, give attendees an opportunity to discuss compliance challenges in an informal setting with their colleagues at similarly sized companies. The discussion will be facilitated by an outside counsel or compliance professional, but it will focus on topics of interest to, or raised by, session participants. Attendees may select whether to attend the session for small, medium, or large fund complexes.

Small Funds

Monica L.
Parry
Facilitator

Of Counsel
Morgan Lewis & Bockius LLP

Medium Funds

Bibb L.
Strench
Facilitator

Partner
Thompson Hine LLP

Large Funds

Sara P.
Crovitz
Facilitator

Partner
Stradley Ronon Stevens & Young, LLP

9:00–9:20 a.m. | Marriott Ballroom

President’s Address

Paul Schott
Stevens

President and CEO
Investment Company Institute

9:30–10:10 a.m. | Thurgood Marshall Ballroom

Regulatory Update: What’s New?

Our kickoff panel for the conference will provide an overview of regulatory issues affecting CCOs and senior compliance professionals over the past year, as well as issues that may be on the horizon.

Donna
Barrette
Moderator

CCO
Professionally Managed Portfolios

Sara P.
Crovitz

Partner
Stradley Ronon Stevens & Young, LLP

Dorothy M.
Donohue

Deputy General Counsel, Securities Regulation
Investment Company Institute

10:20–11:35 a.m. | Thurgood Marshall Ballroom

CCO Hot Topics: Where Should We Be Focused?

This panel will explore a variety of topics that compliance professionals are currently focused on—for example, how the SEC’s regulatory agenda is affecting registrants, the impact of OCIE on setting compliance priorities, and lessons learned from recent SEC enforcement actions.

Kathryn
Primas
Moderator

CCO
Dodge & Cox

Thomas C.
Bogle

Partner
Dechert LLP

Todd
Kuehl

CCO
Legg Mason

Christy
Sears

CCO
American Beacon Funds

Cathy M.
Stoner

CCO
Ave Maria Mutual Funds

11:35 a.m.–12:20 p.m. | Exhibit Hall C

Reception and Legal Forum

12:20–2:00 p.m. | Marriott Ballroom

Luncheon with Keynote Speaker Cathy Engelbert

Cathy Engelbert, commissioner of the WNBA and former CEO of Deloitte, will talk with ICI Chairman George Gatch about the challenges and opportunities facing the WNBA and compare and contrast her current sports leadership role to the 33 years she spent in the corporate world.

Cathy
Engelbert

Commissioner
WNBA

Former CEO
Deloitte

George C. W.
Gatch

Chairman
Investment Company Institute

CEO, Global Funds Management
JP Morgan Asset Management

2:25–3:15 p.m. | Thurgood Marshall Ballroom

Conflicts of Interest: What’s Changed?

In light of the continued regulatory focus on conflicts of interest, including through SEC enforcement actions, this panel will discuss the process of identifying conflicts of interest and, once identified, addressing them. The panel will also explore the evolution of this process as the business and its relationships evolve.

Wei
Zhao
Moderator

CCO
Penn Mutual Asset Management, LLC

Joseph P.
Kelly

General Counsel and CCO
Dunham & Associates Investment Counsel, Inc.

Monica L.
Parry

Of Counsel
Morgan Lewis & Bockius LLP

Herbert Y.
Poon

Senior Vice President, Senior Counsel, and CCO
Capital Research and Management Company

3:25–4:40 p.m. | Thurgood Marshall Ballroom

Vendor Oversight: When Is Enough Enough?

This panel will discuss the challenges that compliance professionals face with respect to their oversight obligations. These challenges include determining, from a regulatory and business perspective, the appropriate level of oversight for the type of vendor and addressing issues relating to third- and fourth-party vendors.

Jeffrey A.
Engelsman
Moderator

Managing Director and Global CCO
The TCW Group, Inc.

Lazaro
Barreiro

Director for Governance and Operational Risk Policy
Operational Risk Policy Division
Office of the Comptroller of the Currency

Stephanie
Beran

Managing Director, Enterprise Risk Management
Legg Mason & Co., LLC

Gazala
Khan

Fund CCO
Matthews Asia

Laurene E.
MacElwee

Vice President, Fund and Advisor Compliance
Pacific Life Fund Advisors LLC

Bibb L.
Strench

Partner
Thompson Hine LLP

4:40–6:30 p.m. | Exhibit Hall C

Reception and Legal Forum

7:00–10:00 p.m.

2020 GMM Dinner Reception
Smithsonian National Museum of Natural History

Enjoy excellent networking, cocktails, and hors d’oeuvres while exploring the exhibition space at the Smithsonian National Museum of Natural History.

Bus transportation from the Marriott Wardman Park to the museum will begin at 6:30 p.m. Buses will be departing from the 24th Street lobby entrance of the hotel.

Friday, May 8

7:00–10:00 a.m. | Marriott Ballroom Foyer

Conference Registration

7:30–8:45 a.m. | Marriott Ballroom

Regulatory Breakfast Session: A Conversation with Randal K. Quarles

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

Randal K.
Quarles

Vice Chair for Supervision
Federal Reserve Board

Chair
Financial Stability Board

Paul Schott
Stevens

President and CEO
Investment Company Institute

9:00–9:50 a.m. | Thurgood Marshall Ballroom

Lightning Round

It’s back again by popular demand! This session will give you an opportunity to have your burning questions answered by a bevy of compliance experts. Attendees are encouraged to submit a question for the panel at the time of registration, though questions may also be submitted throughout the conference.

Frank
Knox
Moderator

CCO
John Hancock

Donna
Barrette

CCO
Professionally Managed Portfolios

Thomas C.
Bogle

Partner
Dechert LLP

Jeffrey A.
Engelsman

Managing Director and Global CCO
The TCW Group, Inc.

Katherine M.
Primas

CCO
Dodge & Cox

Wei
Zhao

CCO
Penn Mutual Asset Management, LLC

10:00–10:50 a.m. | Marriott Ballroom

Election Insights 2020

Join POLITICO’s senior Washington correspondent Anna Palmer and senior writer Jake Sherman for this behind-the-scenes look at the American presidency, political divisions, and power battles.

James
McNamara
Moderator

President
Goldman Sachs Mutual Funds

Anna
Palmer

Senior Washington Correspondent
POLITICO

Coauthor
The Hill to Die On

Jake
Sherman

Senior Washington Writer
POLITICO

Coauthor
The Hill to Die On

 

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