Program
October 8 and 10 • Virtual
Program
All program times are shown in eastern time (ET).
Tuesday, October 8 | Thursday, October 10
Tuesday, October 8
11:00–11:10 a.m.
Welcoming Remarks
11:10–11:55 a.m.
Keynote Remarks and Discussion
NATASHA VIJ GREINER
Director, Division of Investment Management
Securities and Exchange Commission
PAUL G. CELLUPICA
General Counsel
Investment Company Institute
11:55 a.m.–12:05 p.m.
Break
12:05–1:05 p.m.
Continuity, Transition, or Something In Between? Sizing Up the SEC’s Late 2024 Rulemaking Agenda
As we near the elections, the SEC’s rulemaking agenda is approaching an inflection point, with several significant proposals still outstanding. This panel will explore the SEC’s short-term and longer-term rulemaking priorities for funds and advisers.
MATTHEW THORNTON, Moderator
Associate General Counsel
Investment Company Institute
DEEPA DAMRE SMITH
General Counsel
Matthews International Capital Management, LLC
KATE FUENTES
General Counsel
SunAmerica Asset Management, LLC
Deputy General Counsel
Corebridge Financial
AMY WARD PERSHKOW
Shareholder
Vedder Price
SARAH G. TEN SIETHOFF
Deputy Director and Associate Director, Rulemaking Office
Division of Investment Management
US Securities and Exchange Commission
1:05–1:50 p.m.
Ropes & Gray Lunch Break/Sponsored Thought Leadership
Registered Alternative Funds
SARAH CLINTON
Partner, Boston
Ropes & Gray
GREG DAVIS
Partner, San Francisco
Ropes & Gray
1:50–2:35 p.m.
Dechert Sponsored Thought Leadership
Funds on the Crypto Frontier
Despite regulatory scrutiny and market volatility, the last 12 months have seen remarkable developments in crypto-based investment vehicles—from exchange-traded products to private and tokenized funds. Dechert has been at the forefront of these innovations, and three of our experts provide a ringside view.
STEPHANIE CAPISTRON
Partner, Boston
Dechert
BRENDEN P. CARROLL
Partner, Washington, DC
Dechert
NEEL MAITRA
Partner, Washington, DC
Dechert
2:35–3:35 p.m.
Recent Developments in SEC Exams and Enforcement
This panel will highlight priorities for investment companies from the SEC’s Division of Exams and review the Commission’s recent and related enforcement actions. It will discuss lessons learned and offer practical insights for funds to comply with ever evolving regulatory requirements.
KENNETH FANG, Moderator
Associate General Counsel
Investment Company Institute
ADAM S. ADERTON
Partner
Willkie Farr & Gallagher LLP
ANDREW DEAN
Co-Chief, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission
MICHAEL GOZZILLO
Chief Compliance Officer
Van Eck Associates Corporation
VANESSA L. HORTON
Associate Regional Director, Division of Examinations
US Securities and Exchange Commission
COREY SCHUSTER
Co-Chief, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission
3:35–4:20 p.m.
A Primer to AI and Its Regulation in Asset Management
Emerging technologies, including AI, have tremendous potential to benefit the markets and investors, and policy makers are paying close attention. In this panel, we will discuss how AI can be a transformative tool and how the asset management industry’s use of AI fits into the current regulatory framework for advisers and funds.
MITRA SURRELL, Moderator
Associate General Counsel
Investment Company Institute
JENNIFER L. KLASS
Partner
K&L Gates LLP
CHRISTINA SAUTTER
Professor of Law
Dedman School of Law, Southern Methodist University
JUSTIN WILLIAMS
Director, Legal and Compliance
BlackRock
Thursday, October 10
11:00–11:05 a.m.
Welcoming Remarks
11:05–11:50 a.m.
Keynote Conversations
PROF. WILLIAM BIRDTHISTLE
University of Chicago Law School
Former Director of the Division of Investment Management
Securities and Exchange Commission
JOSHUA A. WEINBERG
Associate General Counsel
Investment Company Institute
11:50 a.m.–12:00 p.m.
Break
12:00–1:00 p.m.
The SEC in Its Rulemaking Era: Implementation Issues Related to Unprecedented SEC Rule Adoptions
The SEC has been busy over the past several years. Join a panel of industry experts as we discuss the implementation approaches to, and challenges presented by, various recently adopted final rules including amendments to the Names Rule, Reg S-P, Treasury Clearing rules, and more.
ERICA EVANS, Co-Moderator
Assistant General Counsel
Investment Company Institute
AMY McDONALD, Co-Moderator
Associate General Counsel
Investment Company Institute
PHILIP T. HINKLE
Partner
Dechert LLP
BRIAN E. LANGENFELD
Vice President and Managing Counsel
MFS Investment Management
AMY PURCELL
Chief Privacy Officer, Deputy General Counsel
Vanguard
ELIZABETH J. REZA
Partner
Ropes & Gray LLP
MARC SPECTOR
Accounting Policy and Regulatory Strategist
Fidelity Investments
1:00–1:45 p.m.
Morgan Lewis Lunch Break/Thought Leadership
Tokens, and Conversions, and Share Classes (Oh My!): Current Trends in Aligning Strategies with Investors
Join a team of Morgan Lewis lawyers as we discuss a variety of hot topics across the fund industry. Panelists will consider the implications of recent court rulings, give an overview of ETF to mutual fund conversions, SMA to ETF conversions, and ETF share class exemptive applications, and discuss tokenization of registered funds.
LAURIE ANNE DEE
Partner, Orange County
Morgan Lewis
SEAN GRABER
Partner, Philadelphia
Morgan Lewis
JACK O’BRIEN
Partner, Philadelphia
Morgan Lewis
TOBY SERKIN
Partner, Boston
Morgan Lewis
BETSELOT ZELEKE
Partner, Washington, D.C.
Morgan Lewis
TODD ZEREGA
Partner, Pittsburgh
Morgan Lewis
1:45–2:45 p.m.
The Impact of Recent Judicial Decisions on the Regulatory Process
Recent decisions from the Supreme Court and certain Circuit Courts have highlighted the willingness of courts to place limits on agency rulemaking, especially rules that rely on an agency’s expansive view of its statutory authority. These developments are particularly relevant to regulated funds, given the highly regulated nature of the fund industry. Hear from a panel of administrative and appellate law experts on how recent decisions may impact the prospects for rulemaking by the SEC, DOL and other agencies and what these changes may mean for funds, managers and investors.
PAUL G. CELLUPICA, Moderator
General Counsel
Investment Company Institute
TYLER BADGLEY
Senior Counsel
US Chamber Litigation Center
JAN M. FOLENA
Partner
Stradley Ronon Stevens & Young, LLP
SARAH M. HARRIS
Partner
Williams & Connolly LLP
2:45–2:55 p.m.
Break
2:55–3:25 p.m.
Election and Legislative Forecast with ICI Government Affairs
The panel will focus on what we can expect from Congress in the remaining days, between now and Election Day, and in the post-Election lame duck session. The panelists will offer their respective insights into which Party will win control of the White House, Senate, and House, and what to look for in these various campaigns over the next several weeks.
JOHN G. EMLING, Moderator
Chief Government Affairs Officer
Investment Company Institute
HEATHER MCHUGH
Principal
Resolution Public Affairs
MANNY ROSSMAN
Partner
Harbinger Strategies