The Seventh Annual Roundtable Discussion on Investment Funds - Harvard Law School

Draft Program

Arrival & Registration at Harvard Law School – Wasserstein Hall 2036 (Milstein East A) 1585 Massachusetts Avenue, Cambridge, MA 02138 Welcome Luncheon, Opening Remarks & Keynote Address Welcome: John C. Coates, IV, John F. Cogan, Jr. Professor of Law & Economics Harvard Law School Introduction: Tamar Frankel, Professor of Law & Michaels Faculty Research Scholar Boston University School of Law Keynote: Nell Minow, Director & Co-Founder The Corporate Library / GMI Ratings Discussion Session I Compliance: Ten Years of Advisers Act Compliance Moderator: Deborah A. DeMott, Duke University School of Law Break Discussion Session II Litigation: Tibble v. Edison Int’l and 401(k) Fee Cases Moderator: Jill E. Fisch, University of Pennsylvania Law School Break Discussion Session III Regulation: Systemically Important Financial Institution (SIFI) Designations Moderator: Patricia A McCoy, Boston College Law School Break Discussion Session IV Market Developments: High Frequency Trading & Alternative Mutual Funds Moderator: J.B. Kittredge, Grantham, Mayo & Van Otterloo LLC Closing: William Birdthistle, Professor of Law & Freehling Scholar Chicago-Kent College of Law Dinner

ROUNDTABLE PARTICIPANTS

Lee Augsburger - Chief Ethics & Compliance Officer Prudential Financial, Inc.

William A. Birdthistle - Professor of Law & Freehling Scholar Chicago-Kent College of Law John C. Bogle - Founder & Former Chairman The Vanguard Group Mercer E. Bullard - Associate 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 Jeffrey N. Carp - Executive V.P. & Chief Legal Officer State Street Norm Champ - Director, Div. of Investment Management U.S. Securities and Exchange Commission John C. Coates, IV - John F. Cogan, Jr. Prof. of Law & Econ. Harvard Law School Stephen Davis - Assoc. Director & Senior Fellow Harvard Law School Programs on Corp. Governance & Institutional Investors Dorothy M. Donohue - Deputy General Counsel Investment Company Institute

Deborah A. DeMott - David F. Cavers Professor of Law Duke University School of Law James Fanto - Professor of Law & Co-Director for the Study of Business Law & Regulation Brooklyn Law School Jill E. Fisch - Perry Golkin Professor of Law University of Pennsylvania Law School Tamar Frankel - Michaels Faculty Research Scholar Professor of Law Boston University School of Law M. Todd Henderson- Michael J. Marks Professor of Law University of Chicago Law School Wulf A. Kaal - Associate Professor University of St. Thomas School of Law J.B. Kittredge - General Counsel Grantham, Mayo & Van Otterloo LLC H. Norman Knickle - Attorney-Adviser Boston Regional Office U.S. Securities and Exchange Commission 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

Martin E. Lybecker - Partner Perkins Coie LLP (former Associate Director, SEC Division of Investment Management) Patricia A. McCoy - Liberty Mutual Ins. Professor of Law Boston College Law School Nell Minow - Director & Co-Founder The Corporate Library / GMI Ratings Alan Palmiter - Howard L. Oleck Professor of Business Law Wake Forest University School of Law Mark N. Polebaum - General Counsel MFS Investment Management Eric D. Roiter - Lecturer in Law Boston University School of Law (former SEC Assistant General Counsel)

Peter M. Rosenblum - Partner Foley Hoag LLP David S. Scharfstein - Edmund Cogswell Converse Professor of Finance & Banking Harvard Business School Charles V. Senatore - Head of Global Corporate Compliance Fidelity Investments (former Director, SEC Southeast Reg. Office) Jennifer S. Taub - Associate 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