Program
March 27–30 • Palm Desert, CA
Program
All program times are shown in Pacific time (PT).
Sunday, March 27 | Monday, March 28 | Tuesday, March 29 | Wednesday, March 30
Sunday, March 27
1:30–3:30 p.m.
Preconference Volunteer Activity | Springs Salon F
4:00–7:00 p.m.
Conference Help Desk Open | Center/North Counters
(On-site registration will not be available for this conference.)
5:00–7:00 p.m.
Welcome Reception | JW Pavilion and Grove
Sponsored by EPIC Insurance Brokers & Consultants, Kessler Topaz Meltzer & Check, LLP, ACA Group, Citi, Confluence, and ISS 15(c)
Monday, March 28
7:00 a.m.–4:15 p.m.
Conference Help Desk Open | Center/North Counters
7:00–8:30 a.m.
Breakfast | Springs Patio
8:30–8:35 a.m.
Welcoming Remarks | Sinatra Ballroom
MARGARET CAREY
Senior Vice President and Deputy General Counsel
Fidelity Investments
8:35–8:55 a.m.
ICI President’s Address | Sinatra Ballroom
ERIC J. PAN
President and CEO
Investment Company Institute
9:00–9:25 a.m.
Keynote Remarks | Sinatra Ballroom
WILLIAM A. BIRDTHISTLE
Director
Division of Investment Management
US Securities and Exchange Commission
9:30–10:15 a.m.
Discussion with Senior SEC Division of Investment Management Personnel | Sinatra Ballroom
SARAH G. TEN SIETHOFF
Deputy Director
Division of Investment Management
US Securities and Exchange Commission
SUSAN OLSON
General Counsel
Investment Company Institute
10:15–11:00 a.m.
Refreshment Break | Sinatra Ballroom Foyer
Sponsored by AST Fund Solutions and Confluence
11:00–11:45 a.m.
Concurrent Panels
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Session A: What’s Happening in Diff’rent Strokes: Trends in Specialized Products | Springs Salon F
Although mutual funds remain the largest regulated fund category, other products recently have seen large inflows and are gaining steam. This panel will examine current trends and discuss the latest developments in exchange-traded funds, closed-end funds, interval funds, and other investment vehicles.
KENNETH FANG, Moderator
Associate General Counsel, Securities Regulation
Investment Company InstituteCHRISTIAN CLAYTON
Executive Vice President
PIMCO FundsHUGH FARRISH
Head of Americas ETF Product
J.P. Morgan Asset ManagementJENNIFER R. GONZALEZ
Partner
K&L Gates LLPERIC S. PURPLE
Partner
Stradley Ronon Stevens & Young, LLP -
Session B: The Fund Board Perspective on Regulatory and Industry Developments | Sinatra Ballroom
This panel will cover implementation of recently adopted SEC rules; prospects and perspectives on new rules affecting fund governance; views on environmental, social, and governance (ESG) investing; what boards should be aware of regarding innovations in the industry; and diversity and inclusion in the independent director community.
THOMAS T. KIM, Moderator
Managing Director
Independent Directors CouncilKATHLEEN T. BARR
Independent Director
William Blair Funds and Professionally Managed PortfoliosCHRISTOPHER E. PALMER
Partner
Goodwin Procter LLPRANA J. WRIGHT
General Counsel, Harris Associates
Interested Trustee, Oakmark Funds
11:45 a.m.–1:30 p.m.
Lunch on your own
1:30–2:00 p.m.
Keynote Remarks | Sinatra Ballroom
NATASHA CAZENAVE
Executive Director
European Securities and Markets Authority (ESMA)
2:15–3:00 p.m.
Concurrent Panels
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Session C: Legislative Outlook in a Pivotal Election Year | Springs Salon F
KATHLEEN L. MELLODY, Moderator
Senior Government Affairs Officer
Investment Company InstituteANDY BLOCKER
Global Head of Public Policy and Head of US Government Affairs
Invesco Ltd.MICHELLE Y. MESACK
Managing Director, Head of Federal Government Relations
JPMorgan Chase & Co. -
Session D: Thinking Outside the Box: Innovations in Financial Offerings for Retail Investors | Sinatra Ballroom
Innovators are creating new financial products and services aimed at retail investors, both within and outside the investment company space. Join us to explore developments with cryptocurrency and digital assets, robo-advisers, direct indexing, fractional shares, private funds, and private market offerings for Main Street investors. Final frontier or brave new world?
BRIDGET D. FARRELL, Moderator
Assistant General Counsel, Securities Regulation
Investment Company InstituteMARIAN FOWLER
Partner
Kirkland & Ellis LLPKRISTEN FREEMAN
Senior Director, Counsel
ProSharesALISON STALOCH
CFO
FundriseRICHARD C. SARHADDI
Chief Compliance Officer, Just Invest, LLC
Vanguard
3:15–5:00 p.m.
Diversity and Inclusion Keynote Remarks and Reception | Sinatra Ballroom
At this research-based session, you will learn how managers and coworkers can embed and reinforce inclusive behaviors for all employees within an organization, thereby helping to ensure that everyone can meet their full potential. Specific topics will include resource allocations, performance evaluations, promotions, and pay practices.
JULIA TAYLOR KENNEDY
Executive Vice President
Coqual
Sponsored by Broadridge, Dechert, Faegre Drinker Biddle & Reath, FilePoint, FIS, J.P. Morgan, KPMG, Morrison & Foerster, Workiva
Tuesday, March 29
7:30 a.m.–12:30 p.m.
Conference Help Desk Open | Center/North Counters
7:30–8:15 a.m.
Breakfast | Springs Patio
Sponsored by Quality Edgar Solutions
8:15–9:15 a.m.
Keynote Remarks | Sinatra Ballroom
Session sponsored by Citi
Oz Pearlman is a world-class entertainer and one of the busiest mentalists in the country. He developed an interest in magic at a young age and what started as a hobby quickly became a lifelong passion. After a couple of years spent working on Wall Street, Oz decided to pursue his dream and become a full-time entertainer. He has now been dazzling audiences with his unique mind-reading ability for over a decade.
9:15–10:15 a.m.
General Session
Warp Speed Rulemaking: ESG, Proxy Matters, Disclosure Reform | Sinatra Ballroom
SEC Chair Gary Gensler is pursuing a multifaceted, voluminous rulemaking agenda. The panel will explore four recent proposals that will greatly affect funds, investment advisers, and fund investors: public company climate change–related disclosure, public company workforce disclosure, modernization of fund proxy voting disclosure, and fund disclosure reform.
DOROTHY M. DONOHUE, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute
LANCE C. DIAL
Partner
Morgan, Lewis & Bockius LLP
BOB GROHOWSKI
Managing Counsel, Legislative and Regulatory Affairs
T. Rowe Price Associates, Inc.
PETER G. REALI
Managing Director, Head of Stewardship—Responsible Investing
Nuveen Fund Advisors, LLC
10:15–10:30 a.m.
Refreshment Break | Sinatra Ballroom Foyer
Sponsored by AST Fund Solutions and Confluence
10:30–11:30 a.m.
General Session
How to Set a Table: An Exercise in Risk Mitigation | Sinatra Ballroom
In this panel, you will observe a live tabletop exercise, where information security practitioners analyze and respond to an attack scenario as it evolves and gets increasingly complex. See when, and how, to involve the board, outside counsel, law enforcement, insurance carriers, and the media.
PETER SALMON, Moderator
Senior Director, Technology & Cybersecurity
Investment Company Institute
JOHN ANSBACH
Vice President
Stroz Friedberg
MIKE CATLIN
Head of Technology Services and CISO
Capital Research and Management Company
CHRISTOPHER WILSON
Board Chair
Invesco Funds
11:30–11:45 a.m.
Refreshment Break | Sinatra Ballroom Foyer
Sponsored by AST Fund Solutions and Confluence
11:45 a.m.–12:45 p.m.
Concurrent Panels
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Session E: Fund Industry Civil Litigation: Year in Review | Springs Salon F
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
Senior Vice President and General Counsel
ICI Mutual Insurance CompanyEBEN P. COLBY
Partner
Skadden, Arps, Slate, Meagher & Flom LLPSEAN M. MURPHY
Partner
Milbank LLPABIGAIL MURRAY
Managing Counsel
Janus Henderson Investors -
Session F: Compliance Challenges in the Current Environment: A Conversation with Fund CCOs | Sinatra Ballroom
Hear from three experienced fund chief compliance officers (CCOs) about the challenges they are experiencing in the current regulatory environment and how they are responding to these challenges. Topics include how CCOs are incorporating ESG into the compliance function; exploring new, more efficient ways of overseeing funds’ subadvisers; and keeping up with the panoply of new SEC regulations.
TAMARA K. SALMON, Moderator
Associate General Counsel
Investment Company InstitutePETER DRISCOLL
Partner
PricewaterhouseCoopers LLPBRIAN HARRIS
Funds Chief Compliance Officer and Managing Director
State Street Global AdvisorsMICHAEL F. HOGAN
Chief Compliance Officer
Charles Schwab Investment Management, Inc.CHRISTY SEARS
Chief Compliance Officer
American Beacon Funds
Wednesday, March 30
7:30 a.m.–10:30 a.m.
Conference Help Desk Open | Center/North Counters
7:30–8:30 a.m.
Breakfast | Springs Patio
Sponsored by SS&C Technologies
8:30–9:30 a.m.
General Session
Good Cop, Bad Cop: Examinations and Enforcement Under the Gensler Commission | Sinatra Ballroom
This panel will discuss priorities of the SEC’s Divisions of Examinations and Enforcement and how these divisions are operating under SEC Chair Gary Gensler.
MATT CHAMBERS, Moderator
General Counsel and Chief Compliance Officer
Horizon Investments, LLC
VANESSA L. HORTON
Associate Regional Director
Division of Examinations
US Securities and Exchange Commission
ANTHONY S. KELLY
Partner
Dechert LLP
DABNEY O’RIORDAN
Cochief, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission
9:30–10:30 a.m.
Keynote Remarks | Sinatra Ballroom
MEB KEFLEZIGHI
Runner, Best-Selling Author, and Founder of 26
Meb is a runner, best-selling author, and cofounder of 26, a brand celebrating and enriching the enduring spirit of running culture. He is the only runner in history to win the New York City Marathon, the Boston Marathon, and an Olympic medal. Today, Meb is committed to helping runners become elite versions of themselves and nurturing the sport of running for the next generation.
10:30 a.m.