Introducing the first-ever Ignites conference - Ignites Live: Legal & Compliance. Get a preview of the 2009 regulatory landscape from the top players in the industry. Ignites' concise and hard-hitting style will make this an unbeatable event for content and networking. It's an exciting time as the SEC is poised to give guidance on a number of headline issues and the country awaits a new administration.
Application for CLE accreditation of this program in New York is currently pending.
Join us in December for a 2009 preview...
The New York Helmsley Hotel
(between 2nd & 3rd ave)
New York, NY 10017
Phone: 1-800-221-4982
http://www.newyorkhelmsley.com
Featured Topics
December 9th
1:00 pm |
Registration |
1:30 pm |
Welcome |
1:45 pm |
FINRA and Fund Sales: Key Developments in Fund Distribution |
2:45 pm |
Executive Roundtable: A Conversation with the Industry’s Top CEOs |
3:45 pm |
Networking and Refreshment Break |
4:00 pm |
Valuation and Pricing: Facing Current Industry Challenges |
5:00 pm |
------- 6 Concurrent Industry Roundtable Discussions -------- |
5:00 pm |
- - The CCO and the Board: Best Practices for Working Together |
5:00 pm |
- - Impact of the Current Financial Crisis on Service Providers |
5:00 pm |
- - Impact of the Current Financial Crisis on Funds |
5:00 pm |
- - Outsourcing: Best Practices to Ensure a Smooth Transition |
5:00 pm |
- - Money Market Investor Funding Facility: How Has it Affected Liquidity for 2a-7 Funds? |
5:00 pm |
- - The SEC and Outdated Investment Management Regulations - - |
6:00 pm |
Cocktail Reception |
7:00 pm |
Awards Dinner for Ignites “Fund Titans” -- Inside Counsel: Franklin's Craig Tyle, Chief Compliance Officer: American Century's Maryanne Roepke, Outside Counsel: Morgan Lewis' John McGuire, Lifetime Achievement Award: T. Rowe's Henry Hopkins |
9:00 pm |
Day 1 Close |
December 10th
7:30 am |
Registration |
7:45 am |
What to Expect from the DOL |
8:45 am |
Networking and Refreshment Break |
9:00 am |
What to Expect During Your Next SEC Exam |
10:00 am |
------- 4 Concurrent Breakout Sessions -------- |
10:00 am |
- - Best Execution and Soft Dollars |
10:00 am |
- - Compliance Mistakes and Best Practices in Proxy Voting |
10:00 am |
- - The Annual Compliance Review: Best Practices for CCOs |
10:00 am |
- - The Summary Prospectus: What You Need to Know to Comply |
11:00 am |
Networking and Refreshment Break |
11:15 am |
------- 4 Concurrent Breakout Sessions -------- |
11:15 am |
- - 401(k) Rule Changes |
11:15 am |
- - Identity Theft and Privacy: How to Protect Your Investors |
11:15 am |
- - The Top Issues Facing Fund Boards Today |
11:15 am |
- - The Unique Challenges of Small Funds |
12:15 pm |
The Litigation Landscape: The Most Important Court Decisions This Year |
1:30 pm |
Closing Remarks and Conference Close |
FINRA and Fund Sales: Key Developments in Fund Distribution
David Giunta
President and CEO
Natixis Global Associates
President and CEO
Natixis Global Associates
Stuart Parker
Executive Vice President, Distribution
Prudential Investments
Executive Vice President, Distribution
Prudential Investments
Executive Roundtable: A Conversation with the Industry's Top CEOs
Peter Sundman
President
Neuberger Berman Management
President
Neuberger Berman Management
Jon Baum
CEO
Dreyfus
CEO
Dreyfus
Valuation and Pricing: Facing Current Industry Challenges
Tom Lemke
Senior Vice President and General Counsel
Legg Mason
Senior Vice President and General Counsel
Legg Mason
Kathy Connolly
Managing Director
Controller, Finance Division, Goldman Sachs
Managing Director
Controller, Finance Division, Goldman Sachs
Roger Joseph
Co-chair of the Securities Area and Head of the Investment Management Practice Group
Bingham McCutchen LLP
Co-chair of the Securities Area and Head of the Investment Management Practice Group
Bingham McCutchen LLP
What to Expect from the DOL
Bradford P. Campbell
Assistant Secretary of Labor
Employee Benefits Security Administration, U.S. Department of Labor
Assistant Secretary of Labor
Employee Benefits Security Administration, U.S. Department of Labor
What to Expect During Your Next SEC Exam
Gene Gohlke
Associate Director
Office of Compliance Inspections and Examinations, SEC
Associate Director
Office of Compliance Inspections and Examinations, SEC
Chris Jackson
Director & Head of U.S. Retail Legal
Deutsche Asset Management, Legal Division
Director & Head of U.S. Retail Legal
Deutsche Asset Management, Legal Division
Todd Spillane
CCO
Invesco US
CCO
Invesco US
Best Execution and Soft Dollars
John D. Meserve
Executive Managing Director
BNY ConvergEx Group, LLC
Executive Managing Director
BNY ConvergEx Group, LLC
Compliance Mistakes and Best Practices in Proxy Voting
Patrick McGurn
Special Counsel
RiskMetrics Group
Special Counsel
RiskMetrics Group
Donna Anderson
Head of Corporate Governance
T. Rowe Price Associates
Head of Corporate Governance
T. Rowe Price Associates
The Annual Compliance Review: Best Practices for CCOs
David Lui
Chief Compliance Officer
FAF Advisors / First American Funds
Chief Compliance Officer
FAF Advisors / First American Funds
Jim Volk
Chief Compliance Officer
SEI Investment Manager Services
Chief Compliance Officer
SEI Investment Manager Services
George O. Martinez
Executive Director, Fund Administration
J.P. Morgan Investor Services
Executive Director, Fund Administration
J.P. Morgan Investor Services
The Summary Prospectus: What You Need to Know to Comply
Charles V. Callan
SVP, Regulatory Affairs
Broadridge Financial Solutions
SVP, Regulatory Affairs
Broadridge Financial Solutions
Dennis Smith
Assistant General Counsel
Wachovia Corporation
Assistant General Counsel
Wachovia Corporation
401(k) Rule Changes
Victor Siclari
Managing Counsel - Legal Affairs
The Bank of New York Mellon Corporation
Managing Counsel - Legal Affairs
The Bank of New York Mellon Corporation
Frank Nessel
Senior ERISA Consultant
Vanguard Plan Consulting Group
Senior ERISA Consultant
Vanguard Plan Consulting Group
Identity Theft and Privacy: How to Protect Your Investors
Pauline Scalvino
CCO
The Vanguard Group
CCO
The Vanguard Group
Gail Hatcher
Chief Technology Officer and VP, Information Systems
Rydex Investments
Chief Technology Officer and VP, Information Systems
Rydex Investments
The Top Issues Facing Fund Boards Today
Mike Scofield
Chairman
Evergreen Board of Trustees
Chairman
Evergreen Board of Trustees
Dorothy Berry
Chairman
Professionally Managed Portfolios
Chairman
Professionally Managed Portfolios
The Unique Challenges of Small Funds
Charles Richter
CCO
Fenimore Asset Management
CCO
Fenimore Asset Management
Jim Atkinson
CEO and CCO
Guinness Atkinson Funds
CEO and CCO
Guinness Atkinson Funds
The Litigation Landscape: The Most Important Court Decisions This Year
James N. Benedict
Chairman
Litigation Department Milbank, Tweed, Hadley & McCloy LLP
Chairman
Litigation Department Milbank, Tweed, Hadley & McCloy LLP
Rob Skinner
Partner
Litigation Department Ropes & Gray
Partner
Litigation Department Ropes & Gray
| Subscribers | Non-Subscribers | |
|---|---|---|
| Individual Registration | $1,995 | $2,295 |
*Contact us to ask about our group rates.
Mike Cronan
212.542.1255
mikeC@ignites.com
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To inquire about sponsoring Ignites Live, please contact us at Advertising@Ignites.com, or
(212)542-1205
(212)542-1205
