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WE WEBCASTS | THE U.S. ETF REGULATORY LANDSCAPE
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JUNE 14, 2016
11:00 AM EST / 8:00 AM PST
 

WE WEBCASTS | THE U.S. ETF REGULATORY LANDSCAPE: IMPLICATIONS FOR ASSET MANAGEMENT AND MARKET STRUCTURE


 

Topics Discussed Include:


• Making Market Structure more ETF-Friendly – Lesson Learned from August 24,2015
• The Asset Management SEC Proposals on Liquidity and Derivatives: Implications and Responses
• The Evolving Environment for Launching New ETF Structures




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MODERATOR
 

JOANNE HILL, PHD, Head of Institutional Investment Strategy | Proshares

BIO | Joanne Hill currently serves as Head of Institutional Investment Strategy at ProShares, Her responsibilities include portfolio strategy, product research and education. Prior to joining ProShares in 2009, she spent 17 years at Goldman Sachs, where she was a Managing Director, leading global equity index, quantitative, and derivatives research. As a recognized leader in the financial industry, Dr. Hill has published extensively and was recently named one of the ten inaugural recipients of the Top Women in Asset Management Awards by Money Management Executive, and she is Co-President of Women in ETFs. She is on the Editorial Board of the Financial Analysts Journal of Journal of Index Investing. Earlier in her career, she was an Associate Professor of Finance at University of Massachusetts (Amherst). She received a PhD in Finance and an MBA from Syracuse University.

 
PANELISTS
 

JOEL M. DICKSON, PH.D., Global Head of Investment Research and Development, Principal | Vanguard Investment Strategy Group

BIO | Joel M. Dickson, Ph.D., is Vanguard’s global head of Investment Research and Development and a principal in Vanguard Investment Strategy Group. Previously, Mr. Dickson was a senior ETF strategist, also within Vanguard Investment Strategy Group, where he analyzed trends and developments in the exchange-traded fund (ETF) market. He also served as head of the Active Quantitative Equity Group within Vanguard Equity Investment Department, with oversight responsibility for all research and portfolio management activities associated with Vanguard’s internally managed active equity portfolios. Before that, he was responsible for the day-to-day portfolio management of Vanguard’s active quantitative portfolios. He also was a member of Vanguard Portfolio Review Department, where he evaluated potential advisors for the company’s subadvised funds. Before joining Vanguard in 1996, he worked as a staff economist at the Federal Reserve Board.

Mr. Dickson has testified before Congress on Social Security reform and mutual fund disclosure issues, and he is often quoted in the press regarding the role taxes play in portfolio management and asset allocation decisions.

Mr. Dickson earned an A.B. from Washington University in St. Louis and a Ph.D. in economics from Stanford University.

 

KATHLEEN MORIARTY, Partner | Kaye Scholer LLP

BIO | Kathleen H. Moriarty is a Partner in Kaye Scholer’s Corporate Department and has extensive experience representing investment companies with the creation, structuring and development of new exchange-traded products (ETPs). Actively involved in the development of Standard & Poor’s Depository Receipts (SPDRs), Kathleen has since advised on the creation of many more exchange-traded funds (ETFs), including iShares, Vanguard Exchange-Traded Funds (VIPERS), ProShares, WisdomTree and IndexIQ.

Domestically, Kathleen represents a wide variety of market participants in connection with commodity-backed derivative securities and non-investment company exchange traded vehicles (ETVs), such as the SPDR Gold Trust, the US ETFS precious metals trusts and the Winklevoss Bitcoin Trust, which is currently in registration with the Securities and Exchange Commission. She also provides advice to international regulators on the topic of ETPs.

Kathleen counsels traders and broker-dealers in connection with trading issues relating to the purchase and sale of ETP shares and also represents ETP managers in connection with the licensing of financial indexes as well as index providers licensing their financial products to ETPs. In addition, she works with a number of hedge funds and other pooled operators to bring their products to wider retail and individual markets, bringing her Investment Company Act of 1940 and JOBS Act insights to her clients to assist them in navigating the new regulatory landscape.

Kathleen is regularly quoted in the media about issues relating to ETPs, financial indexes, liquid alts and Bitcoin. She has published various articles and frequently speaks at industry conferences and webinars on these topics.

Kathleen is an inaugural member of the ETF DataBase’s ETF Hall of Fame, a recipient of two Global ETP Icons of the Industry Awards and the winner of the first ETF.com Lifetime Achievement Award. She has also been recognized as a “US Innovative Lawyer” by the Financial Times.

 

ROCHELLE ANTONIEWICZ, Senior Economist | Investment Company Institute 

BIO | Rochelle Antoniewicz is a Senior Economist at the Investment Company Institute (ICI) where she conducts research on the structure and trends of the ETF, mutual fund, and closed-end fund industries and on the broader financial markets. She also contributes to research initiatives to better understand the costs and benefits of laws and regulations governing mutual funds and ETFs. Prior to joining ICI in 2005, Ms. Antoniewicz served as a Senior Economist at the Federal Reserve Board. She earned a B.A. in Management Science from the University of California, San Diego and a Ph.D. in Economics from the University of Wisconsin, Madison.

 
 

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