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2021 Virtual Tax and Accounting Conference Program

September 21 // September 28 // October 5

Program

All program times are shown in eastern time (ET).

Tuesday, September 21 | Tuesday, September 28 | Tuesday, October 5

September 21
 

10:00–10:50 a.m.

Sponsored Thought Leadership Sessions
  • Grant Thornton

    Unpacking the ESG Complexity of Investment Companies

  • Taxand

    Withholding Tax Reclaims in Europe: Down the Rabbit Hole!

11:00–11:05 a.m.

Welcoming Remarks

JON DAVIS
Assistant Treasurer
Fidelity Investments
Chair, ICI Tax Committee
 

11:05–11:30 a.m.

Keynote Address

ERIC J. PAN
President and CEO
Investment Company Institute
 

11:30 a.m.–12:30 p.m.

Biden Administration’s Legislative and Regulatory Agenda
  • Tax legislation and priorities
  • ESG proposals
  • Diversity, equity, and inclusion proposals 

ROSLYN BROOKS, Moderator
US Public Policy Leader
PwC US  

BRENT FIELDS
Acting Deputy Director and Chief Counsel
Division of Investment Management
US Securities and Exchange Commission

MARC GERSON
Member
Miller & Chevalier

KATHLEEN MELLODY
Senior Government Affairs Officer
Investment Company Institute
 

12:30–1:00 p.m.

Break
 

1:00–2:00 p.m.

Investment in Digital Assets
  • Fund investment in cryptocurrency and other digital assets
  • Tax and accounting issues
  • Regulatory and custody issues

JESSICA REIF-CAPLAN, Moderator
Vice President, Tax Counsel
Fidelity Investments

MATTHEW BABINSKY
Assistant General Counsel
Van Eck Associates Corporation 

JOE RILEY
Partner
Dechert LLP 

LINARDS STRAUSS
Managing Director
Deloitte LLP  
 

2:00–2:15 p.m.

Break
 

2:15–3:55 p.m.

(Break from 3:15–3:25 p.m.)

Concurrent Session A | Current SEC/Fund Accounting Developments
  • SEC Division of Investment Management Chief Accountant’s update
  • AICPA Investment Company Expert Panel update
  • FASB agenda

TOAI CHIN, Moderator
Head of Fund Accounting Policy
Vanguard
Chair, ICI Accounting/Treasurers Committee

CHRIS BRABHAM
Partner 
PwC
Chair, AICPA Investment Companies Expert Panel 

MATT GIORDANO
Partner
KPMG

JENSON WAYNE 
Chief Accountant 
Division of Investment Management 
US Securities and Exchange Commission 
 

2:15–3:55 p.m.

(Break from 3:15–3:25 p.m.)

Concurrent Session B | RIC Tax Bootcamp: Introduction to Taxation of RICs
  • Qualification issues
  • Distribution issues
  • Information reporting

MEGAN WOOD, Moderator
Partner
PwC

CATHERINE TAYLOR
Vice President and Tax Counsel
Ameriprise Financial

LIZ VAUGHN
Head of Fund Tax, Fixed Income
Vanguard

ROGER WISE 
Partner
Willkie Farr & Gallagher 
 


September 28
 

10:00–10:50 a.m.

Sponsored Thought Leadership Sessions
  • Confluence

    When an Interconnected Digital Ecosystem Spans Across the Investment Lifecyle, Magic Happens

  • Deloitte

    Deloitte’s Fair Valuation Pricing Survey, 19th Edition

  • SS&C/Cohen & Co.

    Operational Considerations for Interval Funds

  • Workiva

    Addition Through Subtraction: How to Streamline Your Processes to Improve Shareholder Communications and Transparency

11:00–11:05 a.m.

Welcoming Remarks

TOAI CHIN
Head of Fund Accounting Policy
Vanguard
Chair, ICI Accounting/Treasurers Committee
 

11:05 a.m.–12:05 p.m.

Diversity, Equity, and Inclusion: State of the Industry
  • Industry initiatives
  • Successes and challenges

TRACEY WINGATE, Moderator
Chief of Staff to President and CEO
Investment Company Institute

REGINA CURRY
Chief Diversity Officer
Franklin Templeton 

BROOKE FAPOHUNDA
Partner, Chief Sustainability Officer
Lord Abbett  

PAULINE HAWKES-BUNYAN
Executive Director, Business: Risk, Culture, and Resilience
The Investment Association 
 

12:05–12:30 p.m.

Break
 

12:30–1:30 p.m.

ETFs: Trends, Conversions, and More
  • Overview of new structures
  • Launching or converting to an ETF
  • Tax, accounting, and operations considerations

JANE HEINRICHS, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

ALEX BRADFORD
Assistant Chief Accountant
Division of Investment Management
US Securities and Exchange Commission  

STACY FULLER 
Partner
K&L Gates  

FRANK KOUDELKA
Senior Vice President 
State Street  

AMY SNYDER 
Tax Principal
EY  
 

1:30–1:45 p.m.

Break
 

1:45–2:45 p.m.

Concurrent Session C | Implementation of New SEC Rules
  • Rule 2a-5: good faith determinations of fair value
  • Rule 18f-4: use of derivatives by investment companies
  • Implementation issues

JULIE ROACH, Moderator
Treasurer
Diamond Hill Funds
Chair, ICI Security Valuation Operations Committee

ALEXIS CUNNINGHAM
Assistant Chief Accountant 
Division of Investment Management  
US Securities and Exchange Commission 

KEVIN FRANK 
AVP, Fund Operations and Accounting Policy 
Jackson National Asset Management  

CILLIAN LYNCH 
Partner
Stradley Ronon  

CHRIS MAHER 
Deputy Treasurer
Fidelity Management & Research Company LLC 
 

1:45–2:45 p.m.

Concurrent Session D | Current Tax Update
  • Update on EU reclaims guidance and closing agreements
  • Reclaims and country-specific issues
  • OECD update

KATIE SUNDERLAND, Moderator
Assistant General Counsel
Investment Company Institute

DIANE JOHNSON 
Tax Director 
Harbor Capital Advisors, Inc.  

SUNEETA KRISHNAN
Vice President, Mutual Fund Administration, Treasury and Tax  
Virtus Investment Advisors, Inc.  

REBECCA LEE 
Principal 
PwC  
 


October 5
 

10:00–10:50 a.m.

Sponsored Thought Leadership Session

11:00–11:05 a.m.

Welcoming Remarks

GREG SMITH
Senior Director
Investment Company Institute
 

11:05 a.m.–12:05 p.m.

Director Perspectives
  • Oversight of financial reporting, audit, and tax
  • Oversight of new regulatory rules and initiatives
  • Audit Committee relationships with tax and accounting professionals

LISA HAMMAN, Moderator
Associate Managing Director
Independent Directors Council

BARRY BENJAMIN
Trustee 
Morningstar Funds Trust 

VANESSA CHANG 
Independent Director
American Funds

DAVID TRERICE
Partner
PwC
 

12:05–12:30 p.m.

Break
 

12:30–1:30 p.m.

COVID-19 Retrospective: Industry Report Card and Lessons Learned
  • Impact on tax, accounting, and operations
  • Employee wellness and engagement
  • Return to work strategies

MARTY BURNS, Moderator
Chief Industry Operations Officer
Investment Company Institute

TAMMIRA PHILIPPE
President and CEO
Bridgeway Capital Management, LLC  

BHUSHAN SETHI
Joint Global Leader, People and Organization 
PwC 

RHEETA WISE 
President
MFS Service Center, Inc. 
Chair, ICI Operations Committee  
 

1:30–1:45 p.m.

Break
 

1:45–2:45 p.m.

Breakout Discussion Group A | SPACs and PIPEs

ELIZABETH BAYSTON, Discussion Group Leader 
Director of Accounting Policy
MFS Investment Management 

SCOTT BORCHARDT, Discussion Group Leader 
Partner
PwC  

MARCUS SPECTOR, Discussion Group Leader 
Deputy Treasurer
Fidelity Investments  
 

Breakout Discussion Group B | ETF Conversions: Tax Issues

JOY LOPEZ, Discussion Group Leader 
Vice President, Head of Investment Tax 
Dimensional Fund Advisors

JOE RILEY, Discussion Group Leader 
Partner
Dechert LLP  
 

Breakout Discussion Group C | N-PORT/N-CEN

MICHAEL HEBERT, Discussion Group Leader 
Head of Global Fund Finance  
Lord, Abbett & Co. LLC 

KASEY PHILLIPS, Discussion Group Leader 
Vice President, Assistant Treasurer
MFS Investment Management  

CHUCK PULSFORT, Discussion Group Leader 
Director
BlackRock, Inc.   
 

2:45–2:50 p.m.

Closing Remarks

JOY LOPEZ
Vice President, Head of Investment Tax
Dimensional Fund Advisors
Incoming Chair, ICI Tax Committee
 

2:50 p.m.

Conference Adjourns