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2023 MMI Legal & Compliance Seminar

2023 MMI Legal & Compliance Seminar

October 26 , 2023

New York, NY | Offices of Morgan Lewis | 8:30 AM - 6:00 PM ET

CE Credits

Charged admission

Open to Members only

Press prohibited

CLE Credits
The Seminar program is being submitted by Morgan Lewis for CLE credits for New York and selected jurisdictions.

Overview

Co-Chairs:
Jessica Howell, Senior Counsel, MFS Investment Management
Todd Cook, Managing Director & Associate General Counsel, JP Morgan

The MMI Legal & Compliance Seminar is back and in person for the first time in over four years!

The investment advisory industry is facing what has been described as a tsunami of regulatory changes. The impact of these developments will be far-reaching. Join MMI and our Legal & Compliance Community on October 26th to gain critical insights and perspective to navigate the rapidly evolving regulatory landscape. This year’s MMI Legal & Compliance Seminar is one that you can’t afford to miss.

During this single-day conference – tailored to senior business executives, chief compliance officers, and their legal advisors – a host of business leaders and regulatory experts will unpack the important issues you need to be on top of.

Session highlights include:

Survey of Current Developments and Pending SEC Proposals
Business Developments in the Managed Accounts Arena
Navigating the Complexities of ESG
SEC Exams and Enforcement Focus on Managed Accounts
Current Marketing Rule Issues with Managed Accounts
Retirement Account Developments
Evolving SEC Expectations with Retail Advice Offerings
The Evolving Technology Landscape – AI, cybersecurity, electronic delivery, etc.

Attendance is limited and restricted to MMI Members. This event is closed to the media.

Agenda

Agenda (Click to Expand Agenda)

Thursday, October 26, 2023

TIME	DESCRIPTION
8:30 AM - 9:00 AM 30 Min(s)	Registration & Continental Breakfast
9:00 AM - 9:05 AM 5 Min(s)	Welcome & Introductions
9:05 AM - 9:50 AM 45 Min(s)	Regulatory Developments Brief survey of current developments and pending SEC proposals: • Safeguarding client assets • Private funds • Third-party information providers (including model providers) • Outsourcing • Use of AI in investor interactions • Predictive Data Analytics - Steve Stone, Partner, Morgan, Lewis & Bockius, LLP - Christine Lombardo, Esq., Partner, Morgan, Lewis & Bockius, LLP
9:50 AM - 10:30 AM 40 Min(s)	Business Developments in the Managed Account Area • Developments in distribution, including dual contract arrangements and models • Use of alternative investments, crypto and other so-called complex products • Focus on 401(k) plan participant discretionary advice • Direct indexing and use of fractional shares • Technology developments • Approaches to managing “not held” assets • Disruptors
10:30 AM - 10:45 AM 15 Min(s)	Refreshment Break
10:45 AM - 11:30 AM 45 Min(s)	Navigating the Complexities of ESG • Proposed SEC rules • SEC enforcement actions and sweeps • State anti-ESG rulemaking and other initiatives • Global requirements and initiatives
11:30 AM - 12:15 PM 45 Min(s)	SEC Exams and Enforcement focus on Managed Accounts • Share class and sweep selection • Account inactivity • Best execution and trading away • Undisclosed compensation and conflicts • Custody issues
12:15 PM - 1:15 PM 1 Hour	Networking Lunch
1:15 PM - 2:00 PM 45 Min(s)	Current Marketing Rule Issues with Managed Accounts • Performance presentation issues, including use of hypothetical performance • Rankings • Testimonials and endorsements, including through social media
2:00 PM - 2:45 PM 45 Min(s)	Retirement Account Developments • PTE 2020-02 and related reporting • QPAM – Amendments to PTE 84-14, Individual Exemptions • Ongoing ESG/Proxy Controversy • Householding Issues • Independent Fiduciaries -- Delivering Model Advice
2:45 PM - 3:00 PM 15 Min(s)	Refreshment Break
3:00 PM - 3:45 PM 45 Min(s)	Evolving SEC Expectations with Retail Advice Offerings • SEC staff guidance seeking to harmonize interpretation of obligations across workers and advisors following Regulation Best Interest • Account type recommendations
3:45 PM - 4:30 PM 45 Min(s)	Technology Developments • Use of AI and technology governance • Cybersecurity • Electronic delivery and innovations to promote broader enrollment • SEC focus on “off-channel communications” • Cybersecurity • Technology governance
4:30 PM - 4:45 PM 15 Min(s)	Summary & Closing Remarks
4:45 PM - 6:00 PM 1 Hour, 15 Min(s)	Cocktail Reception

Partners & Sponsors

MMI Diversity, Equity & Inclusion Pioneer Sponsor

Seminar Host

Registration Fees

Type	Registration Date	Member Fee
Advance	Launch - October 6	$795.00
Standard	October 7 - October 25	$895.00
Leadership Pathway & Executive IQ Program Participants	Launch - October 25	$716.00

A fee of $100 will be added to registrations processed on-site.

A Volume Discount of 10% off the Standard fee applies once 2 registrants from the same firm register for the Seminar at the prevailing full price. Only full-price registrations are considered in determining eligibility for the Volume Discount. Email events@mminst.org for the volume discount code before registering.
Members of the 2022-2023 Leadership Pathway classes and 2022-2023 Executive IQ cohorts are eligible for a 20% discount off the standard registration fee. Email events@mminst.org for the appropriate discount code before registering.

Please contact MMI at Events@mminst.org with any questions.

Policies

Cancellation/Transfer Policy

MMI Conference Code of Conduct/Antitrust Guidelines and Compliance Policy

Health and Safety Protocols

Contact

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

Speaker Registration:
Lauryn Hughes, lhughes@mminst.org or (646) 868-8510

Fees & Billing:
Events@mminst.org or (646)-868-8500