Program
October 11 and 13 • Virtual
Program
All program times are shown in eastern time (ET).
Tuesday, October 11 | Thursday, October 13
Tuesday, October 11
11:00–11:45 a.m.
Keynote Fireside Chat
WILLIAM A. BIRDTHISTLE
Director, Division of Investment Management
Securities and Exchange Commission
SUSAN OLSON
General Counsel
Investment Company Institute
11:45–11:50 a.m.
Break
11:50 a.m.–12:50 p.m.
Covering the (Expanded) Waterfront: The SEC’s Rulemaking Agenda for Funds and Advisers in 2022
The SEC’s rulemaking activity over the past year has been remarkable in its volume, speed, and ambition. This panel will explore what it means for the investment management industry.
MATTHEW THORNTON, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute
ANNE C. CHOE
Partner
Willkie Farr & Gallagher LLP
COREY A. ISSING
Managing Director and General Counsel
Neuberger Berman Investment Advisers LLC
CAROLINE KRAUS
Managing Director, Head of Legal
Goldman, Sachs & Co. LLC
SARAH G. TEN SIETHOFF
Associate Director, Rulemaking Office
12:50–1:50 p.m.
Lunch Break/Thought Leadership
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Thought Leadership: Dechert
Fund Innovation and Trends
Panelists will discuss recent trends and fund innovations, including:- Developments in alternative investment funds
- Digital assets, blockchain technologies and funds
- Mutual fund to ETF conversions
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Thought Leadership: Ropes & Gray
SEC Priorities: What they mean for you
Panelists will discuss regulatory priorities including lessons learned from the implementation of Rules 2a-5 and 18f-4, the proxy voting amendments, and what to be thinking about in light of the SEC’s 15(c) initiative, among other recent developments.
1:50–2:35 p.m.
New Frontier: ESG Fund Investing Strategies
This panel will examine the growth in the number of funds pursuing ESG investing strategies and how they might be affected by the SEC’s recent proposal to require funds and advisers to provide additional information regarding their ESG investment practices. The panel also will examine how the fund ESG proposal relates to the SEC’s recent proposal requiring public companies to provide certain climate-related information in their registration statements and annual reports.
DOROTHY M. DONOHUE, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute
SARA P. CROVITZ
Partner
Stradley Ronon Stevens & Young, LLP
STEPHANIE HUI
Vice President and Counsel
Dimensional Fund Advisors, LP
BRIAN M. JOHNSON
Assistant Director, Rulemaking Office
Division of Investment Management
Securities and Exchange Commission
2:35–2:45 p.m.
Break
2:45–3:15 p.m.
The Pain of the Name Game
The SEC’s proposed amendments to Rule 35d-1, the fund “names rule,” are intended to help ensure that a fund name does not misrepresent the fund’s investments and risks. Do they go too far? This fast-paced session will explore different perspectives on the proposal and where there might be common ground for moving forward.
KENNETH C. FANG, Moderator
Associate General Counsel
Investment Company Institute
COREY F. ROSE
Partner
Dechert LLP
AMANDA HOLLANDER WAGNER
Senior Special Counsel
Division of Investment Management
Securities and Exchange Commission
Thursday, October 13
11:00–11:05 a.m.
Welcoming Remarks
11:05–11:50 a.m.
Keynote Address
JAIME LIZÁRRAGA
Commissioner
Securities and Exchange Commission
11:50 a.m.–12:05 p.m.
Break
12:05–12:50 p.m.
The View from the General Counsel’s Office: It’s a Regulatory Storm!
Join this panel of senior asset management legal officers for a practical discussion of how to successfully navigate the current regulatory environment and prepare your firm for the many expected regulatory changes just over the horizon.
JOSHUA RATNER, Moderator
Head of America Operations
Pacific Investment Management Company LLC
PETER BONANNO
General Counsel
J.P. Morgan Asset Management
DEEPA DAMRE SMITH
General Counsel
Matthews International Capital Management, LLC
CHRISTOPHER M. ROHRBACHER
Deputy General Counsel
Allspring Global Investments, LLC
12:50–1:50 p.m.
Lunch Break/Thought Leadership
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Thought Leadership: Morgan Lewis
ESG, Exams and Enforcement—Practical Tips for Managers
A practical discussion of the implementation of ESG strategies and development of ESG policies for asset managers, informed by learnings from recent SEC ESG examinations and enforcement activity.
1:50–2:50 p.m.
Uncharted Waters: Examinations and Enforcement Under SEC Chair Gensler
This panel will discuss how the SEC’s Divisions of Examinations and Enforcement have taken shape under SEC Chair Gensler and what it bodes for registrants.
TAMARA K. SALMON, Moderator
Associate General Counsel
Investment Company Institute
ANDREW DEAN
Co-Chief, Asset Management Unit
Division of Enforcement
Securities and Exchange Commission
VANESSA L. HORTON
Associate Regional Director
Division of Examinations
Securities and Exchange Commission
JULIE M. RIEWE
Partner
Debevoise & Plimpton LLP
COREY SCHUSTER
Co-Chief, Asset Management Unit
Division of Enforcement
Securities and Exchange Commission
2:50–3:00 p.m.
Break
3:00–3:30 p.m.
Dead Reckoning: Where Are We and Where Are We Headed?
This panel, which will be conducted through a series of rapid-fire questions to industry experts, will explore current industry issues, the experts’ take on such issues, where we are headed, and what these experts believe the future may hold.
TAMARA K. SALMON, Moderator
Associate General Counsel
Investment Company Institute
AMY R. DOBERMAN
Partner
Wilmer Cutler Pickering Hale and Dorr LLP
JULIE M. RIEWE
Partner
Debevoise & Plimpton LLP
COREY F. ROSE
Partner
Dechert LLP