Legal & Compliance Seminar

June 21, 2017 | Morgan Lewis, New York

Co-Chairs:
Evan Charkes, Managing Director & Associate General Counsel, Global Wealth & Investment Management, Bank of America Merrill Lynch
Nina Shenker, Managing Director, JP Morgan

MMI’s one-day Legal & Compliance Seminar brings together senior business executives, chief compliance officers, and their legal counsel to discuss the most challenging issues facing the investment advisory solutions industry today.

This year’s event highlights such topics as navigating amid the lingering  DOL rule uncertainty and trends in SEC examinations and enforcements. With important regulatory issues and changes taking place in 2017, the seminar is a must attend event. Space is limited to 75 seats and this conference sells out quickly each year.

This is an opportunity to connect with and learn from some of the best regulatory and compliance executives in our industry.

To encourage an interactive program, no media will attend.


Additional Information

Agenda

Agenda

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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:
TBA

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 performance struggles of active managers and the current focus on low-cost investments. 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 and choose a combination suited to a particular client’s needs. This panel will examine the pros and cons of each approach and examine the issue from the asset manager, distributor, and advisor perspectives.

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
TBA

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 Office
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. 

Registration Fee

The standard Seminar Registration Fee is $650.

An Early Registration Fee of $575 is available through May 15, 2017.

Volume discount for multiple attendees from the same firm:
Once two attendees from your firm have registered for the Seminar, any new attendees are eligible for a 10% discount from the Standard Registration Fee. Contact MMI headquarters at (646) 868-8500 for details and the special code to use during registration.

Cancellations: No refunds will be granted for cancellations after 5:00pm ET on Friday, June 9th. Substitutions are permitted. Please notify MMI at (646) 868-8516.

CLE Credits

CLE credits will be available for New York and selected jurisdictions.

Questions?

Attendee Registration:
Nia Mack
nmack@mminst.org
(646) 868-8506

Speaker Registration:
Samantha Lustig
slustig@mminst.org
(646) 868-8516

Fees & Billing:
events@mminst.org
(646) 868-8516

2017 Seminar Sponsor

2017 Seminar Partner

  • Morgan Lewis