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Tuesday, February 27, 2018
8:30am - 9:30amContinental Breakfast
9:30am - 9:30amWelcome from the Chair
9:30am - 10:30amPanel 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 - 11:00amRefreshment break
11:00am - 11:45amPanel 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 - 12:15pmKeynote Speaker
Troy A. Paredes, former SEC commissioner (2008-2013); Founder, Paredes Strategies
12:15pm- 1:15pmLunch
1:15pm - 2:00pmTrack 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 - 2:45pmTrack A : Subadviser relationships
Devin McCune, Vice President, governance, risk and compliance, Broadridge		Track B: Cybersecurity oversight
2:45pm - 3:15pmNetworking Break
3:15pm - 3:45pmKeynote speaker
Andrew 'Buddy' Donohue, former DIM director, SEC chief of staff, counsel, , Shearman & Sterling
3:45pm - 4:30pmPanel 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 
  • SEC approach and regulatory developments 
  • Recent developments 
  • Fee approval and contract review 
  • Oversight structure: Do ETFs need a discrete board of directors?
4:30pm

Please note: The organizers reserve the right to amend the program, timings and speakers as necessary.