Boston University School of Law Friday, December 4, 2015

Revised Program

Arrive at Boston University School of Law
765 Commonwealth Avenue, Boston, Massachusetts 02215

Welcome Luncheon, Opening Remarks & Keynote Address

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

Introduction: William Birdthistle, Professor of Law Chicago-Kent College of Law

Keynote: Daisy Maxey, Reporter The Wall Street Journal

Discussion Session I

Journalism: How Does and Should the Media Cover Topics Critical to Investors?

Moderator: Jennifer Taub, Vermont Law School Break

Discussion Session II

Regulation: What Will Be the Effect of the Department of Labor’s Fiduciary Rule?

Moderator: Patricia McCoy, Boston College Law School Break

Discussion Session III

Litigation: What Lawsuits Are Having the Greatest Impact upon the Fund Industry?

Moderator: James Fanto, Brooklyn Law School Break

Discussion Session IV

Future Developments: High Frequency Trading & Alternative Mutual Funds

Moderator: Erik Sirri, Babson College Closing Remarks
Dinner

 

PROPOSED DISCUSSION AGENDA

Journalism: How Does and Should the Media Cover Topics Critical to Investors?

Moderator: Jennifer Taub, Vermont Law School

 

  • Why doesn’t investor education appear to work?
  • Is the problem financial literacy, sufficient will, or both?
  • What are the value, if any, of SEC and FINRA investor alerts

    Regulation: What Will Be the Effect of the Department of Labor’s Fiduciary Rule?

    Moderator: Patricia McCoy, Boston College Law School

  • What will happen to the rule in the hands of the Congress?
  • How will a final rule affect the advisory and fund industry?

    Litigation: What Lawsuits Are Having the Greatest Impact upon the Fund Industry?

    Moderator: James Fanto, Brooklyn Law School

  • Wayne County Employees’ Retirement System v. FMI
  • $57 million settlement in 401(k) suit versus Boeing.
  • What are the additional effects of enforcement actions?

    Future Developments: High-Frequency Trading & Alternative Mutual Funds

    Moderator: Erik Sirri, Babson College

  • What are the problems and opportunities of high-frequency trading on investment funds, particularly retail mutual funds?
  • Almost 1/3rd of all inflows into mutual funds in 2013 were into alternative mutual funds. What are the heightened risks and disclosure requirements associated with these funds?

 

ROUNDTABLE PARTICIPANTS:

 

Ian Ayres – William K. Townsend Professor of Law Yale Law School

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

Jay G. Baris – Partner Morrison & Foerster

Mercer E. Bullard – 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

Norm Champ – Lecturer on Law Harvard Law School (former Director, SEC Division of Investment Management)

Hse-Yu (Iris) Chiu – Reader University College London Faculty of Laws

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

Quinn Curtis – Associate Professor of Law University of Virginia School of Law

Elisabeth D. de Fontenay – Associate Professor of Law Duke Law School

 

Dorothy M. Donohue – Deputy General Counsel Investment Company Institute

James Fanto – Gerald Baylin Professor of Law Brooklyn Law School

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

Pamela Harrahan – Senior Visiting Fellow University of New South Wales Faculty of Law

Howell E. Jackson – James S. Reid, Jr. Professor of Law Harvard Law School

Lyman P.Q. Johnson – Robert O. Bentley Professor of Law Washington & Lee University School of Law,  LeJeune Distinguished Chair in Law & Professor University of St. Thomas School of Law

Wulf A. Kaal –  Associate Professor & Director of the Private Investment Fund Institute University of St. Thomas School of Law

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

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

Anita K. Krug – D. Wayne & Anne Gittinger Professor of Law University of Washington School of Law

 

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

Daisy Maxey – Reporter The Wall Street Journal

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

John D. Morley – Associate Professor of Law Yale Law School

Robert A. Robertson – Partner Dechert LLP

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

Peter M. Rosenblum – Partner Foley Hoag LLP

 

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

Natalya Shnitser –  David & Pamela Donohue Assistant Professor of Law Boston College Law School

Erik R. Sirri – Professor of Finance Babson College (former Director, SEC Division of Trading & Markets)

Jennifer S. Taub – 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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