The Seventh Annual Roundtable Discussion on Investment Funds – Harvard Law School – December 8, 2014

Draft Program

Arrival & Registration at Harvard Law School – Wasserstein Hall 2036 (Milstein East A) 1585 Massachusetts Avenue, Cambridge, MA 02138

Welcome Luncheon, Opening Remarks & Keynote Address

Welcome: John C. Coates, IV, John F. Cogan, Jr. Professor of Law & Economics Harvard Law School

Introduction: Tamar Frankel, Professor of Law & Michaels Faculty Research Scholar Boston University School of Law

Keynote: Nell Minow, Director & Co-Founder The Corporate Library / GMI Ratings

Discussion Session I

Compliance: Ten Years of Advisers Act Compliance

Moderator: Deborah A. DeMott, Duke University School of Law Break

Discussion Session II
Litigation: Tibble v. Edison Int’l and 401(k) Fee Cases

Moderator: Jill E. Fisch, University of Pennsylvania Law School Break

Discussion Session III

Regulation: Systemically Important Financial Institution (SIFI) Designations

Moderator: Patricia A McCoy, Boston College Law School Break

Discussion Session IV

Market Developments: High Frequency Trading & Alternative Mutual Funds

Moderator: J.B. Kittredge, Grantham, Mayo & Van Otterloo LLC

Closing: William Birdthistle, Professor of Law & Freehling Scholar Chicago-Kent College of Law

Dinner

ROUNDTABLE PARTICIPANTS

Lee Augsburger –  Chief Ethics & Compliance Officer Prudential Financial, Inc.

William A. Birdthistle – Professor of Law & Freehling Scholar Chicago-Kent College of Law

John C. Bogle – Founder & Former Chairman The Vanguard Group

Mercer E. Bullard – Associate Professor of Law University of Mississippi School of Law (former Assistant Chief Counsel, SEC Division of Investment Management)

Kenneth E. Burdon – Associate Skadden, Arps, Slate, Meagher & Flom LLP

Jeffrey N. Carp –  Executive V.P. & Chief Legal Officer State Street

Norm Champ – Director, Div. of Investment Management U.S. Securities and Exchange Commission

John C. Coates, IV – John F. Cogan, Jr. Prof. of Law & Econ. Harvard Law School

Stephen Davis – Assoc. Director & Senior Fellow Harvard Law School Programs on Corp. Governance & Institutional Investors

Dorothy M. Donohue – Deputy General Counsel Investment Company Institute

Deborah A. DeMott –  David F. Cavers Professor of Law Duke University School of Law

James Fanto – Professor of Law & Co-Director for the Study of Business Law & Regulation Brooklyn Law School

Jill E. Fisch – Perry Golkin Professor of Law University of Pennsylvania Law School

Tamar Frankel – Michaels Faculty Research Scholar Professor of Law Boston University School of Law

M. Todd Henderson- Michael J. Marks Professor of Law University of Chicago Law School

Wulf A. Kaal – Associate Professor University of St. Thomas School of Law

J.B. Kittredge – General Counsel Grantham, Mayo & Van Otterloo LLC

H. Norman Knickle – Attorney-Adviser Boston Regional Office U.S. Securities and Exchange Commission

Arthur B. Laby – Professor Rutgers School of Law – Camden (former SEC Assistant General Counsel)

John M. Loder – Partner & Co-Head, Investment Management Ropes & Gray LLP

Martin E. Lybecker – Partner Perkins Coie LLP (former Associate Director, SEC Division of Investment Management)

Patricia A. McCoy – Liberty Mutual Ins. Professor of Law Boston College Law School

Nell Minow – Director & Co-Founder The Corporate Library / GMI Ratings

Alan Palmiter – Howard L. Oleck Professor of Business Law Wake Forest University School of Law

Mark N. Polebaum – General Counsel MFS Investment Management

Eric D. Roiter – Lecturer in Law Boston University School of Law (former SEC Assistant General Counsel)

Peter M. Rosenblum – Partner Foley Hoag LLP

David S. Scharfstein –  Edmund Cogswell Converse Professor of Finance & Banking Harvard Business School

Charles V. Senatore – Head of Global Corporate Compliance Fidelity Investments (former Director, SEC Southeast Reg. Office)

Jennifer S. Taub – Associate Professor of Law Vermont Law School

Anne Tucker – Associate Professor of Law Georgia State University College of Law

Dirk Zetzsche – Propter Homines Chair for Banking & Securities Law Universität Liechtenstein

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