
MOBILE APP |
2014 Tax and Accounting Conference
September 28–October 1, 2014
JW Marriott Desert Ridge Resort and Spa
Phoenix, Arizona
Final Program
SUNDAY, SEPTEMBER 28
4:00–7:00 p.m.
Registration and Reception
MONDAY, SEPTEMBER 29
7:00–9:00 a.m.
Registration and Continental Breakfast
8:30–8:35 a.m.
Welcoming Remarks
Gregory K. Hinkle
Vice President and Treasurer
T. Rowe Price
Chair, ICI Tax Committee
8:35–9:05 a.m.
Keynote Address
Troy A. Paredes
Senior Strategy and Policy Advisor
PwC
Former SEC Commissioner
9:05–10:35 a.m.
Current Mutual Fund/SEC Accounting Issues
- AICPA investment companies expert panel update
- FASB agenda
- SEC accounting and disclosure issues
Brian W. Wixted, Moderator
Senior Vice President and Treasurer
Oppenheimer Funds
Chair, ICI Accounting/Treasurers Committee
Jaime Eichen
Chief Accountant
Division of Investment Management
U.S. Securities and Exchange Commission
Matthew Esposito
Assistant Director
Financial Accounting Standards Board
Brent Oswald
Partner
KPMG
Chair, AICPA Investment Companies Expert Panel
10:35–11:00 a.m.
Break
11:00 a.m.–12:30 p.m.
Concurrent Session A: Current Tax Developments
- Money market reform tax issues
- State tax issues
- Other federal regulatory developments
Karen Gibian, Moderator
Associate Counsel
Investment Company Institute
Jennifer Flynn
Director of Mutual Fund Tax
Eaton Vance
Michael Novey
Associate Tax Legislative Counsel
U.S. Department of the Treasury
Joseph Riley
Tax Partner
Willkie Farr and Gallagher
Jane Steinmetz
Partner
Ernst & Young
11:00 a.m.–12:30 p.m.
Concurrent Session B: Security Valuation and Audit Considerations
- Management’s responsibility for third-party valuations
- PCAOB findings and changes to audit programs
- Current regulatory perspectives
Joe Kauten, Moderator
Treasurer
Waddell & Reed and Ivy Funds
Jay G. Baris
Partner
Morrison & Foerster LLP
Unmesh Bhide
Managing Director
J.P. Morgan
Paul Kraft
Partner
Deloitte
Jessica Seidlitz
Managing Director
Charles Schwab Investment Management
12:30–12:55 p.m.
Break
12:55–2:30 p.m.
Concurrent Session C: Vendor Oversight
- Oversight of service providers
- Benefits and risks of automation
- Conversion to new provider
Sheri Steward Morris, Moderator
Invesco Funds CFO & Head of US Fund Administration
Invesco, Ltd
Shawn Correia
Vice President
PIMCO Funds
Nancy Grady
Senior Vice President
NA Practice Head Fund Accounting/Administration
Northern Trust
Gerry Healy
Principal
Beacon Consulting Group, Inc.
Craig Wright
Accounting Manager
Dimensional Fund Advisors
12:55–2:30 p.m.
Concurrent Session D: Regulatory Update
- Money market funds
- CFTC/NFA reporting
- SEC enhanced long-term fund reporting
- FSOC consideration of asset management
Rachel H. Graham, Moderator
Senior Associate Counsel, Securities Regulation
Investment Company Institute
James Brewster
Vice President
State Street Bank & Trust
Jeffrey Coleman
Managing Director
BofA Global Capital Management
Tracey Hunt
Associate Director, Compliance
National Futures Association
Matt Giordano
Assistant Chief Accountant
Division of Investment Management
U.S. Securities and Exchange Commission
6:00–9:00 p.m.
Conference Reception
TUESDAY, SEPTEMBER 30
7:30–8:30 a.m.
Continental Breakfast
8:30–9:30 a.m.
Keynote Address
Ron Insana
Award-Winning Journalist, Financial Analyst, Commentator, and Author
Former Anchor of CNBC’s Street Signs
9:30–11:00 a.m.
International Investing
- EU reclaims
- Treaty withholding issues
- Financial transaction taxes
Ryan Lovin, Moderator
Assistant Counsel
Investment Company Institute
Jonathan Davis
Vice President
Fidelity Investments
Laura Fergerson
Senior Vice President
Franklin Templeton Investments
Deanna Flores
National Tax Industry Leader, Registered Funds
KPMG
Maria Gurevich
Vice President, Global Tax Services
Brown Brothers Harriman
11:00–11:25 a.m.
Break
11:25 a.m.–12:55 p.m.
Concurrent Session E: OECD Initiatives
- BEPS initiatives
- Common reporting standard for automatic exchange of information
- Treaty relief and compliance enhancement
Keith Lawson, Moderator
Senior Counsel
Investment Company Institute
Grace Perez-Navarro
Deputy Director
Center for Tax Policy Administration
Organisation for Economic Co-operation and Development
Michael Plowgian
Principal
KPMG
Nicole Primmer
Senior Policy Manager
BIAC
Gwen Shaneyfelt
Senior Vice President
Global Accounting and Tax
Franklin Templeton Investments
11:25 a.m.–12:55 p.m.
Concurrent Session F: Financial Reporting
- Disclosures about offsetting assets and liabilities
- Transfers and servicing: dollar rolls, securities lending
- Accounting and disclosure issues associated with swaps
Megan Miller, Moderator
Director
BlackRock
Liz Bayston
Director of Accounting Policy
MFS Investment Management
Alan Dupski
Assistant Chief Accountant
Division of Investment Management
U.S. Securities and Exchange Commission
Cathy Mathews
Vice President
T. Rowe Price Associates
Bill McManus
Vice President
State Street Bank and Trust
WEDNESDAY, OCTOBER 1
7:30–8:30 a.m.
Continental Breakfast
8:00–9:30 a.m.
Liquid Alternative Funds
- Product overview
- Service requirements
- Accounting, tax, and administrative challenges
Jay Nusblatt, Moderator
Managing Director
BNY Mellon Investment Servicing
Deirdre Fortune
Partner
KPMG
Alison Fuller
Partner
Stradley Ronon
Michael Kardok
Senior Vice President and Treasurer
Natixis Global Asset Management
Roman Osidach
Director
BlackRock
9:30–9:55 a.m.
Break
9:55–11:25 a.m.
Board Perspectives
- Independent director oversight of financial reporting, audit, and tax
- PCAOB auditor reporting model proposal
- Reporting to the board
Sean McKee, Moderator
National Audit Industry Leader, Asset Management
KPMG
Susan Austin
Independent Director
Prudential Annuity Funds
Michael Clark
Independent Director
Cohen & Steers Funds
Garry Moody
Independent Director
AllianceBernstein Funds
George Morriss
Independent Director
Neuberger Berman Funds
11:25 a.m.
Conference Adjourns

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