Tuesday, February 27, 2018 | ||||||||||||||||
8:30am - 9:30am | Continental Breakfast | |||||||||||||||
9:30am - 9:30am | Welcome from the Chair | |||||||||||||||
9:30am - 10:30am | Panel 1: New blood at the SEC, and what it means for fund oversight Troy A. Paredes, former SEC commissioner (2008-2013); Founder, Paredes Strategies Kelley Howes, counsel, Morrison & Foerster Chad Earnst, Vice President & Chief Compliance Officer, Prudential Gregory DiMeglio, Partner, Stradley Ronon Stevens & Young, LLP Talking points: · New faces at the SEC · Priorities at Investment Management Division, Enforcement Division · Director Role · Information security at the commission | |||||||||||||||
10:30am - 11:00am | Refreshment break | |||||||||||||||
11:00am - 11:45am | Panel 3: The future of the investment management industry Paul Ellenbogen, Vice President, regulatory and compliance group, Broadridge Ben Philips, CIO, EventShares Daniel S Kern, CIO, TFC Financial Talking points: · Fund flows · Active-passive convergence · Share class innovations: T shares, clean shares · Fiduciary liability · Industry consolidation | |||||||||||||||
11:45am - 12:15pm | Keynote Speaker Troy A. Paredes, former SEC commissioner (2008-2013); Founder, Paredes Strategies | |||||||||||||||
12:15pm- 1:15pm | Lunch | |||||||||||||||
1:15pm - 2:00pm | Track A: Audit committee Michael Cosgrove, Director, Neuberger Berman Mutual Funds George Morriss, Independent Director/Trustee, Neuberger Berman Mutual Funds | Track B: Board composition and governance practices Stacy Louizos, Partner, Drinker Biddle & Reath LLP | ||||||||||||||
2:00pm - 2:45pm | Track A : Subadviser relationships Devin McCune, Vice President, governance, risk and compliance, Broadridge | Track B: Cybersecurity oversight | ||||||||||||||
2:45pm - 3:15pm | Networking Break | |||||||||||||||
3:15pm - 3:45pm | Keynote speaker Andrew 'Buddy' Donohue, former DIM director, SEC chief of staff, counsel, , Shearman & Sterling | |||||||||||||||
3:45pm - 4:30pm | Panel 4 Oversight of exchange-traded funds Peter Shea, partner, K&L Gates Amy Doberman, partner, WilmerHale Dave Nadig, CEO, ETF.com Bill Donahue, Managing Director, PricewaterhouseCoopers Michael Wachs, Trustee, ProShares, ETFs, Linden Lane Capital Talking Points
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4:30pm |