2019 MMI Legal & Compliance Seminar

June 19, 2019 | NYC
Morgan, Lewis & Bockius

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

Susan Boccardi,
Executive Director, JP Morgan
Lisa Francomano, Executive Director, CCO Advisory Business, UBS Financial Services

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.

This annual conference spotlights a variety of regulatory issues and changes taking place in 2019, making the seminar a “must attend” event. This year’s event will highlight topics including SEC examinations, global developments and regulations, and complex products in managed account programs. 

Session Highlights:

  • Key global developments and their impact on managed accounts

  • The role of non-traditional assets and ESG mandates in managed account programs

  • Recent changes to the SEC examination program and what lies ahead

  • Regulatory developments and a deeper dive into prospectus delivery

  • Data aggregation and its impact on financial planning, advice delivery, and goals-based wealth management

  • Managed Accounts 2025: predictions on what the industry will look like in five years

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


*** Current Agenda: Subject to Change ***


8:00 AM – 8:30 AM
Registration and Breakfast

8:30 AM – 8:45 AM
Welcome and Opening Remarks

Susan Boccardi,
Executive Director, JP Morgan 
Lisa Francomano, Executive Director, Chief Compliance Officer Advisory Business, UBS Financial Services 

8:45 AM – 9:45 AM
Global Developments and Their Impact on Managed Accounts 

This session reviews key global issues – including global regulatory developments, GDPR, Brexit, and the rise of Robos and other forms of digital advice – and their impact on managed accounts business.

Markus Lang, 
Managing Director, Global Head of Legal Wealth Management, Deutsche Bank

Helen Fok,
 Partner, Morgan, Lewis & Bockius LLP 
Andrew House,
Managing Director and Associate General Counsel, JP Morgan Chase
Alexandria Schindler, Head Legal, UBS Swiss Financial Advisers AG 
William Yonge, Partner, Morgan, Lewis & Bockius LLP

9:45 AM – 10:45 AM
SEC Reg BI, Adviser Act Retail Advice Proposals, and Managed Accounts

Emily Russell, Senior Special Counsel, U.S. Securities and Exchange Commission, Division of Trading and Markets 
Sarah ten Siethoff, Associate Director, U.S. Securities and Exchange Commission, Division of Investment Management

10:45 AM – 11:00 AM
Refreshment and Networking Break

11:00 AM – 12:00 PM 
Dual Contract Issues 

This session focuses on what dual contract arrangements look like in 2019 and how they have evolved over the last 20 years. The panel will discuss key considerations with dual contracts and how they impact the roles and responsibilities of sponsors and asset managers in terms of due diligence, monitoring, trading, client reporting, etc. 

Leah Buenaventura, 
Director, Assistant General Counsel, Bank of America Merrill Lynch
Phil Cecil, Vice President, Senior Legal Counsel, T. Rowe Price
Marc Romanoff, Vice President, Legal, Goldman Sachs

12:00 PM – 1:00 PM
Networking Luncheon

1:00 PM – 1:45 PM
Regulatory Developments

This session provides a broad survey of the most important regulatory developments impacting the advisory space and includes a deeper look at the recent SEC no-action letter on the “constructive delivery” of mutual fund prospectuses to discretionary investment advisers.

Larry Godin,
 Partner, National Practice Lead for Asset and Wealth Management, KPMG, LLP
Cliff Kirsch, Partner, Eversheds Sutherland
Steve Stone, Partner, Morgan, Lewis & Bockius LLP

1:45 PM – 2:45 PM
Managed Accounts 2025: The Legal & Compliance Point of View

This panel looks ahead to the managed accounts industry of 2025 through a legal and compliance lens. An expert panel will examine current trends like financial convergence, digital advice, data aggregation, and goals-based wealth management and debate their impact on financial planning and advice delivery. 

Todd Cook, 
Managing Director and Associate General Counsel, JP Morgan Chase
Scott Kirwin, Vice President & Associate General Counsel, Fidelity Investments
Jen Klass, Partner, Morgan, Lewis & Bockius LLP
Andrea Wolff, Associate General Counsel, UBS

2:45 PM – 3:00 PM
Refreshment and Networking Break

3:00 PM – 4:00 PM
SEC Examinations

This panel focuses on recent changes to the SEC’s examination program, their significance for industry oversight, shifts in SEC enforcement procedures in the managed accounts arena, and what lies ahead for the industry in the second half of 2019.

Pete Driscoll,
Director, U.S. Securities and Exchange Commission Office of Compliance Inspections and Examinations 
Steve Stone, Partner, Morgan, Lewis & Bockius LLP

4:00 PM – 4:45 PM
Evolution of Managed Account Programs: Non-Traditional Assets and ESG Mandates

This panel examines the role of non-traditional assets – including complex products, structured notes, private equity, hedge funds, liquid alternatives, annuities, and insurance products – in managed accounts and the associated risks and issues. The discussion will include a review of ESG adoption trends and benchmarking in managed accounts.

Drew Bowden, 
Senior Vice President & General Counsel, Jackson National Life Insurance Company
Svetlana Milina, Executive Director, Legal Counsel, Morgan Stanley Wealth Management
Annette O'Dennell-Butner, Chief Compliance Officer, KKR
Anna Snider, Managing Director, Head of Due Diligence, Chief Investment Office, Global Wealth & Investment Management, Merrill Lynch

4:45 PM – 5:00 PM
Closing Remarks and Adjournment

Susan Boccardi, Executive Director, JP Morgan 
Lisa Francomano, Executive Director, CCO Advisory Business, UBS Financial Services 

5:00 PM – 6:00 PM
Networking Reception 

Seminar Partner

Morgan Lewis

CLE Credit

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

Registration Fee

Registration categories and pricing are as follows:
Early Rate: $575 (Registering 5/6/19 - 5/24/19)
Standard Rate: $650 (Registering 5/25/19 - Onsite)

Volume Discount for Multiple Attendees:
A 10% discount off of the Standard Rate is available for additional participants from the same firm once two participants have enrolled at the full conference rate. Please contact 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 7th. 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.

MMI Conference Code of Conduct/Antitrust Guidelines and Compliance Policy

Money Management Institute (MMI) conferences and events provide an opportunity for MMI members and other industry participants to come together for educational and networking purposes. Inappropriate behavior, such: as possible illegal conduct; use of derogatory or discriminatory language, gestures or actions; verbal or physical abuse of any type, unwanted advances or invasions of privacy; or any activity that might be construed as harassment, racism, or sexism, is unacceptable and will not be tolerated.

If you aware of, or are involved in an incident, at an MMI conference or event that violates this Code of Conduct, please contact MMI immediately. MMI will promptly and confidentially investigate any reported activities and take appropriate action.

Please also familiarize yourself with the MMI Antitrust Guidelines and Compliance Policy.


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

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

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