2018 Mutual Funds and Investment Management Conference
March 18–21
San Antonio, TX



4:00–7:00 p.m.

Conference Registration

5:00–7:00 p.m.

Welcome Reception

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Monday, March 19

7:00 a.m.–3:00 p.m.

Conference Registration

7:00–8:15 a.m.


8:15–8:20 a.m.

Welcoming Remarks

Charles Etherington
Senior Vice President and General Counsel
American Century Investments

8:20–8:30 a.m.

General Counsel’s Address

Susan M. Olson
General Counsel
Investment Company Institute

8:30–9:15 a.m.

Keynote Remarks

A Discussion with Dalia Blass

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


9:15–10:15 a.m.

Paradigm Shift: Product and Distribution Trends Shaping Today’s Asset Management Industry

Today’s asset management industry is experiencing consolidation, demographic changes, a radically shifting distribution landscape, and technology advancements, to name just a few. How can your firm harness these trends to succeed in an uncertain environment?

Michelle Rosenberg, Moderator
Senior Vice President
Head of Legal, North America
Janus Henderson Investors

T. Neil Bathon
Managing Partner
FUSE Research Network LLC

Jane Carten
Saturna Capital Corporation

James G. Whetzel
Vice President and Senior Strategy Officer
Financial Advice and Solutions Group

10:15–10:45 a.m.

Networking Break

10:45–11:45 a.m.

Concurrent Panels

Session A: What Is the Future of UCITS Post-Brexit?

Widely recognized as a cross-border investment vehicle success story, UCITS may experience significant fallout from the United Kingdom’s determination to withdraw from the European Union. Panelists will provide an update on the status of Brexit and discuss the near- and long-term implications for the UCITS industry, including possible restrictions on delegation and outsourcing outside of the European Union. The panel also will explore whether changes to UCITS regulation may give momentum to the development of other fund passport products.  

Eva Mykolenko, Moderator
Associate Chief Counsel, Securities Regulation
ICI Global

Gregory P. Dulski
Senior Corporate Counsel
Federated Investors, Inc.

Monica Gogna
Dechert LLP

Andrew O’Callaghan 
Asset and Wealth Management Leader—EMEA

Denise Voss
Conducting Officer
Franklin Templeton Investments, Luxembourg
Association of the Luxembourg Fund Industry (ALFI)

Session B: ESG Program Implementation: What You Need to Know

Investors are increasingly interested in how funds are incorporating environmental, social, and governance (ESG) or “sustainable” factors in the investing process. Panelists will discuss recent market trends, as well as practice pointers for implementing an ESG investing program and engaging with investors and portfolio companies.

Linda M. French, Moderator
Assistant General Counsel, Securities Regulation
Investment Company Institute

Megan Claucherty
Senior Counsel
Harris Associates L.P.

Judy Cotte
Vice President and Head, Corporate Governance and Responsible Investment
RBC Global Asset Management, Inc.

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

Session C: Evaluating Fund Disclosure in the Era of Twitter and Big Data

The panel will explore various aspects of fund disclosure from the perspectives of funds and consumers of fund information. Topics will include how investors, now and in the future, may access and digest information and how the SEC might approach its information needs.

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

Margaret Carey
Vice President
Fidelity Investments

Andrew J. Donohue
Of Counsel
Shearman & Sterling LLP

Rick A. Fleming
Investor Advocate
Office of the Investor Advocate
US Securities and Exchange Commission

11:45 a.m.–1:00 p.m.

Lunch on your own

1:00–1:30 p.m.

Keynote Address

Hester M. Peirce

Hester M. Peirce
US Securities and Exchange Commission


1:30–1:45 p.m.

Networking Break

1:45–2:45 p.m.

Concurrent Panels

Session D: Traders Never Sleep: Issues to Consider in Managing Global Trading Desks

With trading taking place through an integrated global platform, the trading day never ends for global asset managers, as one trading desk hands off to another around the world. This panel will explore how traders, lawyers, and compliance personnel are thinking about how regulations and practices of multiple jurisdictions affect the trading function at global asset management firms.

Jennifer S. Choi, Moderator
Chief Counsel
ICI Global

Lisa Bloomberg
Principal Director, Finance and Risk

Leonard Ng
Sidley Austin LLP

Michael Triessl
Senior Counsel
Capital Research and Management Company

Session E: Board Update: A Roundtable Discussion

Modernizing board responsibilities is a priority issue for the SEC and the independent director community. This panel will discuss where boards' focus is most valuable, what “oversight” means, and which board responsibilities should be reevaluated and revised. We also will look at some of the challenging issues facing boards today and how boards are approaching them.

Amy B. R. Lancellotta, Moderator
Managing Director
Independent Directors Council

Timothy W. Levin
Morgan, Lewis & Bockius LLP

Elizabeth Reza
Ropes & Gray LLP

Jonathan F. Zeschin
Independent Trustee and Board Chair
Matthews Asia Funds

2:45–3:00 p.m.

Networking Break

3:00–5:00 p.m.

Communicating with Confidence and Clarity: Women in Leadership Event and Reception

At this special session open to all conference attendees, an executive communication coach will offer proven methods for being heard in meetings and handling interruptions; speaking concisely and persuasively using a few simple techniques; and coping with nerves and speech anxiety. The event also will include a networking reception, where you can connect with other colleagues and make new contacts.

Nan Tolbert
Executive Communication Coach
The Communication Center

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Tuesday, March 20

7:30 a.m.–12:30 p.m.

Conference Registration

7:30–8:30 a.m.


8:30–9:45 a.m.

Moving from “Broken Windows” to Protecting the Main Street Investor: OCIE and Enforcement Revamp

Hear directly from the leaders of the SEC’s Office of Compliance Inspections and Examinations (OCIE) and Division of Enforcement regarding their offices’ focus areas, their work under Chairman Clayton so far, and what you should expect going forward. 

Frank J. Nasta, Moderator
Managing Director
JP Morgan Asset Management

Barry P. Barbash
Willkie Farr & Gallagher LLP

Peter B. Driscoll
Office of Compliance Inspections and Examinations
US Securities and Exchange Commission

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

9:45–10:15 a.m.

Networking Break

10:15–11:15 a.m.

Concurrent Panels

Session F: Tax Act of 2017: Implications for the Fund Industry and Fund Investors

The most significant overhaul of the tax code in decades was recently enacted into law. This panel of legislative and industry experts will discuss the ramifications of the various provisions on regulated funds, their advisers, and shareholders.

Katie Sunderland, Moderator
Counsel, Tax Law
Investment Company Institute

Deanna Flores
Principal, Washington National Tax
National Tax Leader, Public Investment Management

Michael Horn
Vice President and Tax Counsel
Ameriprise Financial, Inc.

Dana Smith
Managing Director, Fund Administration
Charles Schwab Investment Management, Inc.

Session G: Mutual Fund Civil Litigation: Year in Review

The litigation landscape for the fund industry continues to evolve. This panel will review significant litigation developments and court decisions over the past year and discuss their potential impact on the fund industry.

Julia Ulstrup, Moderator
Vice President and General Counsel
ICI Mutual Insurance Company

Keith R. Dutill
Stradley Ronon Stevens & Young, LLP

Heidi W. Hardin
Executive Vice President and General Counsel
MFS Investment Management

Mark Holland
Goodwin Procter LLP

11:15–11:30 a.m.

Networking Break

11:30 a.m.–12:30 p.m.

Concurrent Panels

Session H: Blockchain, Robotics, and AI, Oh My! Considerations for Legal and Compliance

Like the intrepid voyagers from the Wizard of Oz, funds today are venturing into the unknown as they travel the yellow brick road to more efficient portfolio management and enhanced client experience. From automating fund accounting to investing in Bitcoin futures, the road could have many twists and turns for legal and compliance personnel. This lively panel will help get you ready for what might lie ahead.

Rachel H. Graham, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Susan Gault-Brown
Morrison & Foerster LLP

Christyn L. Rossman
Senior Counsel
The Vanguard Group

Jib Wilkinson
Principal, Financial Services and Technology
Deloitte Consulting LLP

Session I: New Antitrust Frontier: Considerations When Funds Hold Stock in Competing Firms

The fund industry faces calls for reform from a new source: antitrust academics and policymakers who theorize that institutional investors suppress competition merely by holding stock of competing firms. Hear a group of experts discuss the holes in this theory and the steps funds can take to mitigate risk in the years ahead. 

George M. Gilbert, Moderator
Assistant General Counsel, Securities Regulation
Investment Company Institute

Molly S. Boast

Joanne Medero
Managing  Director
BlackRock, Inc.

Ryan Nolan
Senior Legal Counsel, Legal Department
T. Rowe Price Associates, Inc.

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Wednesday, March 21

7:30 a.m.–10:45 a.m.

Conference Registration

7:30–8:30 a.m.


8:30–9:30 a.m.

Being the Inside Man on an Insider Trading Criminal Action: Tipper X

At age 28, Tom Hardin was a junior partner at an up-and-coming long-short equity hedge fund. He was on track to achieve his dream career, but before long he decided to cross a very important line and the rest is history. Tom was later charged with felony securities fraud and, known as "Tipper X," became the FBI’s most productive cooperating witness in Operation Perfect Hedge—a sting set up by the federal government in 2007–2008 targeting the hedge fund industry. The sting branched out into the largest insider trading investigation in 25 years, leading to more than 80 guilty pleas or convictions. Through vivid storytelling, Tom shares his own experience and perspective as a way for investment company compliance leadership to get increased buy-in for their compliance initiatives.

Tom Hardin
Tipper X Advisors

9:30–10:45 a.m.

Alert Level Red, Yellow, or Green: How’s Your Anxiety Level?

Don’t miss this engaging panel of industry experts as they discuss the alert level on a variety of topics currently swirling around the industry, including those discussed at the conference. Through the conference app, the audience also will have the ability to weigh in on the important topics of the day.

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

Darrell N. Braman
Vice President, Managing Counsel
T. Rowe Price Associates, Inc.

Matt Chambers
Chief Compliance Officer
Horizon Funds

Robert G. Dorsey
Interested Trustee
Ultimus Managers Trust

Robert I. Frenkel
General Counsel, US Mutual Funds
Legg Mason

Mary E. Keefe
Managing Director, Regulatory Affairs
Nuveen Investments, Inc.

Karrie McMillan
Independent Director
Patomak Global Partners, LLC

Michelle Rosenberg
Senior Vice President Head of Legal, North America
Janus Henderson Investors

10:45 a.m.

Conference Adjourns

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