www.ici.org

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.

Adjournment