2018 Agenda

 

Thursday, October 11
7:00am - 5:00pm Registration Open

7:30 - 8:30am
Breakfast

8:30 - 8:45am

Welcome Remarks
Dan Houlihan, Chairman of the NICSA Board of Directors

8:45 - 9:45am

Executive Session: Perspectives from the C-Suite

 

Straight from the C-Suite, get diverse perspectives from a panel of seasoned executives across the asset management industry. From the 10K-foot view to tactical business planning, hear what’s likely to move the needle for them, for their firms, and for the industry at large. Join us for a unique opportunity to engage in an intimate, informal setting with some of today’s top leaders and innovators.

 

Moderator: 

Bob Mulhall, Partner, Wealth and Asset Management, EY

Panelists:
Kathleen Gorman, President - RBC Funds, RBC Global Asset Management

Lori Heinel, Executive Vice President, Deputy Global Chief Investment Officer, State Street Global Advisors
Matt Witkos, President of Distribution, Eaton Vance


9:45 - 10:00am

Transitional Break

10:00 - 10:50am

Breaking Down Blockchain

 

Distributed ledger is a blockbuster concept. But what can it do, and what can’t it do? From retail experiences to financial services, what is this emerging technology likely to bring in the future? Get a deeper dive into use cases that are directly impacting the global asset management industry. Let NICSA break it down for you -- in non-technical, plain English -- how blockchain applications are expanding into the world of finance.

 

Moderator:
Chris Thompson, Partner, PwC


Panelists:
Olivier Portenseigne, Managing Director and Chief Commercial Officer, FundDLT
Oliver Meeker, Sales & Marketing Development - Blockchain Platform, IBM


10:50 - 11:40am

Digitize Me: The Evolving Client Experience

 

Financial firms are embarking on a journey to devise the perfect cross-channel experience for their customers. Unique and efficient technology solutions are driving the client engagement experience on a large scale – from personalization, to self-service, to mobile integration.  The tools and standards are rapidly changing, and service offerings need to keep pace. Learn how AI and other technologies are being leveraged in the global asset management arena to build full scale digitized service platforms. Hear use cases from companies with real experience in digitizing the customer experience in both the retail and institutional space.

 

Moderator:
Catherine Heron Carroll, Managing Director, Head of Design and Digital Strategy, AQR Capital Management

 

Panelists:
Allen Cohen, Digital Officer & Head of Global Fund Services Product - Asset Servicing, BNY Mellon
Barbara O'Malley, Senior Vice President, Northern Trust
Jennifer Peve, Managing Director, Business Development and FinTech Strategy, DTCC


11:40am - 12:00pm

Transitional Break

12:00 - 1:30pm

NOVA Awards Presentation and Luncheon

2:00 - 5:00pm

Breakout Sessions


2:00 - 2:50pm:


Fraud Alert: Current Trends & Prevention Techniques

Every investor deserves the best protection. From cybersecurity to elder abuse, fraud is a growing concern for financial organizations. This expert panel of regulatory authorities and asset managers will provide best practices aimed at protecting firms and their clients from data breaches, phishing schemes, malware and more. Learn what new regulations may be coming, and how to go above and beyond the regulations to protect assets.

Moderator:
Scott Nussbum,
Director - Global Investigations and Compliance, Navigant

Panelists:

Hilary Bonaccorsi, Associate, Dechert, LLP
Joe Divito, Principal - Cybersecurity & Privacy Services, PwC

Andras Teleki, Chief Legal Officer, M3Sixty 


The Future of Distribution 


As shelf space for products continues to shrink and fee compression has a wide ranging impact on the fund industry, learn how asset managers are viewing their distribution partnerships. Join an interactive discussion around the trends that are upending traditional distribution models and find out how forward-looking firms are implementing change and differentiating themselves. Gain insight into the most successful sales and distribution strategies that are helping asset management firms survive and thrive.

 

Moderator:
Lee Kowarski, Vice President, DST Systems

 

Panelists:
Andrew Beasley, Head of Relationship Management and Business Development, Fidelity Investments
Estee Jimerson, Managing Director, Head of Asset Management, Envestnet
Mike Keenan
, President, MFS Fund Distributors, Inc.
Jacqueline Vahab, Director, Merrill Lynch

 

 

3:00 - 3:50pm:

 

Data Analytics: The Value of Business Intelligence Reporting 

The ability to “speak data” is essential for successful digital transformations.  Firms across the asset management industry are restructuring their organizations based on a new era of data analytics. Reformulated, data-driven sales and distribution models are becoming the norm. Gain new understandings of your data, deepen your knowledge, and get a closer look at actual use cases that member firms have experienced in developing their customer-centric movement.

Moderator:
Lyndsay Noble, Lead, Analytics Consulting Practice, DST Systems

Panelists:
Bradley Moore, Director - Product Development, BNY Mellon
Heath Warner, ProShares | ProFunds

 

Advisor Feedback: Success Strategies from Top Performers

What are the characteristics and success patterns of the industry’s top performers? What can asset managers do to get on their radars? Hear from a panel of top performing advisors about what they are doing to grow assets under management, and how product and distribution trends are impacting their business. Find out where the leading investment advisors spend their time and focus. Learn what your firm can be doing to build better business relationships with these influencers and innovators. A “not to be missed” session for asset managers looking to build new distribution partnerships and enhance existing advisor relationships!

Moderator:
Mary Kralis Hoppe, CIMA, Senior Vice President, Field Sales, US Global Wealth Management, PIMCO Investments

Panelists:
Kenton Shirk,
Director, Wealth Management Research & Consulting, Cerulli

Ryan Belanger, Managing Principal and Founder, Ciaro Advisors, LLC

Marcie Behman, Private Wealth Advisor, Managing Director - Wealth Management, Merrill Lynch


 

4:00 - 4:50pm:

 

Protecting the Franchise: Managing Risk in the Global Economy 


The stakes have never been higher for the financial services industry. Fast-paced advances in technology have given way to exponential concerns that are keeping asset managers, broker dealers, banks, distributors, and service providers up at night. Beyond protecting data against a breach and shielding assets from the next fraudster, comprehensive risk management plans must also consider security of our physical workspaces. And, as if that is not enough, social media looms large for reputational risk. The good news? We are all in this together. This interactive panel will share insights and perspectives, and pack your bag with best practices!


Panelists:

Rhonda Cook, Chief Risk Officer, SEI
Antonio Crombie, Strategic, Regulatory and Operational Risk Management Leader, Deloitte
Samantha Swift
, Chief Risk Officer, Foreside

Rich Walzer, Chief Information Security Officer, Putnam

 


Transforming Asset Management Organizations 


The retail fund & ETF markets are changing – from growing dependence on digital client interactions, to slowing growth and fee compression. Within this context, how are asset managers rethinking their sales and marketing teams? It starts with more robust internal collaboration and more focus on the roles that complement the external wholesaler. Hear how collaborative insights can increase efficient resource deployment, hone marketing messages, and enhance systematic client experiences. Gain actionable guidance on how to build better business models from our seasoned panel of marketing and distribution executives.

 

Moderator:
Brenda Lyons,
Executive Vice President, State Street

Panelists:

Don Bonder, Vice President, Head of Internal Sales, American Century

Bob Cunha, Managing Director, Marketing and Distribution Strategy, Eaton Vance
Roger Paradiso, Head of Alternative Distribution Strategies, Legg Mason
Leslie Walstrom, Head of U.S. Intermediary Marketing, Columbia Threadneedle

5:00 - 6:30pm

Networking Reception


Friday, October 12

7:00am - 12:00pm
Registration Open

7:30 - 8:30am
Breakfast

8:45 - 9:30am

Capital Markets Masterclass

 

Dr. David Kelly, Chief Global Strategist and Head of the Global Market Insights Strategy Team, J.P. Morgan.

DAVID KELLY, CHIEF GLOBAL STRATEGIST at J.P. MORGAN provides an engaging overview of complex economic and market issues in a message that financial professionals can use to communicate to their clients. Hear how the evolving climate in Washington will impact the financial industry and related regulations, and find out what economic trends should be on the watch list for all asset managers.

9:30 - 10:30am

Threats and Opportunities Facing the 40-Act Fund

 

Evolution is the antidote to extinction. Join us for a provocative discussion about how fund complexes are evolving. From increasing value to introducing new breeds, active managers are finding new ways to support the mutual fund structure. Find out what channels are seeing a high rate of success, how firms are dealing with profitability concerns, how operating models being adjusted, and what variations are enhancing user acceptance. Don’t miss this opportunity to explore the upside opportunities for actively managed 40-Act fund providers.

 

Moderator:
Jebb Doggett, Partner, Casey Quirk & Associates - Deloitte

 

Panelists: 

Heather Bonner, CFO AQR Funds, Vice President, AQR Capital Management

Harald Gundersen, Managing Director - Chief Investment Officer, Global Wealth & Investment Management, Bank of America
Rachel Schnoll, Managing Director, Head of US Product Strategy, Goldman Sachs Asset Management

10:30 - 10:45am

Transitional Break

10:45am - 12:00pm

Join the Diversity Movement

 

Take action to accelerate progress towards an inclusive culture within our industry. Hear how future success – for our clients, employees and shareholders – requires an inclusive culture.  Don’t miss this opportunity to develop, share and advance diversity best practices within your own organizations as well as the larger community.