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Tuesday, March 14, 2017

What Will the SEC's Temporary Top Cop Tell Fundsters?

Reported by Neil Anderson, Managing Editor

Temporary heads of two key parts of the SEC will speak to fundsters today on the second full day of the 2017 ICI Mutual Funds and Investment Management conference.

Stephanie Avakian
Division of Enforcement, SEC
Acting Director
Stephanie Avakian, acting director of the SEC's division of enforcement, and Peter Driscoll, acting director of the SEC's office of compliance inspections and examinations (OCIE), are scheduled to take the stage this morning at the giant conference for legally minded fundsters, held this year at the JW Marriott Desert Springs in Palm Desert, California. Lorraine Echavarria of Wilmer Cutler Pickering Hale and Dorr and Christopher Michailoff of Deutsche Bank will join in that discussion with Avakian and Driscoll.

Today's schedule also features six breakout sessions, including discussions of the implications of tax reform and of the DoL rule. And rumor is that there will be at least one conference pool party in the afternoon.

Yesterday ICI general counsel David Blass and SEC investment management division director Dave Grim took the stage. Sponsors including UMB and Deloitte held evening receptions featuring appetizers and live music, and Morrison and Foerster reception attendees walked away with shot glasses. 

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