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2022 Investment Management Conference

Program

March 27–30 • Palm Desert, CA

Preliminary Program

All program times are shown in Pacific time (PT).

Sunday, March 27 | Monday, March 28 | Tuesday, March 29 | Wednesday, March 30

Sunday, March 27
 

1:30–3:30 p.m.

Preconference Volunteer Activity
 

4:00–7:00 p.m.

Conference Help Desk Open

(On-site registration will not be available for this conference.)
 

5:00–7:00 p.m.

Welcome Reception
 

Monday, March 28
 

7:00 a.m.–4:15 p.m.

Conference Help Desk Open
 

7:00–8:30 a.m.

Breakfast
 

8:30–8:35 a.m.

Welcoming Remarks

MARGARET CAREY
Senior Vice President and Deputy General Counsel
Fidelity Investments
 

8:35–8:55 a.m.

ICI President’s Address

ERIC J. PAN
President and CEO
Investment Company Institute
 

9:00–9:30 a.m.

Keynote Remarks

WILLIAM A. BIRDTHISTLE
Director
Division of Investment Management
US Securities and Exchange Commission
 

9:30–10:15 a.m.

Discussion with Senior SEC Division of Investment Management Personnel

SARAH G. TEN SIETHOFF
Associate Director, Rulemaking Office
Division of Investment Management
US Securities and Exchange Commission
 

10:15–11:00 a.m.

Refreshment Break
 

11:00–11:45 a.m.

Concurrent Panels
  • Session A: What’s Happening in Different Strokes: Trends in Specialized Products

    Although mutual funds remain the largest regulated fund category, other products recently have seen large inflows and are gaining steam. This panel will examine current trends and discuss the latest developments in exchange-traded funds, closed-end funds, interval funds, and other investment vehicles.

    KENNETH FANG, Moderator
    Associate General Counsel, Securities Regulation
    Investment Company Institute

  • Session B: The Fund Board Perspective on Regulatory and Industry Developments

    This panel will cover implementation of recently adopted SEC rules; prospects and perspectives on new rules affecting fund governance; views on environmental, social, and governance (ESG) investing; what boards should be aware of regarding innovations in the industry; and diversity and inclusion in the independent director community.

    THOMAS T. KIM, Moderator
    Managing Director
    Independent Directors Council
     

11:45 a.m.–1:30 p.m.

Lunch on your own
 

1:30–2:00 p.m.

Keynote Remarks

NATASHA CAZENAVE
Executive Director
European Securities and Markets Authority (ESMA)
 

2:15–3:00 p.m.

Concurrent Panels
  • Session C: Legislative Outlook in a Pivotal Election Year

    KATHLEEN L. MELLODY, Moderator
    Senior Government Affairs Officer
    Investment Company Institute

  • Session D: Thinking Outside the Box: Innovations in Financial Offerings for Retail Investors

    Innovators are creating new financial products and services aimed at retail investors, both within and outside the investment company space. Join us to explore developments with cryptocurrency and digital assets, robo-advisers, direct indexing, fractional shares, private funds, and private market offerings for Main Street investors. Final frontier or brave new world?

    BRIDGET D. FARRELL, Moderator
    Assistant General Counsel, Securities Regulation
    Investment Company Institute
     

3:15–5:00 p.m.

Diversity and Inclusion Keynote Remarks and Reception

JULIA TAYLOR KENNEDY
Executive Vice President
Coqual
 


Tuesday, March 29
 

7:30 a.m.–12:30 p.m.

Conference Help Desk Open
 

7:30–8:15 a.m.

Breakfast
 

8:15–9:15 a.m.

Keynote Remarks

Speaker TBA
 

9:15–10:15 a.m.

General Session
Warp Speed Rulemaking: ESG, Proxy Matters, Disclosure Reform

SEC Chair Gary Gensler is pursuing a multifaceted, voluminous rulemaking agenda. The panel will explore four recent proposals that will greatly affect funds, investment advisers, and fund investors: public company climate change–related disclosure, public company workforce disclosure, modernization of fund proxy voting disclosure, and fund disclosure reform.

DOROTHY M. DONOHUE, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute
 

10:15–10:30 a.m.

Refreshment Break
 

10:30–11:30 a.m.

General Session
How to Set a Table: An Exercise in Risk Mitigation

In this panel, you will observe a live tabletop exercise, where information security practitioners analyze and respond to an attack scenario as it evolves and gets increasingly complex. See when, and how, to involve the board, outside counsel, law enforcement, insurance carriers, and the media.

PETER SALMON, Moderator
Senior Director, Operations and Technology
Investment Company Institute
 

11:30–11:45 a.m.

Refreshment Break
 

11:45 a.m.–12:30 p.m.

Concurrent Panels
  • Session E: Fund Industry Civil Litigation: Year in Review

    The litigation landscape for the fund industry continues to evolve. This panel will review significant litigation developments and court decisions over the past year and discuss their potential impact on the fund industry.

    JULIA ULSTRUP, Moderator
    Senior Vice President and General Counsel
    ICI Mutual Insurance Company

  • Session F: Compliance Challenges in the Current Environment: A Conversation with Fund CCOs

    Hear from three experienced fund chief compliance officers (CCOs) about the challenges they are experiencing in the current regulatory environment and how they are responding to these challenges. Topics include how CCOs are incorporating ESG into the compliance function; exploring new, more efficient ways of overseeing funds’ subadvisers; and keeping up with the panoply of new SEC regulations.

    TAMARA K. SALMON, Moderator
    Associate General Counsel
    Investment Company Institute
     


Wednesday, March 30
 

7:30 a.m.–10:30 a.m.

Conference Help Desk Open
 

7:30–8:30 a.m.

Breakfast
 

8:30–9:30 a.m.

General Session
Good Cop, Bad Cop: Examinations and Enforcement Under the Gensler Commission

This panel will discuss priorities of the SEC’s Divisions of Examinations and Enforcement and how these divisions are operating under SEC Chair Gary Gensler.

MATT CHAMBERS, Moderator
General Counsel and Chief Compliance Officer
Horizon Investments, LLC
 

9:30–10:30 a.m.

Keynote Remarks

Speaker TBA
 

10:30 a.m.

Conference Adjourns