All Sessions

Click Here to Download a PDF version of the agenda.

Sunday, January 29
8:00 am  - 1:00 pm

Golf Tournament
Diplomat Golf Course

Click here to learn more and register 

1:00 - 7:30 pmRegistration Open
Grand Ballroom
1:30 - 2:30 pm

Golf Luncheon and Awards
 Diplomat Golf Course

Join your fellow attendees for a lunch at the course provided by NICSA. Awards will also be presented at this time.

5:30 - 7:30 pm

Opening Reception in Exhibit Hall
Grand Ballroom East


Sponsored by Northern Trust
 

Monday, January 30
7:15 am - 5:00 pm Registration Open
Grand Ballroom
7:30 - 8:30 am
Breakfast in Exhibit Hall
Grand Ballroom East
8:30 - 8:40 am
 Welcome & Chairman Remarks
Grand Ballroom West

 NICSA Chairman, Dan Houlihan, Northern Trust

8:40 - 9:30 am

Face the Membership with Tyler Mathisen
Grand Ballroom West


Moderator:
Tyler Mathisen, "Power Lunch" & "Nightly Business Report" Co-Anchor, CNBC
Panelists:
Suni Harford
, Head of Markets, North America, Citigroup Inc.
Kristi Mitchem, President & CEO, Head of Wells Fargo Asset Management, Wells Fargo Company
Jennifer McPeek, Executive Vice President and Chief Financial Officer, Janus


CNBC Anchor and Correspondent Tyler Mathisen moderates a distinguished panel of financial services CEOs as it delves into a candid discussion around the business strategies being deploying to address key disruptors facing the industry. Learn which disruptors are “the ones to watch” and how these industry are evolving their business plans for 2017 and beyond. 

9:30 - 10:15am

DOL Part 1 - Gut Check: Legal & Compliance Panel
Grand Ballroom West


Moderator:
Maria Gattuso
, Principal, Deloitte Advisory 


Panelist:
Jamila Abston, Partner, Financial Advisory Services, Ernst & Young, LLP
Elena Chism, Associate General Counsel, Retirement Policy, Investment Company Institute
Steven Sunnerberg, Assistant General Counsel, John Hancock

Get perspectives from individuals from the ICI, Ernst & Young (past SEC executive), as well as Compliance Officers from leading asset managers, on what should be shaping your compliance priorities. Leverage these up-to-the-minute, unique insights on the unfolding regulatory reform and hear practical guidance on developing programs and policies as you prepare for the DOL rule effective date. 

CLOSED TO MEDIA

10:15 - 10:45 am

Break in Exhibit Hall
Grand Ballroom East


Sponsored by FIS

10:45 - 11:30 am

DOL Part 2 - From Talk to Action: BD & Fund Platform Panel
Grand Ballroom West

 

Moderator:
Maria Gattuso
, Principal, Deloitte Advisory 


Panelists:

Stephen Lank, Executive Vice President, Service, Trading and Operations, LPL Financial
Philip Kolb, Managing Director, Head of Product Group Services, Morgan Stanley
Nicole McTighe, Vice President, Mutual Fund Operations, Pershing, a BNY Mellon Company


We’ve all listened to the pontifications and predictions about the DOL impact. Now, hear a panel of the industry’s leading broker dealers and fund platform providers explore tangible operational strategies and procedures, the technology and compliance expertise needed to meet requirements, and how to manage the cost of implementation.

CLOSED TO MEDIA

11:30 am - 12:15 pm

DOL Part 3 - Mapping a Strategic Response: Asset Manager Panel
Grand Ballroom West

 

Moderator:
Maria Gattuso
, Principal, Deloitte Advisory

Panelists:
Jennifer McGovern, Managing Director, BlackRock
Christine Gill, Managing Director, Head of Investor Solutions & U.S. Financial Institutions Group, BNY Mellon
Nino Palermo, Director of Operations Relationship Manager, Capital Group


Asset managers and technology providers share their roadmaps to program and process development and reveal how they are “operationalizing” the DOL impact. Stay ahead of the game and hear the latest thinking on compensation models, distribution, and the future of actively managed investment offerings as you prioritize the adjustments necessary to be in compliance with the DOL ruling.

CLOSED TO MEDIA

12:15 - 1:15 pm

Lunch in the Exhibit Hall
Grand Ballroom East

1:30 - 2:20 pm

Breakout Sessions
Atlantic Ballroom 1 & 2


Track 1: The Disruptors: Coming (Sooner or Later) to a Fund Near You

We’ve heard the warning: Our industry – which once moved at a measured pace of process change – is now ripe for the disruptors. The likes of artificial intelligence directing investment decisions or chronological digital ledgers recording our crypto-currency transactions are the sci-fi sounding invaders that may impact fund operations. But disruptors in the form of new market entrants and cyber risk management regulations could prove just as jarring. How and when true disruption will affect our industry is the focus of this panel discussion hosted, and simultaneously webcast, by SourceMedia. Grab your popcorn and join us for a thrilling conversation.


Moderator:
Suleman Din, Managing Editor, Money Management Executive, SourceMedia


Panelists:
Dan Houlihan, North American Head of Global Fund Services, Northern Trust
Tom Secaur, Global Chief Operating Officer, Citisoft
Tony Warren, Head of Strategy and Solutions Management, Asset Management and Insurance, FIS

 

Presented by FIS


Track 2: 
Swing Pricing: Can it Work in the U.S.? - CLOSED TO MEDIA
Under the new amendments to Rule 22c-1, mutual funds will be permitted to use swing pricing under certain circumstances. This panel will explore the operational challenges associated with implementing swing pricing in the U.S. and debate the differing opinions on adopting such policiesosted by the Compliance & Risk Committee for open-end mutual funds. 

Moderator:
Nick Horvath, Compliance Officer, DST Asset Management Solutions 

Panelists:
Jon Gezotis, Director, Product Management, Citigroup, Inc.
Kathleen Joaquin, Senior Fellow, Division of Investment Management, Rulemaking Office, U.S. Securities and Exchange Commission
Brad Smith, Vice President and Senior Operations Relationship Manager, Capital Group


Presented by the Compliance & Risk Committee
 

2:30 - 3:20 pm

 Breakout Sessions
Atlantic Ballroom 1 & 2


Track 1:
Updating the Non-DOL Regulatory Landscape

From RIC modernization, business continuity planning, liquidity, contingent NAVs, and derivatives, get the latest update on the regulatory horizon. While DOL may be grabbing the headlines, these important issues remain a top priority on board agendas and executive committee plans.  Take a deeper dive into these areas and learn more about potential opportunities and threats to investment managers, administrators and service providers.

Moderator:
Dan New, Executive Director, Advisory Services, Ernst & Young LLP

Panelists:
Mark Bradley, Vice President, Treasurer and Chief Financial & Accounting Officer, Pioneer Investments Management, USA
Craig Hollis, Chief Compliance Officer, Boston Financial Data Services, Inc.


Presented by Compliance & Risk Committee


Track 2:
Technologies and Innovation for the Future

Key technology innovators will show us how disruptive technologies will shape our industry moving forward. Digital transformation is critical to your firm’s success. Come hear from Google as to what the near future will bring to us as we cater to a technologically savvy demographic. IBM will tell us how advances in cognitive computing via software robotics and machine learning will lead to tremendous advancement in the ways we can leverage process automation, data, and analytics to improve your firms bottom line, increase customer satisfaction, and sell more product. Blockchain technology is a disruptor already set in motion. Learn from Fintech startups how this emerging technology will impact our industry now so you can begin to take advantage of what is to come. 

 

Moderator:
Chuck Gallant
, Managing Director, Asset Servicing, BNY Mellon


Panelists:

Scott Johnston, Director, Product Management, Google
Brian Walter, Global Industry Leader, Banking & Financial Markets, IBM Watson Group
Tim Christensen, CEO, HyperFlow


Presented by the Technology Committee
 

3:30 - 4:20 pm

 Breakout Sessions
Atlantic Ballroom 1 & 2


Track 1:
Leveraging Data Analytics to Combat Money Laundering and Other Financial Fraud

 

Moderator:
Nick Nichols, Vice President, Risk & Compliance Intelligence Group, DST 


Panelists:

John Young, PhD, Vice President, Development and Data Science, DST Applied Analytics Group
Brian Squibb, Enterprise Cloud Platform Engineer, Google
Mike McNally, Vice President, Customer Protection Financial Intelligence Group, Fidelity Investments

 

Asset managers are continually challenged to combat fraud and meet anti-money laundering compliance requirements in a cost effective manner. Criminals are becoming increasingly creative in their attempts to illegally gain access to funds and avoid detection, and senior and vulnerable investor abuse is on the rise. To help deter fraud and stay in compliance, companies are spending a significant amount of time and effort to identify and research suspicious financial activity.

In this session, attendees will hear about current money laundering and fraud trends, and what strategies are being used to more cost effectively address them.


Presented by DST Systems


Track 2:
The Rise of the Robo Advisor - CLOSED TO MEDIA

The financial services industry is in the midst of a transformation in the way that advisory services are delivered to investors. These changes are being driven by new regulations and changing investor demographics.

This session will explore the role of digital advice in an evolving financial marketplace and provide attendees with information about the ongoing evolution of technology that supports it.


Moderator:

Jason Dauwen, Senior Research Analyst, DST kasina


Panelists:
William Crouch
, Director, National Accounts, MFS Investment Management
Scott Burns, Global Head of Asset Management Solutions, Morningstar
Jim Balsan, Managing Director, BNY Mellon


Presented by the Distribution Committee
 

4:30  - 5:30 pm

Networking Wine & Cheese Reception
Grand Ballroom East


Please join us for a special wine and cheese networking event which will include roundtable discussions on topics relevant to you!

Tuesday, January 31
7:15 am - 2:00 pmRegistration Open
Grand Ballroom
7:30 - 8:30 am
Breakfast in Exhibit Hall
Grand Ballroom East
8:30 - 9:45 am

Keynote Presentation - U.S. Astronaut Captain Scott Kelly
Grand Ballroom West

Captain Scott Kelly, History-Making U.S. Astronaut & Retired U.S. Navy Captain
"The Sky Is Not The Limit: Lessons From A Year In Space"

9:45 - 10:30 am

Election Implications for the Industry & Global Economy
Grand Ballroom West


Speaker:
Heather Kennedy Miner, CFA, Global Head of Strategic Advisory Solutions, Goldman Sachs Asset Management


Heather Kennedy Miner will provide GSAM’s global outlook for 2017, capturing perspectives on both macroeconomic drivers and the markets, with a focus on President-elect Trump’s policy agenda and potential implications for taxes, infrastructure spending, trade and immigration. The discussion will also highlight key issues market participants are evaluating as it relates to regulation, particularly in financial services.

10:30 - 11:00 am

Break in Exhibit Hall
Grand Ballroom East


Sponsored by ALPS, Boston Financial, DST

11:00 am - 12:15 pm

Keynote Presentation and Panel - Generational Expert Hannah Ubl
Grand Ballroom West


Hannah Ubl, Millennial at BridgeWorks: The Generations People
"When Generations Connect"


Hannah will use a healthy blend of stories and statistics to help attendees gain a deeper understanding of one another. She will provide unearthed valuable tips and actionable solutions for multi-generational workplaces, and key strategies for marketing and reaching more generationally diverse client bases. Following the presentation, Hannah will moderate a panel of industry leaders, representing different generations, who will share first hand experiences and unique perspectives on the topic.


Panelists:
John Turney, Senior Vice President - CompleteFX Business Head, Northern Trust
Anne Hebard-Duduch, Managing Director, Boston Financial Data Services, Inc.
Lindsay Whetton, Vice President, OppenheimerFunds

 

12:15  - 2:00pm

Awards Luncheon and Broker Dealer Roundtable
Grand Ballroom West

 

Member Recognition & Awards

Broker Dealer Roundtable: Evolutionary Shifts in the Advice Model

Profound change is here for the advice model as we know it.  NICSA’s Strategic Leadership Forum concludes with a panel of BD powerhouses as they share core components of success in the current environment. From business model changes, product innovation, and distribution enhancements,  attendees will gain a better understanding of the BD perspective and how mutual fund companies can evolve in relation to the recent regulatory changes. This is a must-attend session for all areas of the fund family. 


Moderator:
William Leahey, Vice President & Assistant General Counsel, SIFMA


Panelists:
Elisa Colkitt, Senior Vice President, Mutual Fund Operations, Wells Fargo Advisors
Charles Upchurch, Director, Brokerage Operations, TD Ameritrade
Donal Walsh, Vice President, Subaccounting Client Service Delivery, BNY Mellon