2013 Mutual Funds and Investment Management Conference
March 17–20, 2013
Palm Desert, CA

Program

Sunday, March 17

3:00–7:00 p.m.

Conference Registration

5:00–7:00 p.m.

Welcome Reception

Monday, March 18

7:00 a.m.–4:30 p.m.

Conference Registration

7:00 a.m.–8:00 a.m.

Continental Breakfast

8:00–8:10 a.m.

Welcoming Remarks

Frank J. Nasta
Managing Director
J.P. Morgan Asset Management

8:10–8:30 a.m.

General Counsel’s Address

Karrie McMillan
General Counsel
Investment Company Institute

8:30–9:00 a.m.

Keynote Address

Norm Champ
Director
Division of Investment Management
U.S. Securities and Exchange Commission

9:00–10:15 a.m.

It’s a Small World After All: How Non-U.S. Regulators Affect Your Business

Susan M. Olson, Moderator
Senior Counsel, International Affairs
Investment Company Institute

Peter Bonanno
Managing Director and General Counsel
Allianz Global Investors U.S. Holdings LLC

Norm Champ
Director
Division of Investment Management
U.S. Securities and Exchange Commission

Stuart E. Fross
Partner
K&L Gates LLP

Craig S. Tyle
Executive Vice President and General Counsel
Franklin Templeton Investments

10:15–10:45 a.m.

Refreshment Break

10:45 a.m.–Noon

Closer to Home: U.S. Regulatory Developments Affecting Funds

Karrie McMillan, Moderator
General Counsel
Investment Company Institute

Norm Champ
Director
Division of Investment Management
U.S. Securities and Exchange Commission

Stuart H. Coleman
Partner
Stroock & Stroock & Lavan LLP

Heidi W. Hardin
Senior Vice President and General Counsel
Janus Capital Management LLC

Robert M. Zakem
Chief Compliance Officer and General Counsel
RidgeWorth Capital Management, Inc.

Noon–1:15 p.m.

Lunch on Your Own

1:15–2:30 p.m.

Concurrent Panels

Session 1-A:  Beyond the Usual Suspects: New Issues in Fund Litigation

Daniel T. Steiner, Moderator
Executive Vice President and General Counsel
ICI Mutual Insurance Company

Phillip S. Gillespie
General Counsel and Executive Vice President
State Street Global Advisors

Mark Holland
Partner
Goodwin Procter LLP

Trevor W. Swett III
Member
Caplin & Drysdale

Session 1-B:  Current Tax Developments

Keith Lawson, Moderator
Senior Counsel, Tax Law
Investment Company Institute

Robert J. Creaney
Executive Director
Morgan Stanley

Jonathan G. Davis
Vice President, Assistant Treasurer of Tax Oversight
Fidelity Investments

Quyen P. Huynh
Senior Counsel
Office of the Associate Chief Counsel (International)
Internal Revenue Service/U.S. Department of the Treasury

William P. Zimmerman
Partner
Morgan, Lewis & Bockius LLP

Session 1-C:  Money Market Funds: The Regulatory Hot Potato

Jane G. Heinrichs, Moderator
Senior Associate Counsel, Securities Regulation
Investment Company Institute

Dave Fishman
Managing Director
Goldman Sachs & Co.

Rick Holland
Managing Director
Charles Schwab Investment Management, Inc.

Stephen Keen
Counsel
Reed Smith LLP

Craig M. Lewis
Director and Chief Economist
Division of Risk, Strategy, and Financial Innovation
U.S. Securities and Exchange Commission

Session 1-D:  You Mean I’m a What?!  CPO Registration for Fund Advisers Under CFTC Rule 4.5

Karrie McMillan
General Counsel
Investment Company Institute

Paul B. Goucher
Vice President and Chief Counsel
Ameriprise Financial, Inc.

Cary J. Meer
Partner
K&L Gates LLP

Nancy M. Morris
Chief Compliance Officer
Wellington Management Company, LLP

2:30–2:45 p.m.

Refreshment Break

2:45–4:00 p.m.

Concurrent Panels

Session 2-A: Board Issues Roundtable: Independent Counsel Perspectives

Amy B. R. Lancellotta, Moderator
Managing Director
Independent Directors Council

Marguerite C. Bateman
Partner
Schiff Hardin LLP

Thomas S. Harman
Partner
Bingham McCutchen LLP

Bruce G. Leto
Partner and Chair of Investment Management Group
Stradley Ronon Stevens & Young, LLP

Gregory D. Sheehan
Partner
Ropes & Gray LLP

Session 2-B: Reading ERISA Tea Leaves for Fund Lawyers

Anna A. Driggs, Moderator
Associate Counsel, Pension Regulation
Investment Company Institute

Bradford P. Campbell
Counsel
Drinker Biddle

Robert J. Doyle
Vice President, External Affairs
Prudential Financial, Inc.

Lisa Hund Lattan
Partner
Utz & Lattan, LLC

Session 2-C: Rules of the Road: Side-by-Side Management of UCITS and ’40 Act Funds

Christopher D. Christian, Moderator
Partner
Dechert LLP

William E. Corson
Chief Compliance Officer
Manulife Asset Management (US) LLC

James S. Hamman Jr.
Director
Artisan Partners Global Funds plc

Timothy B. Parker
General Counsel
Matthews International Capital Management, LLC

Session 2-D: It Could Happen To You, Too: Lessons for Fund Complexes from Superstorm Sandy

Lawrence H. Kaplan, Moderator
Partner and General Counsel
Lord Abbett & Co. LLC

Wayne Behrens
Vice President
Enterprise Business Resilience
Franklin Templeton Investments

Elizabeth Duggan
Managing Director, Global Evaluated Services
Interactive Data Corporation

Eileen Gilfedder
Managing Director
BNY Mellon Asset Servicing

Tuesday, March 19

7:00 a.m.–1:15 p.m.

Conference Registration

7:00 a.m.–8:00 a.m.

Continental Breakfast

8:00–9:15 a.m.

Developing Products for the New Financial Era:  Opportunities and Challenges

Brian Reid, Moderator
Chief Economist
Investment Company Institute

Joseph A. Carrier
Chief Risk Officer
Legg Mason, Inc.

Amy D. Duling
Senior Vice President and Chief Compliance Officer
DundeeWealth US, LP

Michael Perry
Managing Director, Wealth Management
UBS

Thomas S. Schreier Jr.
Vice Chairman, Wealth Management
Nuveen Investments

9:15–9:45 a.m.

Refreshment Break

9:45–11:00 a.m.

Concurrent Panels

Session 3-A: I’m Not a Lawyer but I Play One on TV: The Increasing Role of Economists in Regulatory Policy

Sean Collins, Moderator
Senior Director, Industry and Financial Analysis
Investment Company Institute

Barry P. Barbash
Partner
Willkie Farr & Gallagher LLP

Michael J. Downer
Senior Vice President and Secretary
Capital Research and Management Company

Satish M. Kini
Partner
Debevoise & Plimpton, LLP

Erik Sirri
Professor of Finance
Babson College

Session 3-B: The Omnibus Environment: Operational and Oversight Considerations

Kathleen C. Joaquin, Moderator
Chief Industry Operations Officer
Investment Company Institute

Stuart J. Bateman
Senior Vice President
Franklin Templeton Investments

Peter G. Callahan
Senior Vice President
AllianceBernstein Investor Services, Inc.

William J. Galvin
Managing Director
Invesco Investment Services, Inc.

Session 3-C: Variable Insurance Products: Innovation and Challenges in an Evolving Environment

Patricia Louie, Moderator
Executive Vice President and General Counsel
AXA Equitable Funds Management Group, LLC

Paul G. Cellupica
Chief Counsel
MetLife, Inc.

Susan Nash
Associate Director
Division of Investment Management
U.S. Securities and Exchange Commission

Stephen E. Roth
Partner
Sutherland Asbill & Brennan LLP

Tamiko Toland
Managing Director
Retirement Income Consulting
Strategic Insight

11:00–11:30 a.m.

Refreshment Break

11:30 a.m.–12:45 p.m.

Concurrent Panels

Session 4-A: Accounting and Auditing Update

Brian W. Wixted, Moderator
Senior Vice President and Treasurer
OFI Global Asset Management, Inc.

Martin F. Baumann
Chief Auditor and Director of Professional Standards
Public Company Accounting Oversight Board

Jaime L. Eichen
Chief Accountant
Division of Investment Management
U.S. Securities and Exchange Commission

Sean McKee
National Audit Leader–Investment Management
KPMG LLP

Session 4-B: Swaps Regulation: The New Reality for Funds

Jennifer S. Choi, Moderator
Senior Associate Counsel, Securities Regulation
Investment Company Institute

Susan C. Ervin
Partner
Davis Polk & Wardwell LLP

Tracey Jordal
Executive Vice President, Attorney
Legal and Compliance
PIMCO Funds

William C. Thum
Principal
The Vanguard Group, Inc.

Session 4-C: Compliance Never Sleeps: Global Compliance Challenges Facing Funds

Robert C. Grohowski, Moderator
Senior Counsel, Securities Regulation
Investment Company Institute

Kristin Collins
Vice President and Senior Counsel
MFS Investment Management

Alan Fish
Partner, Americas Asset Management
Ernst & Young LLP

Carl H. Loewenson Jr.
Partner
Morrison & Foerster LLP

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

Wednesday, March 20

7:00–11:30 a.m.

Conference Registration

7:00 a.m.–8:00 a.m.

Continental Breakfast

8:00–9:15 a.m.

OCIE and Enforcement: Current Priorities and What They Mean for the Fund Industry

Tamara K. Salmon, Moderator
Senior Associate Counsel, Securities Regulation
Investment Company Institute

Thomas Biolsi
Principal
PricewaterhouseCoopers LLP

George S. Canellos
Acting Director
Division of Enforcement
U.S. Securities and Exchange Commission

Carlo V. di Florio
Director
Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Charles A. Etherington
Senior Vice President and General Counsel
American Century Investment Management, Inc.

9:15–9:45 a.m.

Refreshment Break

9:45–11:00 a.m.

Ethics and Finance: Some Perspectives from Law, History, and Science

Frank Partnoy
Director
Center for Corporate and Securities Law, University of San Diego

11:00 a.m.

Conference Adjourns

(Boxed lunches available)