2019 Agenda All Sessions

Wednesday, October 16

Click here to download a PDF version of the agenda. 



9:00am - 12:00pm 
 Diversity Project CEO Advisory Council Meeting
12:00pm - 1:00pm
 Joint Luncheon: Nicsa Board and Diversity Project
1:00pm - 3:30pm 
 Nicsa Board of Directors Meeting
1:00pm - 5:00pm
 Nicsa & Diversity Project Committee Meetings
3:30pm - 5:30pm
 Nicsa & Diversity Project Committee Co-Chair Symposium
6:00pm - 7:30pm
Joint Networking Reception: Nicsa Board, Co-Chairs, Diversity Project, & ALFI


Thursday, October 17
7:30am - 4:30pm Registration Open

7:30am - 8:45am

8:45am - 9:00am

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

Confluence Ballroom
(Grand Ballroom)

9:00am - 9:30am

A Sell-Side Handbook for Asset Managers

Confluence Ballroom (Grand Ballroom)

Featuring Alexander Blostein, Managing Director, Equity Research, Goldman Sachs

Providing actionable insights on global financial markets and the dynamics that move them are the fundamental premise of the long-lived model of sell-side/buy-side feng shui. However, numerous factors are impacting the traditional model of sell-side research within in the asset management industry. This session will provide a big picture, broad analysis of the asset management industry.


9:30am - 10:00am

Major Macro Trends Impacting the Asset Management Business

Confluence Ballroom (Grand Ballroom)

Join us for an in-depth look at the fundamental shifts in the investment landscape that are shaping the future of the global asset management industry. This informative session will take a deep dive into how these major macro trends can guide future operating models, talent management, and process development.

Featuring Jeffrey Saut, Chief Investment Strategist, Capital Wealth Planning

Prior to affiliating with CWP, Jeffrey Saut was Raymond James’ chief investment strategist and a managing director of the firm’s equity research department. In that role, he provided timely and insightful market commentary to Raymond James financial advisors, their clients, portfolio managers and institutional clients through daily strategy calls and weekly written commentary, as well as local and national media appearances.


10:00am - 10:50am

Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

Confluence Ballroom (Grand Ballroom)

The cost of managing and maintaining technology spending is one of the most challenging issues of modern business. This session will explore ways to minimize spending, leverage partnerships, and balance budgets against ROI.  Hear business and technology leaders share their views on technology spending including outsourcing and learn oversight strategies crucial to long-term success of business planning.


Moderator: Kelley Conway, Managing Director, Accenture
Wilson D'Souza, Chief Technology Officer, Akoya, LLC
Gail Knudsen, Executive Director, Product Development Team, J.P. Morgan
Michael Woodall, Chief of Operations, Putnam


10:50am - 11:05am

 Networking Break

11:05am - 12:05pm

 Mapping the Future with Fidelity's Head of Broker Dealer Segment

 Confluence Ballroom (Grand Ballroom)

Carolyn Clancy, EVP, Head of Broker-Dealer Segment, Fidelity Investments

Carolyn Clancy, EVP, Head of the Broker-Dealer Segment at Fidelity Clearing & Custody Solutions (FCCS), shares insights on how business can thrive today and in the future amid a rapidly changing technology environment and shifts in what investors value in advice.


12:05pm - 12:30pm
 Networking Break
12:30pm - 2:00pm

NOVA Awards & Luncheon

Confluence Ballroom (Grand Ballroom)

The NICSA NOVA Awards recognize outstanding organizations and industry professionals that excel in the field of asset management by demonstrating exemplary leadership and innovation. The awards are presented annually at the General Membership Meeting (GMM). 


2:00pm - 2:30pm
Transitional Break
2:30pm - 3:20pm

Learning Clinics

Join industry executives in roundtable discussions on top-of-mind issues impacting the global asset management industry. Leave with clear messages that your teams can turn into action. 

Track 1 - Sharpen Your Tools Against Fraud

Another day, another fraud tactic. Staying on top of social engineering and other emerging trends as they develop is the most effective way to prevent fraudsters from infiltrating your service center. Industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats.


Moderator: Carol Tannous, Managing Director, Deloitte
Cari Armstrong, Vice President, American Funds Service Group, Capital Group
Doug Domin, Special Agent, FBI Boston
Michael Mitchell, Group Manager VP, Asset Servicing Operations, Control Division, BNY Mellon

Track 2 - Developments in Asset Management Allocation Models

More than one-quarter of advisors report using models as a base for their portfolios before making customizations. Learn how models are being evaluated and used in a discussion led by industry thought leaders on distribution. This interactive session will address ways that asset managers can partner with advisors to “move the needle” on the future of model portfolio and building client value.


Moderator: Scott Smith, Director, Advice Relationships, Cerulli
Eve Cout
Director, Model Portfolio Pillar, U.S. Wealth Advisory, Blackrock
Thomas Jones, Head of Strategic Relations, Columbia Threadneedle
Pete Thatch, Director of National Accounts, Capital Group


3:30pm - 4:20pm

Learning Clinics

Track 1 - Artificial Intelligence Mentorship Clinic

Join us for a hands-on learning experience exclusively for NICSA GMM attendees! You know what Artificial Intelligence is; now, learn from actual practitioners how to explore the application of AI in your business models. This interactive clinic will showcase AI technologies currently in use within the asset management industry, as well as the asset managers that are using them. Learn how AI solutions are re-inventing both front and back office business solutions.


Moderator: Chuck Gallant, Managing Director, BNY Mellon
Mia Puzo, Nuance Communications
Michael Maggio,
Vice President, Global Head of Product Management - Data and Process Solutions Group, FIS
Travis Farrenkopf, Senior Solutions Consultant - Financial Services, Pegasystems
Robert Zembowicz,
Chief Enterprise Architect, Vanguard

Track 2 - When Stars Align: How to Align Your Sales and Distribution Organizations

In order to meet changing product and distribution needs, alignment between sales and marketing organizations has never been more important. Learn the strategies that industry innovators are using to transform their organizations to increase efficiency and effectiveness in an ever evolving distribution landscape.


Moderator: Michael Andrews, Head of Investment Products Research and Consulting, SS&C Research, Analytics, and Consulting
Stephen Alepa, CEO, Olmstead Associates
Jim Bumpus, National Sales Manager, Columbia Threadneedle
Erik Gosule, CFA, Managing Director, Head of Strategic Marketing & Product Development, Amundi Pioneer
Lyndsay Noble
, Director, Data Science, SS&C

4:30pm - 6:00pm
Networking Reception

Friday, October 18

7:30am - 12:00pm
Registration Open

7:30am - 8:30am

Bonus Breakfast | Sponsored by Broadridge

Skyline Suites (West Tower Level Two)

Making the Business Case: Why Diversity Matters to ESG Investors 

As ESG analysis becomes fundamental to investment decision-making processes, the conversation around diversity has become increasingly important for investors. A diverse workforce is not only important to socially-conscious investors, but is beginning to be viewed as a value driver in organizations. Join us for an informal and informative look at what the increasing emphasis on diversity means for investment managers. Our panel of hands-on business executives, including ESG and Diversity & Inclusion experts, dive into the practical implications of diversity governance, regulatory issues, and investment management policies.


Moderator: Naadia Burrows, Vice President, Mutual Funds Regulatory Communications, Broadridge Financial Solutions, Inc. 
Amy Philbrook
, Head of Diversity and Inclusion, Fidelity Investments
Sibil Sebastian, Senior Director of Product Management, Global Growth Equity & ESG, American Century
Emiliano Rabinovich, Senior Portfolio Manager - Vice President, SSGA

8:45am - 9:00am

Opening Remarks 

Confluence Ballroom (Grand Ballroom)

9:00am - 10:00am

C-Suite Summit: How to Stay Relevant & Bolster Client Value

Confluence Ballroom (Grand Ballroom)

Get the full value of knowledge from frontline industry executives as they shed light on the provocative issues that are top of mind for executive teams across the asset management industry.  From talent management to product development to client service, learn what’s helping them differentiate their value propositions.  


Moderator: John Stadtler, Partner, US Financial Services Industry Group, PwC
Tom Faust
, Chairman and Chief Executive Officer, Eaton Vance
John Hailer, President - Asset Management, 1251 Capital Group
Lisa Jones, Head of the Americas, President & CEO, Amundi Pioneer Asset Management USA, Inc.

10:00am - 11:00am

Architects of Innovation: Product Creation in Asset Management

Kunal Kapoor, Chief Executive Officer, Morningstar

Morningstar’s Kunal Kapoor, Chief Executive Officer, delivers the latest perspectives on product development trends in the asset management industry. Get up-to-the minute insights on Environmental, Social and Governance priorities, non-transparent ETFs, and other disruptive trends. Kunal’s presentation will be immediately followed by a panel discussion with the industry’s top product and distribution leaders focused on which trends are gaining the most traction, what determines success in those niches, and how companies can stay competitive on the product development front.


Moderator: Kunal Kapoor, Chief Executive Officer, Morningstar
Sandy Bolton, Managing Director, Head of Managed Investments - Investment Solutions Group, Merrill Lynch
Glen Casey, Global Head of Products, Senior Vice President, American Century
Vipul Gautam, SVP Director of Research, Workplace Investing, Fidelity Investments

11:00am - 11:15am
Transitional Break

11:15am - 12:15pm

Engaging and Servicing the Next Generation

Confluence Ballroom (Grand Ballroom)

Client onboarding, communications, and engagement trends have changed drastically in recent years. Technology has introduced financial advice with little human interaction; advanced analytics are driving account servicing; and the demand for social responsibility is impacting product development. Hear from industry innovators how they are utilizing these trends to serve NextGen investors.


Moderator: Nick Lombardo, Vice President, Sales Executive, Citi Securities Services
Kelly Coyne
, Vice President, Global Women's Strategies, Pax Ellevate Management
Ingrid Jacobs, Chief Diversity Officer, Eaton Vance
Al Sears, Vice President, Global Client Group, Dimensional

12:15pm - 12:20pm

Closing Remarks
Confluence Ballroom (Grand Ballroom)

2019 GMM Sponsors