Agenda as of Dec 1, 2011
NICSA 30th Annual Conference & Expo
Engaging Investors in a Hyper-Connected World
February 12-15, 2012
Doral Golf Resort & Spa
Miami, Florida
Sunday, February 12
8:00 a.m. Shotgun Start
NICSA Golf Tournament
Red and Blue Monster Courses
Boxed breakfast sponsored by: Broadridge
Bottled water sponsored by: BNY Mellon
1:00 – 3:00 p.m.
Barbeque at the 19th Hole
Blue Monster Lawn
Sponsored by: Citi
3:00 – 5:00 p.m.
Afternoon event
Sponsored by:
Broadridge Woman's Educational Foundation
5:00 – 7:00 p.m.
Grand Opening Reception in the Exhibit Hall
Doral Ballroom
Sponsored by: Boston Financial Data Services and DST Systems, Inc.
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Monday, February 13
8:00 – 9:00 a.m.
Breakfast in the Exhibit Hall
Doral Ballroom
9:00 – 9:15 a.m.
Welcome Remarks
Grand Ballroom
Nimish Bhatt, Senior Vice President, Chief Financial Officer
Calamos Investments
Chair, NICSA Board of Directors
Michael McNeill, Division Vice President
Boston Financial Data Services
Co-Chair, NICSA Annual Conference Committee
9:15 – 10:15 a.m.
Face the Membership
Grand Ballroom
Moderator: C. Tyler Mathisen, "Power Lunch" Co-Anchor and Vice President, Strategic
Editorial Initiatives
CNBC
Steven L. Fradkin, President, Corporate & Institutional Business Unit
Northern Trust
Michael J. Niedermeyer, Chief Executive Officer, Asset Management Group
Wells Fargo & Company
James P. Palermo, Vice Chairman
BNY Mellon
Alan Reid, Chief Executive Officer
Forward Management
Michael W. Roberge, President and Chief Investment Officer
MFS Investment Management
NICSA welcomes back Tyler Mathisen, Vice President, Strategic Editorial Initiatives, Co-Anchor
of "Power Lunch", CNBC, as the moderator of our premier panel, Face the Membership. Join us
as a distinguished panel of industry experts on investments, operations and distribution bring
their experience and insights to NICSA.
Discussion will focus on the hottest issues in the fund industry today and how firms can engage
customers in a hyper-connected world.
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Session coordinators: Jim Nolan, Lynette Turner
10:15 – 10:45 a.m.
Break in the Exhibit Hall
Doral Ballroom
10:45 a.m. – 12:00 p.m.
Retirement’s Hazy Maze: The Regulatory Puzzle
Grand Ballroom
Moderator: Cheryl Ouellette, Specialist Master
Deloitte Consulting LLP
Carol Gransee, Assistant Vice President, Retirement Plans Compliance Officer
OppenheimerFunds
Billy Morris, Senior Vice President, Product Management
SunGard
Debra K. Schmidt, QPA, QKA, Vice President Retirement Planning
Waddell & Reed, Inc.
Over the years, Washington has been trying to help retirement plan participants understand
investments, as well as their rights when it comes to retirement savings. At the same time, they
are working to see that employers and plan fiduciaries responsible for offering retirement plans
are walking the straight and narrow. The by-product of these governmental efforts is a plethora
of proposed, interim and final regulations that can be extremely difficult to navigate. Every
investment professional, including advisors, consultants, and third party administrators, must be
able to understand and fulfill their roles in the face of limited, and at times, unclear guidance.
Our panelists, with their collective knowledge of retirement plans, will serve to chart a course
through this regulatory hazy maze and overcome these obstacles affording plan participants a
chance for a stable and secure future.
Session coordinator: NICSA Retirement Committee
10:45 a.m. – 12:00 p.m.
Risk Management: Internal and External Challenges & Controls
Palms North
Moderator: Daniel New, Executive Director, Advisory Services
Ernst & Young LLP
Joseph Deitzer, Senior Manager, Asset Management Advisory Practice
Deloitte & Touche LLP
Deborah Seidel, Vice President, Business Risk Manager
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T. Rowe Price Associates
Christine Waldron, Senior Vice President, Alternative Investment Products
U.S. Bancorp Fund Services
Got Risk? Join an interactive panel discussion focused on Enterprise Risk Management best
practices and how firms effectively oversee third-party vendors and service providers. Panel
members will share their expertise on how to successfully manage risks related to outsourcing,
discuss lessons learned, provide practical examples of effective controls and cover best
practices to address vendor management challenges.
Session coordinators: Bob Casey, Mark Kucera, Daniel New, Greg Niland, Jay Regan, Debbie
Seidel
10:45 a.m. – 12:00 p.m.
Using Technology to Enhance the Client Experience
Palms South
Moderator: Andy Jordan, Chief Executive Officer
Makibie Corporation
Wendy Delp, Director
Merrill Edge
Doug Hanson, Vice President, Third Party Mutual Funds
Charles Schwab
Providing the highest level of service to customers in a hyper-connected world requires effective
use of technology. The web, telephony, workflow, back office business solutions - and now
mobile technologies, including smartphones and tablets - must work together to deliver an
exceptional experience for customers.
Attendees of this session will learn the innovative ways financial services firms are using the
latest business solutions and technologies to improve the experience of their customers,
including retail, advisor, broker, and institutional investors, as well as investment product
manufacturers. Discussion will include:
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Emerging technologies in customer contact centers and how to best use these to
improve and enhance service,
Effective support of retail and advisor channels using integrated CRM and contact
management platforms,
New trends and developments in web servicing technologies that can improve the
customer service experience,
Technology solutions that help firms better understand trends in fund distribution,
The servicing impacts of mobile platforms on a firm's call centers and back office
environments,
The impact of newer customer contact channels, like social media channels, and the
challenges of integrating these into the customer servicing environment.
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Session coordinators: Dave Benson, Jesse Dean, Scott Metro
12:00 – 1:00 p.m.
Buffet Luncheon in the Exhibit Hall
Doral Ballroom
1:00 – 2:15 p.m.
Grand Ballroom
Presentation of the NICSA Committee MVP Awards
Theresa Hamacher, President
NICSA
Ellen Weinraub, Vice-President
NICSA
Presentation of the 2012 PwC Award
Award Presented by: Barry Benjamin, Partner
PwC
Keynote Address
Operating Models for an Uncertain World
Neeraj Sahai, Managing Director, Global Head of Securities and Fund Services, Global
Transaction Services
Citi
The uncertainty that hangs over the asset management industry may persist for several years,
leading some asset managers to revisit their operating models. This session will explore the
symbiotic relationship between strategy and operating model, including whether or not what
passes for "strategy" is really a flawed concept.
Drawing on success stories from outside the industry, Neeraj Sahai will draw from various case
studies to illustrate how asset managers might leverage more effective operating models.
However, he argues, that there are few absolutes, since the appropriate operating model must
be a logical fit for a firm's DNA.
2:30 – 3:30 p.m.
Integrating Social Media into Marketing Operations
Grand Ballroom
Moderator: Rubesh Jacobs, Senior Managing Consultant
kasina LLC
Diane Frankenfeld
Oppenheimer
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Eileen Lostau,
iShares
Mark McKenna, Director of Marketing and Communications
Putnam Investments
While the industry gradually enters the world of Social Media, there are significant
developments daily – firms launching into LinkedIn, Facebook and Twitter; distributors allowing
their advisors to engage in social media; and regulatory authorities investigating current social
media practices.
Panelists will share lessons learned and best practices on establishing, maintaining, and
growing a presence in the world of social media.
Attendees will learn more about:
 The factors that companies consider when choosing to engage in social media
 Critical opportunities that keep companies engaged in social media
 The future of social media in the investment industry
 How to incorporate the inputs and outputs of social media into the firm ( call center
impacts, operational impacts, regulatory impacts)
 Creating recovery plans – when to and when not respond to tweets, blogs and facebook
entries
 Implications of the latest trends and technologies in social media such as Google+
Session coordinators: Lisa-Marie Fitch, Rubesh Jacobs, Ed Kinsella, Karan McClimans, Nick
Nichols
2:30 – 3:30 p.m.
Regulatory Hot Topics: Operations and Distribution
Palms North
Moderator:
Rob Terris, Senior Vice President, Head Of Division Operations
ING
Joan Dowd, Chief Compliance Officer
Boston Financial Data Services, Inc.
Nick D’Angelo, Director, Asset Management
PwC
This session will cover best practices and how organizations have adapted, strategically
changed or reorganized to address the new regulatory landscape. Among the regulatory
changes that might be relevant to reflect on includes: Dodd-Frank, FATCA, additional Money
Market reforms, Pay to Play, SEC Whistleblower program.
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Session coordinators: Patrick J. Campbell, Bob Casey, George Costas, Robert F. Dineen, Joan
Dowd, Bryan Mehrmann, Jeff Moeller, Penny Nelson, Daniel New, Timothy O'Sullivan, Jay
Regan, Allison Smith, Rob Terris, Ron Thalheimer
2:30 – 3:30 p.m.
Operational Challenges Related to Absolute Return Funds
Palms South
Bob Pieroni, Vice President, Head of Investment Operations
Pioneer Investments USA
Keith Slattery, Senior Vice President, U.S. Investor Services
State Street
This session will focus on the front, middle and back office operations needed to support
absolute return funds including:
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Market registrations
Registered versus unregistered
Analytical systems
Use of derivatives
Portfolio valuation
Trade capture and settlement
Compliance testing
Accounting and financial reporting
Employee training and development
Session coordinators: Bob Pieroni, Dan Puopolo, Keith Slattery
5:00 – 7:00 p.m.
Reception
Exhibit Hall
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Tuesday, February 14
7:45 – 8:30 a.m.
Breakfast Discussion Roundtables
Palms North and South
Join your peers for informal discussions in these areas of interest:
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Data centers vs. cloud computing: What are the opportunities?
Best practices in leveraging client data for business development and service
How can we drive greater adoption of paperless?
Best practices around business process management
Preparing for FATCA
Intermediary oversight
Motivating current employees and identifying new leaders
Cost basis reporting: Are we done yet?
Has anyone seen my shareholder? Recent changes in escheatment regulation.
Those not wishing to participate are invited to attend Breakfast with the Service Providers.
Session coordinators: Kim Grimes, Rubesh Jacobs, Ed Kinsella, Karan McClimans, Sam
Perone
7:45 – 8:30 a.m.
Breakfast with the Service Providers
Doral Ballroom
8:30 – 9:45 a.m.
Welcome Remarks
Grand Ballroom
James Nolan, Managing Director, Fund Services
Citi
Co-Chair, NICSA Annual Conference Committee
Presentation of the Gould Award
Grand Ballroom
This Year’s Honoree
Jennifer M. Johnson, Executive Vice President and Chief Operating Officer
Franklin Resources, Inc.
Investment Roundtable
Grand Ballroom
Moderator: Jennifer M. Johnson, Executive Vice President and Chief Operating Officer
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Franklin Resources, Inc.
Frank Koudelka, Senior Vice President and ETF Product Specialist
State Street Global Services
James Lauder, Chief Executive Officer, Global Index Advisors
Co-Portfolio Manager, Wells Fargo Advantage Dow Jones Target Date Funds®
Bill Lee, Managing Director
Citi
An interactive panel of seasoned investment and product experts will discuss their approaches
toward successfully navigating through tumultuous financial times. Join us as they share their
thoughts on how the economic environment influences their strategies, investment approach,
product development and their views of what the economic future might hold.
Session coordinators: Mike McNeill, Jim Nolan
9:45 – 10:15 a.m.
Break in the Exhibit Hall
Doral Ballroom
10:15 – 11:15 a.m.
Technology Executive Roundtable
Grand Ballroom
Moderator: Janet Hanson
PwC
Mark Curry, Vice President, Corporate Technology
OppenheimerFunds
Anthony Mayo, Chief Technology Officer, The Dreyfus Corporation & Managing Director
BNY Mellon Asset Management Technology
Steve Sullivan, Vice President, Global Technology Services
T. Rowe Price
Dave Landy, Chief Technology Officer
Janus Funds
Join top technology officers from leading asset managers and service providers in a spirited
discussion about the most important technology opportunities, challenges and issues facing the
fund industry. These executives will speak to how they exploit technology to solve problems and
help their organizations excel in a rapidly changing business climate. Session attendees will
hear about the technology investments being made to drive business value and the role of
technology organizations in the asset management and servicing industry.
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Session coordinator: Chuck Gallant
11:30 a.m. – 12:30 p.m.
Intermediary Oversight
Palms North
Moderator: Stuart E. Fross, Partner
K&L Gates LLP
Mike McNeill, Division Vice President
Boston Financial Data Services
Robert Adams, Executive Vice President
National Financial Services LLC
Valerie Kay-Stickland, Vice President, Mutual Fund Operations
Raymond James & Associates, Inc.
Mike Krupa, Vice President
American Funds
With the continued movement of accounts to omnibus positions, the importance of
understanding and implementing an effective process and relationship for intermediary
oversight is critical.
Our panel of industry experts will discuss components of an effective intermediary oversight
program from both the perspective of the fund transfer agent as well as an intermediary.
Session attendees will hear about challenges the panel has faced as well as suggested
practices.
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The requirements of oversight versus what is “nice to have”
How oversight for RIA’s is different/similar
Session coordinator: Gary Winsbury
11:30 a.m. – 12:30 p.m.
Leveraging Mobile Technology to Stay Competitive
Palms South
Moderator: Neil Dewar, Head of Retail Information Systems
Allianz Global Investors
Nina Song, Vice President, Information Systems, eBusiness Development Group
Prudential
Christopher P. Willis, Executive Vice President of Marketing and Strategic Alliance
Pyxis Mobile
Tom Shanley, Vice President
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Fidelity Investments
The world has gone mobile. How does the asset management industry stack up? Firms are
largely past debating the merits of leveraging mobile devices to advance their business, but
investment is still a lower priority due to various constraints unique to the asset management
industry.
To leverage mobile opportunities firms have to overcome security, technology, support, and
compliance hurdles. And, too many firms have gotten caught up in focusing on the devices of
the moment rather than the goal at hand; to enable the mobility of users through any technology
available. A few firms have managed to overcome these challenges and are further along than
others.
The session’s panelists are leaders from firms who have launched successful mobile initiatives,
mobile technology providers, and industry experts. They will provide unique, pragmatic, and
actionable insights based on their experience.
Participants in the session can expect to learn answers to questions such as:
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How many devices should I support?
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How do I leverage mobile technologies internally (e.g., employee productivity,
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wholesalers, executives) as well as externally (e.g., for advisors, investors, institutional
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clients)
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How should I set up maintenance and support for mobile devices, web sites, apps, etc?
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How can I overcome the top security and compliance issues?
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To what extent can tablets replace a laptop or a smart phone?
Session coordinators: Fred Dejesus, Rubesh Jacobs, Laura Lang, Kari Murphy, Richard
Vincello
12:30 – 1:45 p.m.
Luncheon and Keynote Address
Innovation in the Mutual Fund Industry
Grand Ballroom
Bill Dwyer, President, National Sales and Marketing
LPL Financial
Bill will assess the outlook for the mutual fund industry from a distributor’s perspective. Among
other topics, he’ll discuss:
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How the economic and market environment has affected fund distribution
Changing consumer preferences
Opportunities for growth
The impact of regulatory change -- past and future
Sponsored by: SunGard logo
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2:00 – 3:00 p.m.
Privacy and Data Loss Prevention
Palms North
Moderator: Tony D’Elia, Vice President and Director of Compliance
AllianceBernstein
Mark Trenchard, Director of Operational Compliance
Putnam Investments
Anthony Basile, Chief Information Security Officer
Alliance Bernstein
Don Kloeppel, Chief Information Security Officer
DST Systems, Inc.
Where is all my data going and how is it getting there?
The continued growth and popularity of the digitization and portability of data along with
remote storage and outsourcing, intensified by a current and future workforce that knows
no alternative and expects the instantaneous and boundary-free availability to that
data all present ever-evolving and monumental challenges to privacy and information
security professionals.
Please join our panel of seasoned professionals as they discuss these challenges
and share with the audience their thoughts on strategic and tactical solutions to the
challenges and risks that exist in today’s privacy compliance and information security
environment.
Session coordinators: Tony D’Elia
2:00 – 3:00 p.m.
Regulatory Hot Topics: Fund Administration and Custody
Palms South
Moderator: David Parks, Executive Director, Asset Management Advisory
Ernst & Young LLP
Mike Mykytiw, Executive Director, Senior Accounting Product Manager
Worldwide Securities Services J.P. Morgan
Camille Thommes, Director General
ALFI
Carolyn Gill, Treasurer
Eagle Family of Funds
The Fund Administration and Custody Committee will examine current topics which present
unique challenges to our industry. The panel will look at these topics from both the fund
sponsor and service provider perspectives, and will include a view on hot topics in Europe.
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Session coordinators: Mark Kucera, Greg Seward, Christine Stokes
5:00 – 6:30 p.m.
Reception in the Exhibit Hall
Doral Ballroom
6:30 – 8:00 p.m.
NICSA’s 50th Anniversary Reception
Grand Ballroom
Sponsored by: Ernst & Young LLP
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Wednesday, February 15
8:15 – 8:45 a.m.
Breakfast in the Exhibit Hall
Doral Ballroom
8:45 – 9:00 a.m.
Closing Remarks
Grand Ballroom
Theresa Hamacher, President, NICSA
Fred Naddaff, Vice Chair, NICSA Board of Directors
9:00 – 10:00 a.m.
Keynote Address
U.S. Economic & Financial Outlook: Your Money, Your World, Your Family…The Future
Grand Ballroom
Jeff Thredgold, President
Thredgold Economic Associates
Economic Futurist
In this entertaining, informative, and humorous “tour” of the U.S. and global economy, financial
markets, education, employment, retirement, and more, Jeff will provide a clear and focused
picture of what’s happening in the economy and how it affects the future of your finances.
Drawing from his latest book, econAmerica, he shares the four key factors, or "silver bullets",
that will combine to create a strong American economy in coming years.
10:00 – 11:00 a.m.
Keynote Address
The New Normal
Grand Ballroom
Alexis Glick
CEO, Gen YOUth Foundation, Senior Fellow, Kauffman Foundation
Former Vice President of FOX Business News and anchor Money for Breakfast and The
Opening Bell
Over the past decade we have witnessed seismic changes in the way we collect data, in the
way news is disseminated and delivered and in the way we communicate with one another. This
New Normal has forced each of to reconsider how we do business both here at home and
around the globe. Veteran Media Journalist and former Wall Street Executive Alexis Glick will
share her vision for the New Normal and how the companies and individuals she speaks with
every day have changed the way they do business.
11:00 a.m.
Conference Closes
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