• Sunday,
    February 12
  • Monday, February 13
  • Tuesday, February 14
  • Wednesday, February 15
  • Presentation Archives
 Sunday, February 12
 8:00 a.m. Shotgun Start
NICSA Golf Tournament
Red and Blue Monster Courses

Breakfast Sponsored by:

Bottled Water Sponsored by:

 1:00 – 3:00 p.m. Barbeque at the 19th Hole
Blue Monster Lawn
Sponsored by:

 3:00 – 5:00 p.m.

New Workshop:  71/2 Steps to Transcend the Status Quo & Reinvent Your Life
Palms North

Are you a busy professional who wonders if what you did today really made a difference to anyone? Do you wonder if there is more in life than what you see, but you just cant figure out how to find it? Are you ready to be RE-ENERGIZED? RE-INVENTED?

Yes?  Then join us - Broadridges Womens Leadership Forum - and many of your peers and friends to begin the exploration!

Ann Fry, the re-invention guru, will lead us through her process to achieve amazing results.  To round out the discussion, an extraordinary panel will share their own experiences of re-invention and change. Panelists include:

Erika Ivanyi, Senior Vice President
American Funds Service Company

Jennifer M. Johnson, Executive Vice President and Chief Operating Officer
Franklin Resources, Inc

Marcia Wagner, Esq., Managing Director
The Wagner Law Group

Sponsored by:
Broadridge Womens Leadership Forum

 5:00 – 7:00 p.m. Opening Reception
Exhibit Hall
Sponsored by:

 Monday, February 13
 8:00 – 9:00 a.m.

Breakfast in the Exhibit Hall
Doral Ballroom

Sponsored by:

 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
C. Tyler Mathisen,

Co-Anchor, Power Lunch; 

Vice President, Strategic Initiatives, CNBC
(Read More...)

Steven L. Fradkin, President, Corporate and Institutional Business Unit
Northern Trust

Michael J. Niedermeyer, Chief Executive Officer, Asset Management Group and Executive Vice President, Management Committee
Wells Fargo & Company

James P. Palermo,
CEO, Global Client Management and Vice Chairman
BNY Mellon

Alan Reid, Chief Executive Officer and Founder
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.

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, Human Capital Practice
Deloitte Consulting LLP

Carol Gransee, Assistant Vice President and Retirement Plans Compliance Officer

Billy Morris, Senior Vice President, Product Management

Debra K. Schmidt, QPA, QKA, Vice President, Retirement Plans Sales and Support Services
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 coordinators:
NICSA Retirement Committee

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
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

Using Technology to Enhance the Client Experience
Palms South

Moderator: Andy Jordan, Chief Operating Officer

Paul Beste, Chief Operating Officer
Heartland Advisors, Inc.

Wendy Delp, Director
Merrill Edge

Henry F. Detering, Director
Lazard Asset Management LLC

Doug Hanson, Vice President, Shared Strategic Services - Third Party Products
Charles Schwab

Robert Krugman, Vice President, Digital Strategy
Broadridge Financial Solutions, Inc.

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:

  • 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, and
  • The use and servicing impacts of mobile platforms.

Session coordinators:
Dave Benson, Daniel Cwenar, Jesse Dean, Scott Metro

 12:00 – 1:00 p.m.
Buffet Luncheon in the Exhibit Hall
Doral Ballroom
 1:00 – 2:15 p.m.

Presentation of the NICSA Committee MVP Awards
Grand Ballroom

Theresa Hamacher, President

Ellen Weinraub, Vice-President

Presentation of the 2012 PwC Award
Grand Ballroom

This Year’s Honoree:
Barbara J. Mack
, Vice President
BNY Mellon Asset Servicing

Award Presented by:
Barry Benjamin, Partner

Keynote Address
Operating Models for an Uncertain World

Neeraj Sahai,
Managing Director, Global Head of Securities and Fund Services, Global Transaction Services, Citi
(Read More...)

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 firms DNA.

 2:30 – 3:30 p.m.
Role of Social Media in Asset Management
Grand Ballroom

Moderator: Rubesh Jacobs, Senior Managing Consultant
kasina LLC

Diane Frankenfield, Senior Vice President, Marketing

Eileen Loustau, Director, US i
Shares, Digital Content and Social Media

Mark McKenna, Head 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

Regulatory Hot Topics: Operations and Distribution
Palms North
Moderator: Rob Terris, Senior Vice President and Head of Division Operations
ING Funds

Nick DAngelo, Director

Joan Dowd, Chief Compliance Officer
Boston Financial Data Services, Inc.

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.

Session coordinators: Patrick J. Campbell, Bob Casey, George Costas, (Read more...)

Operational Challenges Related to Absolute Return Funds
Palms South
Bob Pieroni, Vice President, Director of Investment Operations
Pioneer Investments Management, Inc.

Keith Slattery, Senior Vice President of Fund Administration, Global Services Division
State Street

Freeman Wood, Principal and Director of the Americas Team
Mercer Sentinel

This session will focus on the front, middle and back office operations needed to support absolute return funds including:

  • 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.
Exhibit Hall
Tuesday, February 14
 7:45 – 8:30 a.m. Breakfast Discussion Roundtables - Closed to Press
Palms North

Join your peers for informal discussions in these areas of interest:

•    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

Sponsored by:

 8:30 – 9:45 a.m.

Welcome Remarks
Grand Ballroom

James Nolan, Managing Director, Fund Services
Co-Chair, NICSA Annual Conference Committee

Presentation of the Robert L. Gould Award
Grand Ballroom

This Year’s Honoree:
Jennifer M. Johnson, Executive Vice President and Chief Operating Officer
Franklin Resources, Inc.

Award Presented by:
Peggy Schooley, Senior Vice President, General Manager
Broadridge Financial Solutions, Inc.


Investment Roundtable
Grand Ballroom

Jennifer M. Johnson,

Executive Vice President and Chief Operating Officer
Franklin Resources, Inc
(Read More...)

Frank Koudelka, Senior Vice President and ETF Product Specialist
State Street Global Services

James Lauder, Chief Executive Officer, Global Index Advisor
Co-Portfolio Manager,
Wells Fargo Advantage Funds

Bill Lee, Managing Director Global Chief Economist Team

Kenneth J. Taubes, Executive Vice President, Chief Investment Officer, US
Pioneer Investments

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, Partner, Asset Management Consulting Practice

Mark Curry, Vice President, Corporate Technology Group

Dave Landy, Chief Technology Officer
Janus Funds

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

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.

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

Robert Adams, Executive Vice President          
National Financial Services LLC

Valerie Kay-Stickland, Vice President, Mutual Fund Operations
Raymond James & Associates, In

Mike Krupa, Vice President
American Funds

Mike McNeill, Division Vice President
Boston Financial Data Services

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.

  • The requirements of oversight versus what is “nice to have”
  • How oversight for RIA’s is different/similar

Session coordinator:
Gary Winsbury

Leveraging Mobile Technology to Stay Competitive
Palms South

Moderator: Neil Dewar, Senior Vice President, Information Technology
Allianz Global Investors

Tom Shanley, Vice President
Fidelity Investments

Nina Song, Vice President, Information Systems, eBusiness Development Group

Christopher P. Willis, Chief Marketing Officer
Verivo Software

The world has gone mobile. How does the asset management industry stack up? 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:

  • How many devices should I support?
  • How do I leverage mobile technologies internally (e.g., employee productivity, wholesalers, executives) as well as externally (e.g., for advisors, investors, institutional clients)
  • How should I set up maintenance and support for mobile devices, web sites, apps, etc?
  • How can I overcome the top security and compliance issues?
  • 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
(Read More...)

Bill will assess the outlook for the mutual fund industry from a distributor’s perspective. Among other topics, he’ll discuss:

                                      • 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:

2:00 – 3:00 p.m.

Privacy and Data Loss Prevention - Closed to Press
Palms North

Moderator: Tony D’Elia,
Vice President and Director of Compliance

Anthony Basile, Chief Information Security Officer

Don Kloeppel, Chief Information Security Officer
DST Systems, Inc.

Mark Trenchard, Director of Operational Compliance
Putnam Investments

Where is all your 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.

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 coordinator:
Tony D’Elia

Regulatory Hot Topics: Fund Administration and Custody
Palms South

Moderator: David Parks, Executive Director, Asset Management Advisory
Ernst & Young LLP

Carolyn Gill, Treasurer
Eagle Family of Funds

Mike Mykytiw, Executive Director and Senior Accounting Product Manager
Worldwide Securities Services, J.P. Morgan

Camille Thommes, Director General

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.

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 - Closed to Press
Grand Ballroom

Sponsored by:

Join us as we celebrate NICSAs 50th Anniversary!

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

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,
Thredgold Economic Associates
Economic Futurist

(Read More...)

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.
See Preview

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

(Read More...)

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

View Presentations here