Agenda as of 6/13/2018
Download PDF
8:00 AM – 8:30 AM
Registration and Continental Breakfast
8:30 AM – 8:45 AM
Welcome and Opening Remarks
Co-Chairs:
Leah Buenaventura, Director and Assistant General Counsel, Bank of America Merrill Lynch
Daniel Moonay, Managing Director and Senior Counsel, BlackRock
8:45 AM – 9:15 AM
Regulatory Developments
Hear from the investment advisor, transfer agent and broker-dealer perspectives about the SEC’s National Examination Program and its likely impact on their businesses. Topics share class suitability rules and disclosure obligations. Recent developments with respect to the DOL fiduciary rule and how those developments affect retirement accounts will also be part of the discussion.
Cliff Kirsch, Partner, Eversheds Sutherland
Steve Stone, Partner, Morgan, Lewis & Bockius LLP
9:15 AM – 10:15 AM
Proposed SEC Standards of Conduct for Broker-Dealers and Investment Advisers
This session will take a close look at the SEC’s proposed Regulation Best Interest, Interpretation Regarding Standard of Conduct for Investment Advisers and Form CRS with a view to managed account programs, including key aspects affecting client disclosures, management of conflicts of interests and suitability requirements.
Gregory P. Candela, Director and Head of Legal-Wealth Management Americas, Deutsche Bank
Dean Pinto, Executive Director, Morgan Stanley
Steve Stone, Partner, Morgan, Lewis & Bockius LLP
NIna Shenker, Vice Chairman, JP Morgan Asset & Wealth Management
10:15 AM – 10:30 AM
Refreshment and Networking Break
10:30 AM – 11:30 AM
Investment and Product Developments
This panel will explore different types of investments and products, including specialized advisory vehicles such as private equity funds, cash products, fee-based variable annuities. The discussion will also include a review of ESG adoption trends and benchmarking in managed accounts.
Drew Bowden, Senior Vice President & General Counsel, Jackson National Life Insurance Company
Ben Buckley, Portfolio Analyst, ClearBridge Investments
Lindsay Jackson, Partner, Morgan, Lewis & Bockius LLP
Matthew Slomienski, Director, Compliance Manager, Bank of America Merrill Lynch
11:30 AM – 12:30 PM
SEC Examinations
This session will focus on recent changes to the SEC’s examination program, their significance for industry oversight, shifts in SEC enforcement procedures in the managed accounts area, and what lies ahead for the industry in the second half of 2018.
Thomas Butler, Associate Regional Director, U.S. Securities and Exchange Commission Office of Compliance Inspections and Examinations
Jim Reese, Chief Risk and Strategy Officer, U.S. Securities and Exchange Commission Office of Compliance Inspections and Examinations
Steve Stone, Partner, Morgan, Lewis & Bockius LLP
12:30 PM – 1:30 PM
Networking Luncheon
1:30 PM – 2:30 PM
Key Trading Issues
Reflecting the perspective of both sponsors and managers, this panel will look at challenges – and best practices – related to trade sequencing, trading away, step-outs, and the assessment of execution quality.
David Friedman, Director, Compliance, BlackRock
Julie Lyman, Director & Assistant General Counsel, Bank of America Merrill Lynch
Barbara Manning, Managing Director, General Counsel & Chief Compliance Officer, ClearBridge Investments
2:30 PM – 2:45 PM
Refreshment and Networking Break
2:45 PM – 3:45 PM
Workplace Diversity in Financial Services
During this fireside chat-style session, you will hear about recent developments with respect to diversity in the workplace. The discussion will revisit the intent of Section 342 of the Dodd-Frank Act to improve workplace diversity at financial institutions and their regulators through the creation of Offices of Minority and Women Inclusion within the regulating agencies. In particular, the session will explore the ins-and-outs of creating and adopting strategies for improving workplace diversity.
Sandra Altine, Senior Vice President - Global Diversity and Inclusion, Moody’s
Allison Green, Senior Vice President of Inclusion and Engagement, Chief Diversity Officer, Lincoln Financial Group
Larry Turner, Partner, Morgan, Lewis & Bockius LLP
3:45 PM – 4:45 PM
The Impact of FinTech
The final session is devoted to emerging and re-emerging technologies and how they intersect with governance and compliance issues. Our expert panel will review a broad range of technology trends impacting our industry: robos, crypto currency and blockchain, electronic signatures, cyber security, privacy concerns, and the European Union’s General Data Protection Regulation (GDPR).
Erin Correale, Executive Director, Compliance Director, JP Morgan
Jen Klass, Partner, Morgan, Lewis & Bockius LLP
Will Miller, Vice President, Associate General Counsel, Goldman Sachs & Co. LLC
Justin Millette, Director & Assistant General Counsel, Bank of America Merrill Lynch
4:45 PM – 5:00 PM
Closing Remarks and Adjournment
Co-Chairs:
Leah Buenaventura, Director and Assistant General Counsel, Bank of America Merrill Lynch
Daniel Moonay, Managing Director and Senior Counsel, BlackRock
5:00 PM – 6:00 PM
Networking Reception
