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
Wulf Kaal 