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2013 Policy Conference

Wednesday, April 10 - Thursday, April 11, 2013
Washington, DC

Overview

The Forum's annual Policy Conference, held in Washington DC on April 10-11, 2013, brings independent directors together with legislators, regulators, and other industry experts to discuss issues of critical concern to fund directors.  

Featured Speakers:  

Troy Paredes, SEC Commissioner

Congressman Scott Garrett, Chair of the House Financial Services Subcommittee on Capital markets and Government Sponsored Enterprises

David Grim, Deputy Director of the SEC Division of Investment Management

Featured Topics:

  • Current Issues in Valuation – The SEC’s recent enforcement action against independent directors has focused attention on fair valuation practices.  What are other boards doing in this area to ensure compliance with SEC regulations?  What insights can you bring back on this topic to your boardroom?

  • Working with the SEC – The SEC is conducting more “sweeps” and demanding more information than ever before.  How can you and your complex best respond to and work with the SEC in a way that protects your shareholders?

  • Stewardship Grades - Are they useful?  The 2013 Policy Conference will feature a debate between the author of a recent paper calling into question the validity of the Morningstar Stewardship Grades, and a representative of Morningstar.  Do the Stewardship Grades provide helpful information for shareholders, or not?  This debate will help you decide.

The Forum would like to thank this year’s sponsor, Dechert, LLP.

Special thanks also to:
Strategic Insight
BoardVantage

Representative Scott Garrett

Chair, House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises

U.S. House of Representatives

Troy Paredes

Commissioner

U.S. Securities & Exchange Commission

Marco Adelfio

Partner

Goodwin Procter LLP

Donna F. Anderson, CFA

Vice President and Global Corporate Governance Analyst

T. Rowe Price Associates, Inc.

Ashok Bakhru

Independent Chair

Goldman Sachs Funds

Geoff Bobroff

President

Bobroff Consulting

Paul H. Dykstra

Partner

K&L Gates LLP

Nicholas D'Angelo

Director

PwC

Peggy Eisen

Independent Director

Columbia Acorn Funds

Michael E. Garrity

Associate Director, Examination Program, Boston Regional Office

U.S. Securities & Exchange Commission

David Grim

Deputy Director, Division of Investment Management

U.S. Securities & Exchange Commission

David Harris

Partner

Dechert LLP

Robert Helm

Partner

Dechert LLP

Robert Kaplan

Partner

Debevoise & Plimpton LLP

Laura Lutton

Editorial Director, Fund Research Group

Morningstar, Inc.

Lori Martin

Partner

Wilmer Hale LLP

Michelle Mesack

Counsel

Mutual Fund Directors Forum

Garry Moody

Independent Director

AllianceBernstein Funds

Matthew R. Morey

Professor of Finance at the Lubin School of Business

Pace University

Avi Nachmany

Director of Research, Executive Vice President

Strategic Insight

Meyrick Payne

Managing Partner

Management Practice, Inc.

William Pridmore

William F. Pridmore, LTD

Julie M. Riewe

Deputy Chief, Asset Management Unit, Division of Enforcement

U.S. Securities & Exchange Commission

David Smith

Executive Vice President & General Counsel

Mutual Fund Directors Forum

Cary Stier

Vice Chairman and Managing Partner, U.S. Asset Management Services

Deloitte LLP

William H. Stewart

Senior Vice President

Booz Allen Hamilton

Frank Tarantino

Chief Compliance Officer

MFS Funds

William Thornhill

Director, Threat and Vulnerability Management

TIAA-CREF

Stephen Topetzes

Partner

K&L Gates LLP

Robert Wittie

Partner

K&L Gates LLP

Agenda

MFDF 2013 Policy Conference Printable Agenda

Wednesday, April 10

8:00 - 8:45    Registration & Continental Breakfast
      
8:45 - 10:00    Current Topics in Valuation
          Moderated by Robert Helm, Dechert LLP
     Lori Martin, Wilmer Hale LLP
     Garry Moody, AllianceBernstein Funds
     Cary Stier, Deloitte LLP
      
10:00 - 10:30    Break
      
10:30 - 11:15    Debate on Morningstar Stewardship Grades:  Do They Predict Fund Performance?
          Moderated by David Smith, Mutual Fund Directors Forum
     Laura Lutton, Morningstar, Inc.
          Matthew Morey, Lubin School of Business, Pace University
      
11:15 - 12:30    Working with the SEC
          Moderated by Frank Tarantino, MFS Funds
     Michael Garrity,  Office of Compliance, Inspections and Examinations, SEC
     Robert Kaplan, Debevoise & Plimpton, LLP
     Julie Riewe, Asset Management Unit, Division of Enforcement, SEC 
      
12:30 - 2:00    Lunch - Address:  Forces Shaping the Mutual Fund Industry:
Investor Preferences, Fund Innovations, and Trends in
Distribution, Fees, and Financial Advisor Compensation
          Avi Nachmany, Strategic Insight
      
2:00 - 3:15    Securities Lending:  Assessing the Value to Shareholders
          Moderated by Robert Wittie, K&L Gates LLP
     Peggy Eisen, Columbia Acorn Funds
     William Pridmore, William F. Pridmore, LTD
     Steven Topetzes, K&L Gates LLP
      
3:15 - 3:30    Break
      
3:30 - 4:45    Breakout Sessions
   

   Board Culture
   Ashok Bakhru, Goldman Sachs Funds
   Paul Dykstra, K&L Gates

   Models of Proxy Voting
   Donna F. Anderson, CFA, T. Rowe Price Associates, Inc. 
   Michelle Mesack, Mutual Fund Directors Forum

   Whether, and How, to Use Consultants
   Marco Adelfio, Goodwin Procter LLP
   Geoff Bobroff, Bobroff Consulting

     
6:00    Reception
      
7:00    Dinner
          Featured Speaker:  Representative Scott Garrett
     Chair of the House Financial Services Subcommittee on
     Capital Markets and Government Sponsored Enterprises
     U.S. House of Representatives

 

Thursday, April 11

8:15 - 9:30    Fund Directors' Breakfast:  
     Conversation on Board Self-Assessments
          Moderated by Meyrick Payne, Management Practice, Inc.
      
9:30 - 10:00    Featured Speaker
          David Grim, Division of Investment Management
     U.S. Securities & Exchange Commission
        
10:00 - 10:30    Keynote Address
          SEC Commissioner Troy Paredes
      
10:30 - 10:45    Break
      
10:45 - 12:00    Funds and Data Security
          Moderated by David Harris, Dechert LLP 
     
Nicholas D'Angelo, PwC
     William H. Stewart, Booz Allen Hamilton
     William Thornhill, TIAA-CREF
      
12:00    Lunch

 

The Forum would like to thank this year’s sponsor, Dechert, LLP.

Special thanks also to:
Strategic Insight
BoardVantage

Program Info

Registration Information

This event is open to all mutual fund industry personnel.

All cancellations prior to April 2, 2013 will be subject to a $50 cancellation fee.  Due to planning constraints, there is no refund for cancellations after April 2, 2013.

Location & Accommodations

The Madison Hotel
1177 15th Street, Northwest  (map)
Washington, DC 20005
1-800-424-8577
To make your reservation online at the MFDF group rate, click here.

Conference Attire

Business attire is requested for this event.

Media

This event is open to the media.  If you are a member of the press and would like to attend, please contact Chris Sullivan with MacMillan Communications at 212.473.4442.

Content

Individual session content may be modified to adapt to the changing business climate; however, the program's focus on fundamental concepts and issues identified in the program overview will be retained.

Questions

If you have questions about this event, please contact the Forum via phone at 202.507.4488, or email.

Making the 2013 Policy Conference Possible

The Forum would like to thank this year’s sponsor, Dechert, LLP.

Special thanks also to:
Strategic Insight
BoardVantage

Materials

2013 Policy Conference Keynote Address:  SEC Commissioner Paredes

Recorded April 11, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Address: Division of Investment Management

Recorded April 11, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Address:  Forces Shaping the Fund Industry

Recorded April 11, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Panel:  Funds and Data Security

Recorded April 11, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Panel:  Debate on Morningstar Stewardship Grades

Recorded April 10, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Panel:  Securities Lending:  Assessing the Value to Shareholders

Recorded April 10, 2013 read more

  • August 28, 2013
  • Tags: none

2013 Policy Conference Panel:  Working with the SEC

Recorded April 10, 2013 read more

  • August 28, 2013
  • Tags: none