Program
All program times are shown in Eastern time (ET) and are subject to change. All panels will be held in The Forum.
Tuesday, November 12
8:00–8:55 a.m.
Registration
8:55–9:00 a.m.
Introduction
9:00–9:55 a.m.
Conversation with Keynote Speaker
JAY CLAYTON
Former Chair of the Securities and Exchange Commission
Senior Policy Advisor and Of Counsel, Sullivan & Cromwell
ERIC J. PAN
President and CEO
Investment Company Institute
10:00–10:45 a.m.
Regulatory Reform for the Listed Closed-End Fund Market
COREY ISSING, Moderator
Managing Director and General Counsel - Mutual Funds
Neuberger Berman
ALLISON FUMAI
Partner
Dechert
TIFFANY KO
Counsel
MFS Investment Management
ROBERT MARROCCO
Vice President, Global Head of ETP Listings
Cboe Global Markets
WYATT STEWART
Senior Government Affairs Officer
ICI
10:50–11:35 a.m.
Growth of the Private Credit Markets and Retail Access
RAJIB CHANDA, Moderator
Partner
Simpson Thacher
KAITLIN C. BOTTOCK
Co-Chief Counsel, Division of Investment Management
Securities and Exchange Commission
NATI DAVIDI
Vice President
Associate General Counsel
Fidelity Investments
AMANDA LYNAM
Managing Director – Head of Macro Credit Research
BlackRock
WILLIAM RENAHAN
Managing Director, Legal & Compliance
Blackstone
11:35–11:50 a.m.
Networking Break
11:50 a.m.–12:35 p.m.
Bylaws: The Best Available Method to Protect Long-Term Retail Investors from Activist Attacks
KEVIN ERCOLINE, Moderator
Assistant General Counsel
ICI
EBEN P. COLBY
Partner
Skadden
MATTHEW DICLEMENTE
Partner
Stradley Ronon
ELLIOT GLUCK
Partner
Willkie Farr
RICHARD STONE
Chief Executive
AIC
12:40–1:25 p.m.
Fitting a Square in a Round Hole: Legal Impediments with Launching an Unlisted Fund and What the Future May Hold
NICOLE SIMON, Moderator
Partner
Stradley Ronon
MICHAEL DOHERTY
Partner
Ropes and Gray
RUTH GOODSTEIN
Chief Operating Officer
Macquarie Asset Management Solutions
BRAD GREEN
Partner
Kirkland and Ellis
GREGORY S. ROWLAND
Partner
Davis Polk
1:25–2:25 p.m.
Luncheon Speaker – Mentalist David Gerard
2:40–3:25 p.m.
Modernizing the Proxy Campaign
JANIS KERNS, Moderator
General Counsel, Corporate Secretary, and Chief Compliance Officer
Adams Funds
DANIELLE GURRIERI
Vice President and Head of Product Management - Bank, Broker Dealer
Broadridge Financial Solutions
DAVE LAMB
Head of Closed-End Funds
Nuveen
ALAN REID
Co-Founder
Iconik
BRIAN SCHAFFER
Partner
Prosek
3:25–4:00 p.m.
Getting Your Fund in the Hands of the Target Investors: Distribution and Operational Issues for Unlisted Products
JEREMY I. SENDEROWICZ, Moderator
Partner
Goodwin
KIM FLYNN
President
XA Investments
JARRETT MELLMAN
Senior Vice President, Fund Management & Research
iCapital
BRIAN MORAN
CEO & Founder
FLX Networks
CHRIS SHAW
Vice President
SS&C
4:00–5:00 p.m.