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2017 Securities Law Developments Conference
December 7
Washington, DC

Program

8:15 a.m.–5:00 p.m. 

Registration

8:15–9:00 a.m.

Continental Breakfast

9:00–9:10 a.m.

Welcoming Remarks

Dorothy M. Donohue
Deputy General Counsel, Securities Regulation
Investment Company Institute

9:10–9:30 a.m.

Keynote Address

Dalia Blass
Director
Division of Investment Management
US Securities and Exchange Commission

9:30–10:30 a.m.

Regulatory Reset: Current Issues for Today’s Fund Industry

Dorothy M. Donohue, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute

Diane Blizzard
Associate Director
Division of Investment Management
US Securities and Exchange Commission

Marc R. Bryant
Chief Legal Officer
Fidelity Investments

Andrew J. Donohue
Of Counsel
Shearman & Sterling LLP

Mark T. Uyeda
Policy Advisor
US Department of the Treasury

10:30–11:30 a.m. 

Navigating the Maze: Implications of the DOL Fiduciary Rule for Funds

Sarah A. Bessin, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Marie Aro
Copresident
Aquila Distributors LLC

Robert J. Doyle
Vice President
Prudential Financial, Inc.

Bob Grohowski
Vice President, Legislative and Regulatory Affairs
T. Rowe Price Associates, Inc.

Steven W. Stone
Partner
Morgan, Lewis & Bockius LLP

11:30–11:45 a.m.

Networking Break

11:45 p.m.–1:15 p.m.

Luncheon and Speaker

Kara M. Stein
Commissioner
US Securities and Exchange Commission

1:15–1:45 p.m.

Dessert and Networking Reception

1:45–2:45 p.m.

Lazy River or Roaring Rapids? Implementing the Liquidity Rule

Matthew Thornton, Moderator
Assistant General Counsel, Securities Regulation
Investment Company Institute

Michelle Beck
Chief Risk Officer
Nuveen

Erin Kennedy
Associate Counsel
Dodge & Cox

Bruce McDougal
Deputy Chief Compliance Office
Charles Schwab

2:45–3:45 p.m.

Current Issues in ETF Regulation

Kenneth C. Fang, Moderator
Assistant General Counsel, Securities Regulation
Investment Company Institute

Daniele Marchesani
Assistant Chief Counsel
Division of Investment Management
US Securities and Exchange Commission

Brian P. Murphy
Senior Counsel
The Vanguard Group, Inc.

Stuart Strauss
Partner
Dechert LLP

Joshua A. Weinberg
Managing Director and Managing Counsel
State Street Global Advisors

3:45–4:00 p.m.

Networking Break

4:00–5:00 p.m.

What’s New? OCIE and Enforcement Under Chairman Clayton

Tamara K. Salmon, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Anthony Kelly
Cochief, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission

Jane Jarcho
Deputy Director
Office of Compliance Inspections and Examinations
US Securities and Exchange Commission

Nancy M. Morris
Chief Compliance Officer
Wellington Management Company LLP

Julie M. Riewe
Partner
Debevoise & Plimpton LLP       

5:00 p.m.

Conference Adjournment