www.ici.org

Program

THURSDAY, SEPTEMBER 24  |  THURSDAY, OCTOBER 1

THURSDAY, SEPTEMBER 24 SESSIONS

Day 1 Sessions

Thought Leadership

Morgan Lewis
Recent Innovations in Registered Fund Products

We will discuss auction funds, an innovative type of registered closed-end fund, and semi-transparent ETFs, exchange-traded funds that do not disclose their portfolios each day. 

Ropes & Gray
Being Prepared: Asset Management M&A in an Evolving Market

We will discuss trends in M&A, at both the larger firm and smaller firm levels, including structure, terms, advance planning, and implications for registered funds (including the role of funds’ boards).

Introduction and Keynote

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

Keeping Up with the Regulators: Recent Developments in Fund Regulation

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

Thomas C. Bogle
Partner
Dechert LLP

Walt Burkley
Senior Counsel
Capital Research and Management Company

Teresa Nilsen
President and COO
Hennessy Advisors, Inc.

Sarah G. ten Siethoff
Associate Director, Rulemaking Office
Division of Investment Management
US Securities and Exchange Commission

Standards of Conduct: Implementing the New Framework for Investment Advice

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

Maria R. Gattuso
Principal
Deloitte & Touche LLP

Margaret H. Raymond
Vice President and Managing Counsel
T. Rowe Price Associates, Inc.

Emily Westerberg Russell
Chief Counsel
Division of Trading and Markets
US Securities and Exchange Commission

Traci Simpson
Executive Director, Head of Mutual Funds
UBS Financial Services Inc.

LIBOR Transition: The Story SOFR

Bridget D. Farrell, Moderator
Assistant General Counsel, Securities Regulation
Investment Company Institute

Samantha Brutlag
Senior Counsel, Disclosure Review and Accounting Office
Division of Investment Management
US Securities and Exchange Commission

Lauren Davides
Managing Director, Regulatory and Market Insights
State Street

Keith T. Kirk
Enterprise Risk Officer
DoubleLine Capital LP

Jeremy Phillips
Partner
PricewaterhouseCoopers

Day 2 Sessions

THURSDAY, OCTOBER 1

Thought Leadership Sessions

Dechert
Navigating the SEC’s Proposal to Modernize Disclosure Framework for Mutual Funds and ETFs

Stradley Ronon
Post-Election Direction: The Asset Management Industry and Regulatory Priorities in 2021

Introduction and Keynote Fireside Chat

Elad Roisman
Commissioner
US Securities and Exchange Commission

Paul Schott Stevens
President and CEO
Investment Company Institute

For or Against? Assessing the SEC’s Recent Proxy-Related Policies

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

 

David Bartels
Deputy Chief Counsel
Division of Investment Management
US Securities and Exchange Commission

Sara P. Crovitz
Partner
Stradley Ronon Stevens & Young, LLP

Susan Pereira
Assistant General Counsel and Vice President
MFS Investment Management

OCIE and Enforcement in a Remote Environment

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

 

Dabney O’Riordan
Cochief, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission

Julie M. Riewe
Partner
Debevoise & Plimpton LLP

Kristin A. Snyder
Deputy Director
Office of Compliance Inspections and Examinations
US Securities and Exchange Commission