Agenda
Download
8:00 AM – 8:30 AM
Registration and Continental Breakfast
8:30 AM – 8:45 AM
Welcome and Opening Remarks
Co-Chairs:
Evan Charkes, Managing Director & Associate General Counsel, Global Wealth & Investment Management, Bank of America Merrill Lynch
Nina Shenker, Vice Chairman, JP Morgan Asset & Wealth Management
8:45 AM – 9:45 AM
Managed Accounts: SEC Examinations and Enforcement
This session will cover the SEC’s recent initiatives affecting managed accounts. Topics will include lessons from recent examinations and enforcement sweeps as well as projected changes and areas of focus in 2017.
Speakers:
Dan Kahl, Cheif Counsel, OCIE, SEC
Drew Bowden, Senior Vice President & General Counsel, Jackson National LIfe Insurance Company
Steve Stone, Partner, Morgan, Lewis & Bockius LLP
9:45 AM – 10:45 AM
Managed Accounts Post-DOL Rule
With a focus on the most talked about regulatory topic of 2016-2017, our expert panel will discuss steps firms have been taking in preparing to comply with the DOL fiduciary rule. Topics will include changes firms are implementing – or contemplating – with regard to product lineups, proprietary products, managed account sales, and new mutual fund share classes.
Moderator:
Evan Charkes, Managing Director & Associate General Counsel, Global Wealth & Investment Management, Bank of America Merrill Lynch
Panelists:
Bruce Gallant, Of Counsel, Stroock & Stroock & Lavan LLP
Dan Kleinman, Partner, Morgan Lewis & Bockius
Margaret Raymond, Senior Legal Counsel, T. Rowe Price
Jesse Taran, Managing Director & Associate General Counsel, JP Morgan Chase Bank
10:45 AM – 11:00 AM
Refreshment and Networking Break
11:00 AM – 12:00 PM
New Trends: Variable Annuities and Managed Accounts
This session will examine new product designs in variable annuities and managed accounts, including their impact on traditional share class structures and distribution practices.
Speakers:
Drew Bowden, Senior Vice President & General Counsel, Jackson National Life Insurance Company
Cliff Kirsch, Partner, Eversheds Sutherland
Steve Stone, Partner, Morgan, Lewis & Bockius LLP
12:00 PM – 1:00 PM
Networking Luncheon
1:00 PM – 1:30 PM
Active and Passive Strategies
The endless debate about the relative merits of active and passive investment strategies is hotter than ever given the variety of products being brought to market and the spotlight on performance and cost. But it doesn’t have to be an either-or decision. Today’s flexible managed account structures allow for advisors to incorporate both active and passive strategies when designing portfolios to meet clients’ needs. This panel will explore product developments and examine issues advisers should consider.
Moderator:
Nina Shenker, Vice Chairman, JPMorgan Asset & Wealth Management
Panelists:
Robert F. Deutsch, Managing Director, Head of ETF Business, JP Morgan Asset Management
Mark Manley, Senior Vice President, Deputy General Counsel & Chief Compliance Officer, AllianceBernstein LP
Daniel A. Moonay, Managing Director & Senior Counsel, BlackRock
1:30 PM – 2:30 PM
Key Trading Issues in Managed Accounts
Reflecting the perspective of both sponsors and managers, this panel will look at challenges – and best practices – related to trade sequencing, trading away and step-outs, and assessing execution quality.
Speakers:
Dean Pinto, Executive Director, Morgan Stanley Wealth Management
Nellie Bronner, GSAM Compliance, Goldman, Sachs & Co
2:30 PM – 2:45 PM
Refreshment and Networking Break
2:45 PM – 3:45 PM
The Nuts and Bolts of Supervision
This session will provide an overview of the basic principles of supervision within firms and across service providers, including the supervision of sub-advisers.
Speakers:
Marion Chan, Managing Director, Chase Wealth Management, Chief Supervisory Officer
Jennifer Klass, Partner, Morgan, Lewis & Bockius LLP
Maureen Sheehan, Senior Counsel, Wells Fargo & Company
Mackenzie Crane, Assistant General Counsel and Director, Bank of America
3:45 PM – 4:45 PM
Technology and Governance
The final session is devoted to emerging and re-emerging technologies and how they intersect with governance and compliance issues. Our panel of experts will discuss technology trends impacting our industry.
Speakers:
Ben Alden, General Counsel, Betterment
Todd Cook, Managing Director & Associate General Counsel, JPMorgan Chase Bank
Katy Gordon, Of Counsel, Morgan, Lewis & Bockius LLP
Robert Shapiro, Branch Chief in Investment Management, U.S. Securities and Exchange Commission
4:45 PM – 5:00 PM
Closing Remarks and Adjournment
Co-Chairs:
Evan Charkes, Managing Director & Associate General Counsel, Global Wealth & Investment Management, Bank of America Merrill Lynch
Nina Shenker, Vice Chairman, Vice Chairman, JPMorgan Asset & Wealth Management
5:00 PM – 6:00 PM
Networking Reception
MMI reserves the right to change the agenda and content.
