Registration
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:
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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?
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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?
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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 | |
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Moderated by Robert Helm, Dechert LLP Lori Martin, Wilmer Hale LLP Garry Moody, AllianceBernstein Funds Cary Stier, Deloitte LLP |
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| 10:00 - 10:30 | Break | |
| 10:30 - 11:15 | Debate on Morningstar Stewardship Grades: Do They Predict Fund Performance? | |
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Moderated by David Smith, Mutual Fund Directors Forum Laura Lutton, Morningstar, Inc. |
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| Matthew Morey, Lubin School of Business, Pace University | ||
| 11:15 - 12:30 | Working with the SEC | |
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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 |
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| 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 |
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| Avi Nachmany, Strategic Insight | ||
| 2:00 - 3:15 | Securities Lending: Assessing the Value to Shareholders | |
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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 |
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| 3:15 - 3:30 | Break | |
| 3:30 - 4:45 | Breakout Sessions | |
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Board Culture
Whether, and How, to Use Consultants |
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| 6:00 | Reception | |
| 7:00 | Dinner | |
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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 |
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| Moderated by Meyrick Payne, Management Practice, Inc. | ||
| 9:30 - 10:00 | Featured Speaker | |
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David Grim, Division of Investment Management U.S. Securities & Exchange Commission |
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| 10:00 - 10:30 | Keynote Address | |
| SEC Commissioner Troy Paredes | ||
| 10:30 - 10:45 | Break | |
| 10:45 - 12:00 | Funds and Data Security | |
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Moderated by David Harris, Dechert LLP Nicholas D'Angelo, PwC William H. Stewart, Booz Allen Hamilton William Thornhill, TIAA-CREF |
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| 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