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| REGISTER GENERAL INFO HOTEL INFO |
The SEC’s New Fund Reporting and Liquidity Rules:
What Do They Mean for the Fund Industry?
November 17, 2016
Boston, MA
Preliminary Program
THURSDAY, NOVEMBER 17
8:15 a.m.–3:00 p.m.
Registration
8:15–9:00 a.m.
Continental Breakfast
9:00–9:15 a.m.
Welcoming Remarks
Thomas Faust
Chairman and CEO
Eaton Vance Corp.
9:15–10:30 a.m.
Overview: How Has the SEC Transformed Fund Reporting and Liquidity Risk Management?
Dorothy Donohue, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute
Diane Blizzard
Associate Director, Rulemaking
Division of Investment Management
US Securities and Exchange Commission
Thomas Bogle
Partner
Dechert LLP
Tara Buckley
Senior Counsel
Vanguard Group
Mark Polebaum
General Counsel
MFS Investment Management
10:30–10:45 a.m.
Refreshment Break
10:45 a.m.–Noon
Staying Afloat: Navigating the SEC’s Liquidity Rule
Susan McGee, Moderator
President
U.S. Global Investors, Inc.
Ross Cuddeback
Head of Asset Management Risk, Americas
Deutsche Asset Management
Lance Dial
Managing Director and Counsel
Wellington Management Company, LLP
Frank Knox
Chief Compliance Officer
John Hancock Investments
Sarah ten Siethoff
Deputy Associate Director, Rulemaking
Division of Investment Management
US Securities and Exchange Commission
Noon–1:30 p.m.
Luncheon and Speaker
Paul Schott Stevens
President and CEO
Investment Company Institute
1:30–2:45 p.m.
Preparing for a “Modernized” World: Implementing the SEC’s New Fund Reporting Rules
Victoria McGowan, Moderator
Head of US Fund Administration
BNY Mellon Investment Servicing (US) Inc.
Sara Cortes
Assistant Director, Rulemaking
Division of Investment Management
US Securities and Exchange Commission
Alan Dupski
Vice President
T. Rowe Price Associates, Inc.
Brian McCabe
Partner
Ropes & Gray LLP
Jasmin Sethi
Vice President
BlackRock, Inc.
2:45–4:00 p.m.
Swing and a Hit? Evaluating Swing Pricing
Marty Burns, Moderator
Chief Industry Operations Officer
Investment Company Institute
Stuart Bateman
Senior Vice President
Franklin Templeton Investments
Elisa Colkitt
Senior Vice President, Mutual Fund Operations
Wells Fargo Advisors
Sharon H. Ennis
Senior Vice President, Retirement Plan Division
Reliance Trust Company/FIS
Arthur J. Leiz
Managing Director
Goldman Sachs Asset Management
4:00 p.m.
