2018 Agenda


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

7:30 - 8:30am

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.



Bob Mulhall, Partner, Wealth and Asset Management, EY

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.


Chris Thompson, Partner, PwC

Olivier Portenseigne, Managing Director and Chief Commercial Officer, FundDLT
John Evans, Head of Blockchain Strategy, Vanguard 
Dave Maddox, Blockchain Business Development Leader - US Financial Services Market, 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.



Chuck Gallant, Managing Director, BNY Mellon




James Mackinaw, Managing Director, Digital Wealth, Blackrock

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.

Scott Nussbum,
Director - Global Investigations and Compliance, Navigant


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.


Lee Kowarski, Vice President, DST Systems


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 this customer-centric movement.

Lyndsay Noble, Lead, Analytics Consulting Practice, DST Systems

Bradley Moore, Director - Product Development, BNY Mellon
Heath Warner, ProShares | ProFunds
Wendy Kania, Vice President, Sponsor Relations, Commonwealth


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!

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

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

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

Marc Freedman, CEO, President, Owner, Freedman Financial
Scott Smith, Director, Research and Analysis, Cerrulli  


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!


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.


Brenda Lyons,
Executive Vice President, State Street


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

7:15am - 8:15am

Bonus Breakfast - Modernization of Fund Report Delivery: Staying Compliant with 30e-3

Recently, the SEC voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds by making shareholder reports and other materials accessible at a website address specified in a notice to investors. This new, optional "notice and access" method for delivering reports has the potential to improve efficiency and enhance access to important fund disclosure.

Participants will hear operational perspectives from the fund and the broker-dealer world, as well as a regulatory perspective from former SEC Commissioner Roel Campos.


Chuck Callan, Chief Regulatory Officer, Broadridge 

Roel Campos, Partner, Chair of SEC Enforcement Defense Practice, Hughes Hubbard & Reed LLP
Phil Kolb, Managing Director, Head of Product Group Services, Morgan Stanley
Swatika Rajaram, Vice President, Regulatory Products, Broadridge
Julie Smith, Assistant Vice President Fund Administration & Operations, Touchstone Investments

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.


Jebb Doggett, Partner, Casey Quirk & Associates - Deloitte



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

Frank McDonnell, Managing Director, ISG Product Executive, Global Wealth and 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.



Dan Houlihan, Executive Vice President, Head of Global Fund Services, North America, Northern Trust 

Gary Casagrande, Vice President, Global Market Strategy, Confluence

Connie Lindsey, Executive Vice President - Head of CSR and Global Diversity & Inclusion, Northern Trust

Amy Philbrook, Head of Diversity & Inclusion, Fidelity