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
Wulf Kaal 