The Eighth Annual Roundtable Discussion on Investment Funds

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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