2012 Mutual Funds and Investment Management Conference
The Mutual Funds and Investment Management Conference, the fund industry’s premier legal conference, was held March 18–21 in Phoenix, Arizona. The conference, sponsored by ICI and the Federal Bar Association, offered panel discussions and keynote speakers who addressed a wide range of regulatory and legislative issues affecting the fund industry.
Monday, March 19
- Frank J. Nasta
Managing Director, Head of J.P. Morgan Funds Management Legal
J.P. Morgan Investment Management, Inc.
- Jack D. Lockridge
Federal Bar Association
General Counsel's Address
- Karrie McMillan
Investment Company Institute
- Elisse B. Walter
U.S. Securities and Exchange Commission
Looking Forward: Where Will the Asset Management Business Be in 10 Years?
- Brian Reid, Moderator, Chief Economist, Investment Company Institute
- John E. Baumgardner Jr., Partner, Sullivan & Cromwell LLP
- Marie A. Chandoha, President and CEO, Charles Schwab Investment Management, Inc.
- Avi Nachmany, Executive Vice President and Director of Research, Strategic Insight
- J. Alan Reid Jr., CEO, Forward
Regulatory Developments at the SEC and CTFC
- Karrie McMillan, Moderator, General Counsel, Investment Company Institute
- Andrew J. Donohue, Partner, Morgan, Lewis & Bockius LLP
- Michael J. Downer, Senior Vice President, Capital Research and Management Company
- Kathryn L. Quirk, Chief Legal Officer, Prudential Investments
- Eileen Rominger, Director, Division of Investment Management, U.S. Securities and Exchange Commission
State of the Money Market Fund Industry
- Jane G. Heinrichs, Moderator, Senior Associate Counsel, Investment Company Institute
- Paul S. Atkins, CEO, Patomak Global Partners, LLC
- Stephen A. Keen, Counsel, Reed Smith LLP
- Simon Mendelson, Global Co-Head, Cash and Securities Lending, BlackRock Financial Management L.P.
- Robert E. Plaze, Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission
- Lloyd A. Wennlund, Executive Vice President and Managing Director, Northern Trust Global Investments
Current Tax Developments
- Keith Lawson, Moderator, Senior Counsel, Investment Company Institute
- Shawn K. Baker, Traditional Funds Tax Leader, PricewaterhouseCoopers LLP
- Ronald A. Dabrowski, Deputy Associate Chief Counsel (International), Internal Revenue Service
- Julie C. Henderson, Vice President and Controller, Dimensional Fund Advisors LP
- Monette R. Nickels, Senior Vice President, Director of Tax, ALPS Fund Services, Inc.
ICI Global Memo on FATCA
Joint Statement from the U.S, France, Germany, Italy, Spain and the U.K on FATCA
ICI/ICI Global Letter to Korea
ICI/ICI Global Letter to BSE (India)
ICI Memo on RIC Entitlement to Treaty Benefits
FIDAL Note on ECJ's Hearing
EU Reclaims - PricewaterhouseCoopers Memo and FIDAL Memo
ICI Response to Commodity Funds Hearing
401(k) Regulation at the Crossroads
- Elena Barone Chism, Moderator, Associate Counsel, Investment Company Institute
- Jon W. Breyfogle, Principal, Groom Law Group
- Robert A. Holcomb, Executive Director,J.P. Morgan Retirement Plan Services LLC
- Douglas O. Kant, Senior Vice President and Deputy General Counsel, Fidelity Investments
Special Update: Treasury's Lifetime Income Guidance Package
Summary of Recent DOL Regulations
European Fund Regulatory Developments: What’s on the Horizon?
- Dan Waters, Moderator, Managing Director, ICI Global
- Jon E. Boustany, Deputy General Counsel, Legg Mason, Inc.
- Claude Kremer, President, EFAMA
- Kevin Ouellette, Senior Counsel, Wells Fargo & Company
- Nick Williams, Partner, Allen & Overy LLP
2012: A Challenging Year for European Asset Managers
Alternative Investment Strategies in the Registered Funds Space
- Robert C. Grohowski, Moderator, Senior Counsel, Investment Company Institute
- Ruth S. Epstein, Partner, Stradley Ronon Stevens & Young, LLP
- Brendan R. Kalb, General Counsel, AQR Capital Management, LLC
- Michael W. Schnitman, Director of Product Strategy and Development, Putnam Investment Management
- Cindy Erickson Zarker, Director, Cerulli Associates
Transitioning Alternative Investment Strategies into the Registered Fund Space
In the Crosshairs: Focusing on the Fixed Income Markets
- Heather L. Traeger, Moderator, Partner, O’Melveny & Myers
- Cadmus Hicks, Managing Director, Nuveen Asset Management
- Kristine M. Nishiyama, Senior Vice President and Senior Counsel, Capital Research and Management Company
- Malcolm Northam, Director of Fixed Income Regulation, FINRA
Regulatory Update: Issues Relevant to Fixed-Income Market
Tuesday, March 20
Dodd-Frank Implementation - Are We There Yet?
- Frances M. Stadler, Moderator, Senior Counsel, Investment Company Institute
- Amy Friend, Managing Director, Promontory Financial Group, LLC
- David A. Luigs, Counsel, Debevoise & Plimpton LLP
- Laura J. Merianos, Principal, The Vanguard Group, Inc.
- David Oestreicher, Vice President and Chief Legal Counsel, T. Rowe Price Associates, Inc.
The Volcker Rule and Systemic Regulation: Implications for Registered Funds and Advisers
Changing Distribution Dynamics: Operational Challenges Lawyers Should Understand
- Martin A. Burns, Moderator, Director, Institutional Operations and Service, Investment Company Institute
- Peter G. Callahan, Senior Vice President, AllianceBernstein Investor Services, Inc.
- Jesse H. Cole, Managing Director, Goldman Sachs & Co.
- Kathleen T. Ives, Senior Vice President and Director of Internal Audit, OppenheimerFunds, Inc.
The Evolving OTC Derivatives Market: Current Issues for Funds
- Sarah A. Bessin, Moderator, Senior Counsel, Investment Company Institute
- Nevis Bregasi, Vice President and Senior Counsel, MFS Investment Management
- Susan C. Ervin, Partner, Davis Polk & Wardwell LLP
- Victor M. Frye, Chief Compliance Officer, ProShare Advisors, LLC
Derivatives Reform: A Work in Progress
Social Media Opportunities and Challenges
- Alexander C. Gavis, Moderator, Vice President and Associate General Counsel, Fidelity Investments
- Rajib Chanda, Partner, Ropes & Gray LLP
- Mark Diamond, CEO and President, Contoural, Inc.
- Susan B. McGee, President, U.S. Global Investors, Inc.
- Thomas A. Pappas, Vice President, FINRA
The Social Media Regulatory Landscape: FINRA and SEC Guidance
Waiting for Answers: Unresolved Issues in Mutual Fund Civil Litigation
- Daniel T. Steiner, Moderator, General Counsel, ICI Mutual Insurance Company, RRG
- Janet D. Olsen, General Counsel, Artisan Partners Limited Partnership
- John W. Rotunno, Practice Area Leader, K&L Gates LLP
- Robert A. Skinner, Partner, Ropes & Gray LLP
Recent Developments in Mutual Fund Civil Litigation Under the 1933 and 1934 Acts
Waiting for Answers: Unresolved Questions in Mutual Fund Civil Litigation Under Section 36(b) of the Investment Company Act of 1940 and State Law
Beyond Investments: Additional Risks Keeping Financial Services Professionals Up at Night
- Tamara K. Salmon, Moderator, Senior Associate Counsel, Investment Company Institute
- Daniel S. Bender, Managing Director, Risk Consulting, KPMG LLP
- William D. Mennonna, Director of Risk Management, Pioneer Investments
- Holly H. Miller, Managing Director, Middle Office Outsourcing, SEI
- William L. Roland, Vice President, Investment Risk, ICMA Retirement Corporation
Top Ten Areas of Operational Risk
Tools for Identifying and Mitigating Operational Risk
Wednesday, March 21
The New Enforcement Philosophy at the SEC: Are Routine Compliance Inspections a Thing of the Past?
- Thomas M. Mistele, Moderator, Director, Chief Operating Officer, and Senior Counsel, Dodge & Cox
- Andrew Bowden, Associate Director, Investment Advisers and Investment Companies, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
- Ari Gabinet, General Counsel, Asset Management, OppenheimerFunds, Inc.
- Robert B. Kaplan, Co-chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
- John H. Walsh, Partner, Sutherland Asbill & Brennan LLP
Keeping the Fox Out of the Hen House: Using Principles of Behavioral Finance to Instill and Enforce an Ethical Culture Within an Organization
- Dr. Hersh Shefrin
Mario L. Belotti Professor of Finance
Santa Clara University