2018 MMI Legal & Compliance Seminar

June 19, 2018 | NYC
Morgan, Lewis & Bockius

101 Park Avenue, 39th Floor
New York, NY 10178

Leah Buenaventura, Director & Assistant General Counsel, Bank of America Merrill Lynch
Daniel Moonay, Managing Director & Senior Counsel, BlackRock

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 advisory solutions industry today.

With all of the important regulatory issues and changes taking place in 2018, the seminar is a “must attend” event. This year’s event will highlight topics including SEC examinations and enforcements, diversity in the workplace, and digital advice. Space is limited to 75 seats -- and this conference always sells out fast.

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

To encourage an interactive program, no media will attend.

Additional Information


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   

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

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


Registration categories and pricing are as follows:

Registration Date

Registration Type

Registration Fee

Volume Discount*

Now – May 11

Early Registration $575  N/A 

May 12 – June 19

Standard Registration $650  $585 

*Volume Discount: A 10% discount is available for additional participants from the same firm once two participants have enrolled at the $650 fee. Please notify MMI at (646) 868-8500 for the discount code.

Cancellation/Transfer Policy: All cancellations and transfers are subject to a $50 cancellation/transfer fee. Full refunds minus the $50 cancellation/transfer fee will be granted for cancellation requests received prior to 5:00PM ET on Friday, June 8th. After that time, no refunds or credits will be granted, however your registration can still be transferred to another individual at your firm. To cancel or transfer your registration, please notify MMI at (646) 868-8500.

Partners & Sponsors


CLE Credits

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

Hotel Suggestions

The following hotels are suggested options near the Seminar (located at the Morgan, Lewis & Bockius office at 101 Park Avenue, New York, NY 10178).

Dylan Hotel NYC
52 East 41st Street
New York, NY 10017
Tel: 212-338-0500
Distance: approx. 600 feet

Grand Hyatt New York
109 East 42nd Street at Grand Central Terminal
New York, NY 10017
Tel: 212-883-1234
Distance: 0.2 mile

Iberostar 70 Park Avenue
New York, NY 10016
Phone: 212-973-2400
Distance: 0.2 mile

Kitano New York
66 Park Avenue, East 38th Street
New York, NY 10016
Tel: 212-885-7000
Distance: 0.2 mile

St Giles Tuscany
120 E 39th Street
New York, NY 10016
Tel: 212-686-1600
Distance: 0.2 mile

Hyatt Andaz 5th Avenue
485 5th Avenue at 41st Street
New York, NY 10017
Tel: 212-601-1234
Distance: 0.3 mile

Westin New York Grand Central Hotel
212 E 42nd Street
New York, NY 10017
Tel: 212-490-8900
Distance: 0.8 mile


Attendee Registration:
events@mminst.org or (646) 868-8500

Speaker Registration:
Laura Payne
lpayne@mminst.org or (646) 868-8510

Fees & Billing:
Samantha Lustig
slustig@mminst.org or (646) 868-8516