Event Agenda


Registration Opens

8:00AM 8:45AM

Networking and Breakfast

8:45AM 9:00AM

Welcome Note & Opening Remarks

9:00AM 9:45AM

Keynote: How the New Regulatory Agenda is Changing Asset Management and What to Do About It

As the regulatory environment continues to change, asset management firms will be forced to change as well. From updating governance and compliance models to streamlining operating processes, regulations will continue to drive asset management firms’ strategies, risk management practices, and investment returns. What are some of the most notable trends in the industry and in the regulatory environment and how may those trends impact your operating and compliance models to adequately address the regulatory challenges ahead.

George O. Martinez
Executive Director
Worldwide Securities Services
J.P. Morgan

9:45AM 10:30AM

Thought Leadership: A Holistic View of Middle Office Transformation

In the current economy, asset managers are under pressure to do more with less. Changing regulatory requirements, increasing complexity of products and services, and globalization are adding to the challenges. To cut costs and address regulatory pressures, asset managers are increasingly outsourcing middle office functions such as trade processing and settlement, asset pricing and accounting, asset servicing, client reporting, performance calculations, risk analytics, and collateral management. Service provider solutions have matured, with single platforms able to support multiple clients. Prices for these solutions are competitively priced as well. The session will focus on drivers, trends and best practices in middle office transformation.

Andrew Taubman
Managing Director
BNY Mellon

10:30AM 11:00AM

Networking Break

11:00AM 11:45AM

Panel Discussion: Outsourcing & Regulatory Compliance: A Match Made in Heaven?

Asset management firms no longer manage regulatory compliance in isolation from other operational systems. Instead, compliance is tightly integrated with other areas of supply chain management and has a significant impact on firms’ sourcing strategies. Recently introduced regulations like the Foreign Account Tax Compliance Act (FATCA), the Dodd-Frank Act, and regulatory bodies such as the Financial Industry Regulatory Authority (FINRA) are all impacting outsourcing strategies. During this session, panelists will share their perspectives on how regulations are influence outsourcing decision-making and why they are accelerating or decreasing outsourcing initiatives. Panelists will also share best practices for outsourcing governance.

Moderator: Steve Lipof
Steve Lipof
Practice Leader – Compliance and Regulatory
Virtusa Corporation - Financial Services Consulting
Yvonne I. Pytlik
Global Chief Compliance Officer & Chief Regulatory Risk Officer
Clear Alternatives LLC
Luis M. Cifuentes
VP Chief Compliance Officer
Bladex Asset Management
Stephen Cohen
Loeb & Loeb

11:45AM 12:30PM

Panel Discussion: A Twist on the Outsourcing Vs. In-house Development Discussion

Even though operational cost reduction remains a key benefit of outsourcing, regulatory mandates are forcing asset management firms to reevaluate the outsource vs. in-house development argument. Is the cost benefit really worth it? Is regulatory compliance simply too critical to outsource? What’s the real cost of outsourcing domain expertise? Panelists will debate whether selected in-house development can sharpen their competitive edge and share some recent experiences in the true costs and risks associated with outsourcing.

Moderator: Andrew Houston
Jack Beldon
Global Head of Credit Change
Barclays Capital
Andrew Houston,
Managing Director and Co-Founder,
Amba Research
Holly H. Miller

12:30PM 1:15PM

Networking Lunch

1:15PM 2:15PM

Panel Discussion: Integrated vs Best Of Breed Solutions in the Current Environment

Making the wrong decision on whether to implement best of breed solutions or integrated solutions can have disastrous results. Although both alternatives have pros and cons, purchase selection is tricky and highly dependent upon on the criticality of the process and complexity of the asset management firm. Vendor management and service level agreements are also important criteria to consider. Panelists will share their experiences using best of breed and integrated solutions, their decision-making process, and how they benchmark specific operational parameters. Panel members will also discuss how recent mergers and acquisitions are changing the contour of the service provider industry.

Moderator: Padelford Louis Lattimer
Joerg Guenther
Chief Information Officer
Artio Global Management LLC
Ben Keeler
Citisoft, Inc
Akiba Stern
Loeb & Loeb
Padelford Louis Lattimer
Founding Member
Turtle Bay Advisory Services
Steven M. Rullo
Chief Information Officer
GE Asset Management

2:15PM 2:45PM

Thought Leadership: Data to Knowledge for Enhanced Performance

Accurate data management and real-time reporting are the foundation of successful asset management and those asset managers with access to relevant and insightful information have a competitive edge in today’s global operating environment. Performance measurement data management has emerged as a critical component of helping asset managers proactively identify, measure and respond to organizational challenges. During this session panelists will explore strategies for culling raw data and turning it into insightful analysis that adds value to asset management operations.
Timothy P. Ryan
Vice President and Head of Performance Measurement
Hartford Investment Management Company

2:45PM 3:30PM

Panel Discussion: Innovative Investment Strategies and Models

Investment strategies are rapidly evolving as investors adopt innovative approaches to achieve alpha and deliver investment returns that outpace market performance, including adding ETFs and socially responsible investments to their investment mix. This session will explore investors appetite for new investment strategies and how innovation in specific investment areas can lead to enhanced risk management while still meeting more demanding client expectations.

Moderator: Aron Miodownik
Aron Miodownik
Cambrian Associates
Eric M. Pollackov
Managing Director
ETF Capital Markets
Charles Schwab & Co. Inc.
Chris Hempstead
Director- ETF Group
WallachBeth Inc.
James P. Canales
Partner and Chief Operating Officer
StoneWater Capital

3:30PM 4:30PM

Networking High Tea and Coffee

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