Speakers

Dennis BowdenManaging Director of U.S. Mutual Fund Research,Strategic InsightDennis is Managing Director of U.S. Mutual Fund Research at Strategic Insight and leads SI’s U.S. fund distribution practice. In this role, Dennis contributes to SI’s research and advisory services focusing on the U.S. fund industry – with a particular emphasis on intermediary-sold fund distribution. Dennis earned his undergraduate degree in economics from Johns Hopkins University, and holds an MBA from NYU’s Stern School of Business.

Bruce L. CrockettIndependent Chair,Invesco FundsBruce L. Crockett, age 71, is Chairman of Crockett Technologies Associates (technology consulting). Mr. Crockett served as President and CEO of COMSAT Corporation (satellite communications) as well as various other operational and financial positions from September 1980 until July 1996. Mr. Crockett is Chairman of the Invesco Family of Mutual Funds, a board member of the Investment Company Institute (mutual fund trade association) as well as its affiliate the Independent Directors Council, a director of Globe Specialty Metals Inc. (NASDAQ) (metal & alloy manufacturer), ALPS Corporation (specialty insurance), and a Life Trustee of the University of Rochester. He holds undergraduate degrees from the University of Rochester and the University of Maryland, an MBA from the Columbia University Graduate School of Business, and an honorary doctorate from the University of Maryland

Nicholas D’AngeloDirector,PwC LLPNick D'Angelo is a Director in Financial Services Asset Management Advisory practice. He is a member of the Firm's Asset Management Board Governance practice - with an emphasis on enterprise risk management. Nick is also a member of PwC’s Global Financial Services Innovation Center. Nick has been involved in the asset management industry for over thirty years. He has performed a wide range of projects for his asset management clients such as, evaluations of mutual fund risk programs, operating model (including business process and outsourcing alternatives) assessments, business and information security process evaluations, business continuity evaluations, assessments of anti-money laundering programs and privacy compliance evaluations.

Nick is one of the authors of the biennial Investment Company Institute’s Transfer Agent Trends and Billing Practices Survey. He has also co-authored a variety of thought-leadership pieces for PricewaterhouseCoopers' including; “Evolution of the mutual fund transfer agent: Embracing the challenges and opportunities,” “Fund CCO Reporting Practices” and “The Mutual Fund Advisory Contract Review Process: Simplifying Complexity.” Nick has been a speaker at various asset management industry events and is a current member (and past co-chair) of the National Investment Company Services Association (NICSA) Compliance Committee and a former member (and past co-chair) of NICSA's Custody and Fund Accounting Committee; he worked with the Association of Institutional Investors working group to develop a common audit and compliance assessment approach for federally registered investment advisers; and was a member of the ICI Task Force on Financial Intermediary and Sub-Transfer Agent Oversight.

Richard FlynnManaging Director, Global Head of RQA Fixed Income,BlackRockMr. Flynn's service with the firm dates back to 2005, including his years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. Prior to joining BGI in November 2005, he spent 4 years at London-based hedge fund Horizon Asset Limited focused on convertible bond arbitrage research and equity statarb trading. Previous experience includes setting up proprietary trading groups and managing risk arbitrage strategies at both Sanwa International plc and Sumitomo Finance International plc. Mr. Flynn began his career by spending 9 years with Salomon Brothers Proprietary Fixed Income groups variously in London, Hong Kong, Tokyo,and New York.

Mr. Flynn holds a Masters in Finance from London Business School, a BSc in Computer Science from Rensselaer Polytechnic Institute, and is a CFA Charterholder.

Jeffrey J. HaasProfessor,New York Law SchoolProfessor Jeffrey J. Haas practiced corporate and securities law, with a primary focus on public offerings and mergers & acquisitions, at Cravath, Swaine & Moore and Latham & Watkins in New York City prior to joining the faculty at New York Law School in 1996. At NYLS, Professor Haas teaches courses in mutual fund regulation, securities law, mergers & acquisitions, corporate finance, corporations and contracts. He has co-authored the books INVESTMENT ADVISER REGULATION IN A NUTSHELL (Thomson West 2008) and CORPORATE FINANCE AND GOVERANCE: CASES, MATERIALS AND PROBLEMS FOR AN ADVANCED COURSE IN CORPORATIONS (Carolina Academic Press 2006), while solely authoring CORPORATE FINANCE IN A NUTSHELL (West 3rd Ed. 2015) and the HORNBOOK ON CORPORATE FINANCE (West 2014). His scholarly articles have appeared in the Southern California Law Review, the Michigan Law Review, the Emory Law Review and the University of Pennsylvania Law Review, among others. Professor Haas currently serves as Chairman of the Board of Trustees for the American Independence family of mutual funds and previously served on the Board of Trustees of the HSBC family of mutual funds. Professor Haas received his B.S. summa cum laude from Florida State University and his J.D. cum laude from the University of Pennsylvania Law School, where he was a Comment Editor on the Law Review.

Avi NachmanyExecutive Vice President & Research Director,Strategic InsightAvi, Executive Vice-President, is the Research Director and co-Founder, in 1986, of Strategic Insight, an Asset International company. Avi guides SI’s fact-based global research agenda, spanning fund innovations, distribution trends, strategic initiatives, retirement savings, and shareholders’ costs, to the harmonized regulatory trends around the world. Avi presents often to fund trustees, frequently comments to the media, and has become a sought-after speaker in both U.S. and international forums. Avi received his MBA degree, with distinction, from NYU's Stern Business School.

Margery K. NealePartner,Willkie Farr & Gallagher LLP Margery K. Neale is a partner and Co - Chair of the Asset Management Group. She focuses on counseling investment companies, investment advisers, fund sponsors and independent directors in all aspects of the fund business.

Rachel SchnollManaging Director, Head of Product Strategy,Goldman Sachs Asset ManagementRachel Schnoll is head of US Product Strategy and Development for Third Party Distribution within Goldman Sachs Asset Management (GSAM). She is responsible for the development and ongoing product strategy for open-end mutual funds, collective trusts and closed-end funds in the United States. Rachel serves on the GSAM Pooled Vehicle Subcommittee and works with the Goldman Sachs Trust, Goldman Sachs Trust II and the Goldman Sachs Closed End Fund Trust. Earlier in her career, she was responsible for communicating GSAM’s fixed income, asset allocation and real estate strategies to third party clients. Rachel first joined Goldman Sachs as a summer associate in 1998 and returned as a full time associate in 1999. She was named managing director in 2013. Prior to joining the firm, Rachel had a career in the book publishing industry. Rachel is a trustee of the Brooklyn Heights Synagogue. She previously served on the board of the Boerum Hill Association. Rachel earned a BA in Politics from Brandeis University in 1991 and an MBA from the Kellogg Graduate School of Management at Northwestern University in 1999. She and her husband and their three children reside in Brooklyn, New York.

Kevin ShineSenior Managing Director, U.S. Research & Advisory,Strategic InsightKevin manages Strategic Insight’s Board Services Groups. In his role as overseeing SI’s US research and consulting services, he focuses on studies of fees and regulatory changes impacting boards of directors/trustees.

Jeremy C. SmithPartner,Ropes & Gray LLPJeremy’s practice focuses on advising mutual funds, closed-end funds and ETFs, their independent directors, and investment advisers. Jeremy advises clients regularly regarding the establishment, registration, and operation of retail and institutional investment products, including ETFs, closed-end funds and wrap products. He has significant experience structuring and representing registered funds with alternative investment strategies. Jeremy regularly assists clients experiencing or anticipating compliance, examination, enforcement, or other regulatory issues with the Securities and Exchange Commission and other regulatory agencies. He also has extensive experience with exchange listing and compliance matters.

Clifford J. WeberIndependent Trustee; former EVP - Global Index & Exchange-Traded Products,NYSECliff Weber has a strong history of financial product innovation. In his 25 years in the financial markets, he has successfully led businesses and created products in the Exchange-Traded Fund and listed derivatives areas, developing a deep and broad knowledge of trading markets and derivatives regulation. During his 18 years at the American Stock Exchange, Cliff played a key role in the development and deployment of the Amex’s successful ETF business; and from 2004 – 2008, served as President of PDR Services, the Amex subsidiary that created and sponsored SPDRs, DIAMONDS and MidCap SPDRs. He currently provides ad hoc consulting to the financial industry and serves as independent trustee of Clough Funds Trust. Cliff received a B.A. degree in Biochemistry from Dartmouth College, and an M.S.E. degree in Systems, with a concentration in Operations Research, from the University of Pennsylvania.

Anthony H. Zacharski Partner,Dechert LLPTony Zacharski has 18 years of experience in the asset management industry, representing U.S. registered open-end and closed-end funds, their boards of directors, investments advisers, and other service providers on corporate governance, compliance, enforcement and litigation matters. He has significant experience advising clients on a wide range of topics, including new product design and implementation; regulatory filings and disclosures; fund reorganization transactions; adviser restructuring transactions; proxy matters; fund-of-funds, master-feeder and manager-of-managers arrangements; emerging regulatory requirements and industry practices; and SEC inquiries and investigations. He has a particular interest in fund governance and regularly counsels independent trustees.

Mr. Zacharski was recently recognized in The Legal 500 (US) in the area of mutual/registered funds, which stated that he attracts strong praise for his “analysis of issues and practical guidance.”

General Information :

Carol Popkins
(203) 595-3282
cpopkins@assetinternational.com