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5438   CFL Roundtable 30 Jun 11:00AM 3:00PM June Monday 4 2018

Join independent chairs and independent lead directors at the next Conference of Fund Leaders event on June 4, 2018 11:00 – 3:00 pm, in Boston on the campus of Harvard Law School. The event will focus on the SEC’s contemplated valuation guidance, and the evolution of fund distribution platforms.

SEC staff recently have announced that they are exploring options to update valuation guidance for funds. Division Director Dalia Blass has said she contemplates that the guidance will include recommendations to assist boards in performing their valuation duties. Alison Staloch, Chief Accountant in the Division of Investment Management, is a key leader of this initiative, and she will discuss the staff’s thinking. In addition, attendees will have the opportunity to share their views on how the staff can best position directors to appropriately oversee valuation.

The second segment of the roundtable will explore fund distribution. The decisions that third party platforms make regarding their fund offerings have a significant impact on the fund industry. Frank McDonnell, Head of Global Mutual Funds in the Investment Solutions Group at Merrill Lynch, will participate in a Q&A designed to provide his insights into how Merrill Lynch thinks about the funds that will included on the platform.

As with every CFL event, there will be ample time for networking and conversation among fund leaders. There is no charge to attend the roundtable.

This program is open only to fund independent chairs and independent lead directors. To register, please click on the red "Register Now" button above (you will need to be logged in to the Forum's website and be a chair/lead independent director for this button to appear). If you have issues with registering online, please call the Forum at 202.507.4488.

 
 
 
We request business attire for this event.
        Cambridge, MA  
This event is closed to the media.
This program is open ONLY to Chairs and Lead Independent Directors of a U.S. mutual fund board.
Alison Staloch
Chief Account, Division of Investment Management
U.S. Securities and Exchange Commission
 
Alison is the Chief Accountant of the Division of Investment Management at the U.S. Securities and Exchange Commission. In this role, Alison works closely with Commission staff to develop recommendations for policies to ensure the full and fair disclosure of financial information by investments companies, interpretations of rules relating to the form and content of financial statements, and the establishment of uniform standards of auditing and accounting practices with respect to investment companies. Alison also manages the accounting examination program within the Division of Investment Management which reviews and provides comments on thousands of registered investment company’s annual financial statements and regulatory filings each year. She frequently discusses investment company accounting rules and industry practice issues at regional and national conferences.  
 
Alison joined the SEC in 2015 from KPMG LLP where she was as a Senior Manager in the audit practice specializing in the investment management industry, including investment companies registered under the Investment Company Act of 1940, private funds, commodity pools, family office trusts, and investment companies regulated by the Small Business Administration.
 
Alison has a Masters in Accounting from the Ohio State University Fisher College of Business. Alison is a Certified Public Accountant licensed in Ohio.
 
Frank McDonnell
Head of Global Mutual Funds, Investment Solutions Group
Merrill Lynch
 
Frank is responsible for overseeing the use of both domestic and offshore mutual funds across most of the Bank, including Merrill Lynch, Merrill Edge, Institutional Retirement and US Trust. 
 
Frank joined Merrill Lynch to lead the Global Mutual Funds team in July of 2016.  Prior to this move, Frank spent over 18 years at Morgan Stanley and predecessor firms.  In the year before joining Merrill Lynch, Frank was Head of Third Party Advisory Programs, encompassing Morgan Stanley’s Unified Managed Account, Dual-Contract SMA and Mutual Fund Wrap programs.  Prior to this role, Frank was Head of Morgan Stanley’s Mutual Fund, 529 Program and Investment Product Due Diligence team.  Frank began his time in Morgan Stanley’s Investment Products Division as their ETF Product Manager.
 
Frank’s prior roles at Morgan Stanley, Citigroup and Smith Barney spanned a wide range of assignments in the Financial Planning, Wealth Management, and Corporate Client Group departments.
 
Frank has a BA in History from Reed College and resides in Pennington, New Jersey.  He is active in coaching youth soccer and is an avid musician. 

Free
Free
C
Harvard Law School (The Caspersen Treasure Room in HLS Library)
1563 Massachusetts Avenue
Cambridge, MA  02138
 
Parking
For those of you driving to the event, please purchase a one-day parking pass at https://onedaypermit.vpcs.harvard.edu/cgi-bin/permit/purchase.pl. Each car must be registered with the HLS parking lot. The one-day pass cost is $17. Please select "Harvard Law School" for the Department field and "1006" or "7700" as the Department Code field when registering to purchase the parking pass.

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