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Program

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Program details can also be found below.

SATURDAY, FEBRUARY 13

12:00 – 5:00 pm

Registration

SUNDAY, FEBRUARY 14

8:00 – 3:00 pm

Registration

12:30 – 5:30 pm

NICSA Golf Tournament
Red and Blue Monster Courses
Boxed lunch sponsored by:


Bottled water sponsored by:

5:30 – 7:30 pm

Barbecue and Reception at the 19th Hole
Sponsored by:

Grounds of the Spa Pool

 
MONDAY, FEBRUARY 15

8:00 am – 3:00 pm and
5:00 – 7:00 pm

Registration/Information Desk
Gallery

8:00 – 9:00 am

Buffet Breakfast in the Exhibit Hall
Doral Ballroom

9:00 – 9:15 am

Welcome Remarks
Grand Ballroom

9:15 – 10:15 am

Face the Membership
Grand Ballroom

Moderator: Tyler Mathisen, Managing Editor of CNBC Business News
CNBC

John Calamos, Chairman, CEO and Co-Chief Investment Officer
Calamos Investments

Brian Gaffney, Chief Executive Officer
Allianz Global Investors Distributors LLC and Allianz Global Investors Managed Accounts LLC

Steven Miyao, Chief Executive Officer
kasina LLC

Julie Monaco, Managing Director, North America Head of Global Transaction Services
Citi

Michael J. Roland, CFA, CPA, Chief Operating Officer
ING Funds

10:15 – 10:45 am

Break in the Exhibit Hall
Doral Ballroom

10:45 am – 12:00 noon

 

Retirement Regulatory Changes: Operations, Marketing and Sales Implications
Grand Ballroom
Presented by NICSA’s Retirement Committee

Moderator: Jude C. Metcalfe, President
DST Retirement Solutions

Kathryn Capage, Senior Director of Retirement Research
Invesco Aim Distributors, Inc.

Carol Gransee, Assistant Vice President, Retirement Plans Compliance
OppenheimerFunds Services

Thomas Rowley, Executive Director
Van Kampen Investments

 

Providing Effective Sales & Marketing Support
Palms North

Moderator: William T. Nicklin, Chief Executive Officer
Horsesmouth

John S. Cooper, President and Chief Executive Officer, Head of U.S. Sales
Invesco Aim Distributors, Inc.

Cara Peck, Executive Vice President, Head of Retail Intermediary Sales
Wells Fargo Funds Management

 

Getting Your Head into Cloud Computing
Palms South
Presented by NICSA’s Technology Committee

Moderator: Daniel P. Cwenar, President and General Manager
Access Data Corp., a Broadridge Company

Corey Booth, Principal
Boston Consulting Group

Peter Coffee, Director of Platform Research
salesforce.com

Yvette Lee, Director, Retail Operations & Strategic Analysis
Russell Investments

Brent Stone, MIS Manager - Finance, Sales Reporting
Dimensional Fund Advisors

12:00 noon – 12:45 pm

Buffet Lunch in the Exhibit Hall
Doral Ballroom
Sponsored By:


12:45 – 1:45 pm

After the Crisis: How Funds Will Fare in the New Landscape of Regulation and Markets

Paul Schott Stevens, President and Chief Executive Officer
Investment Company Institute
Grand Ballroom

2:00 – 3:00 pm

 

Omnibus Trends and Operational Efficiencies
Palms North
Prsented by NICSAs Transfer Agent Committee

Moderator:  Craig Kolzow, President
Conferre Solutions, LLC

Lisa Klassen, Group Leader, Mutual Fund Operations
Edward Jones

Ron Randall, Vice President, Mutual Fund Operations
Eaton Vance Management

Christian B. Silge, Vice President - Dealer Services
Goldman, Sachs & Co.

Gregory Spero, Executive Director - Mutual Fund Operations
Morgan Stanley Smith Barney

 

How Secure is Your Data?
Palms South
Presented by NICSA’s Transfer Agent Committee

Moderator:  Susan Warner, Vice President, Business Information
Pioneer Investment Management Shareholder Services, Inc.

Kelley Bashara, Assistant Vice President
American Funds Service Company

Mike McVoy, Chief Compliance Officer
U.S. Bancorp Fund Services, LLC

Ed Moore, Senior Vice President, Fidelity Institutional Risk & Compliance
Fidelity Investments

Raymond Soriano, National Vulnerability Management Leader, Security and Privacy Services Practice
Deloitte & Touche LLP


 

 

3:30 – 4:00 p.m.

 

Small Fund Firm Networking Group
Palms South
Join this roundtable discussion of issues facing small fund firms.  NICSA’s Small Fund Firm Networking Group is limited to fund firms with AUM under $15b or fund firms with small operational staff only.  New members meeting the criteria are welcomed. 

5:00 – 7:00 pm

Reception in the Exhibit Hall
Doral Ballroom
Sponsored by:

 
TUESDAY, FEBRUARY 16

8:00 am – 4:15 pm and 6:00 – 8:00 pm

Registration/Information Desk
Gallery

8:00 – 8:30 am

Buffet Breakfast in the Exhibit Hall
Doral Ballroom

8:30 – 8:45 am

Presentation of the PricewaterhouseCoopers  and NICSA MVP Awards
Grand Ballroom

8:45 – 9:45 am  

Abigail P. Johnson, Vice Chairman, FMR LLC and President, Personal and Workplace Investing
Fidelity Investments
Grand Ballroom

9:45 – 10:00 am

Break
Foyer

10:00 – 11:00 am

 

The Portfolio Manager’s Perspective
Grand Ballroom

Moderator: Larry Petrone, CFA, Director of Research
Financial Research Corporation 

Rob Almeida, Institutional Portfolio Manager 
MFS Investment Management  

Daniel Kern, CFA, Managing Director and Portfolio Manager
Charles Schwab Investment Management

Margaret D. Patel, Senior Portfolio Manager
Evergreen Investments

Adam Weigold, CFA, Vice President and Portfolio Manager
Eaton Vance Management

11:00 – 11:30 am

Break in the Exhibit Hall
Doral Ballroom

11:30 am – 12:30 pm

 

Regulatory Update
Grand Ballroom
Presented by NICSA’s Compliance/Risk Management Committee

Moderator:  Daniel New, Senior Manager, Advisory Services
Ernst & Young LLP

Rick Garner, Vice President
Franklin Templeton Investor
Services, LLC

Don Gignac, Senior Managing Director, Alternative Investment Solutions
State Street Corporation

Robert Nisi, Director, Financial Services - Advisory
PricewaterhouseCoopers LLP

 

What Can You Learn from Europe & Asia: Developments in Offshore Distribution / UCITS 
Palms North

Moderator: E. Blake Moore, Jr., Chief Executive Officer
Allianz Global Investors Fund Management LLC and Allianz Global Investors Solutions

Gary Palmer, Chief Executive
Irish Funds Industry Association

Malcolm Pobjoy, Vice President, Head of U.S. International Sales
PNC Global Investment Servicing

Denise Voss, Conducting Officer
Franklin Templeton International Services, S.A.

 

Taking Technology to the Bottom Line
Palms South
Presented by NICSA’s Technology Committee

Moderator:  Perry Harris, President
Varden Technologies

Robert A. DeVault, Director Fund Administration
Transamerica Asset Management, Inc.

Colin McClive, Industry Market Development Manager - Financial Services
Microsoft Corporation

Robert Terris, Senior Vice President, Head of Division Operations
ING Funds

Chad Wolfsheimer, Vice President, Technology Operations
The Motley Fool, LLC

12:30 – 1:45 pm

 

Buffet Luncheon in Foyer 
Luncheon Discussion Roundtables

Grand Ballroom
How often do you wish you could have a face-to-face discussion with people confronting the same issues you are?  NICSA’s Annual Conference Luncheon Discussion Roundtables will give you a chance to actively participate in discussions on topics affecting the industry. 

Discussion topics will be lead by industry experts.  Choose from:

 

Operations Topics
Knowledge Management
Cost Basis
Summary Prospectus
Privacy
Hedge Fund Issues
Omnibus
Quality

 

Technology Topics
XBRL
Proxy Notice and Access
Pricing / valuation / FAS 157
Tracking Web Statistics Effectively
Staffing Web Teams in Tight Times
Product Master / Fund Data Management
Web 2.0
Agile Development
Cloud Computing

 
 

Please consult the on-site Discussion Table Guide for Details and Table Sponsors.

           

1:45 – 2:45 pm

 

Bonus Withdrawal: What To Do When the Financial Incentives Arent There?
Palms North

Moderator:  George R. Wilbanks, Managing Director
Russell Reynolds Associates, Inc.

Bridget Olesiewicz, Principal
Vanguard

Rodger Stotz, CCP, CPIM, CPT, Principal 
Delta Qi Consulting, LLC

 

Working with Your Board 
Palms South
Co-sponsored by the Mutual Fund Directors Forum

Moderator:  Susan Ferris Wyderko, Executive Director
Mutual Fund Directors Forum

Ashok Bakhru, Independent Chair
Goldman Sachs Funds

Kathy Dennis, Trustee
Morgan Stanley Funds
President, Cedarwood Associates LLC

Thomas T. Mooney, Independent Chair
Prudential Insurance Funds

 

 

3:00 – 4:15 pm

 

The Collateralization of Derivatives: Managing Risk in the Current Environment
Palms North
Presented by NICSA’s Fund Administration/Custody and Alternative Investments Committees

Moderator:  Thomas Ciulla, Senior Manager, Finance Operations & Controls Transformation
Deloitte & Touche LLP

Michael Clarke, Managing Director, Global head of Counterparty Risk Operations & Market Infrastructure Strategy
UBS AG

Suzanne Deshaies, Vice President, Custody Operations
Putnam Investments

Scott Linden, Managing Director and Global Product Manager, Derivatives Collateral Management Services
BNY Mellon

Darren Measures, Executive Director
J.P. Morgan

 

Collaboration Tools: Achieving Breakout Performance While Managing Risk
Palms South
Presented by NICSA’s Technology Committee

Moderator: Hazem Gamal, Vice President, Business Analysis & Reporting
OppenheimerFunds

Doug Billings, Group Manager – Web Solutions
Boston Financial Data Services, Inc.

John L. Shea, Vice President, Chief Information Officer
Eaton Vance Management

Christopher Surdak, Solutions Director, Content, Collaboration & Communications
Siemens IT Solutions & Services, Inc.

Kingdon Troensegaard, Director, Enterprise Information Management
Pioneer Investments

 


 

 

6:00 – 8:00 pm

Reception in the Exhibit Hall
Doral Ballroom
Sponsored by:


8:00 – 10:00 pm

NICSA Theme Party
Alfresco on the Grounds of the Spa Pool
Sponsored by:

 
WEDNESDAY, FEBRUARY 17

8:00 – 11:30 am

Registration/Information Desk
Gallery

8:00 – 8:45 am

Buffet Breakfast in the Exhibit Hall
Last chance to visit with the exhibitors.
Doral Ballroom

8:45 – 9:00 am

Chairman’s Remarks
Grand Ballroom

9:00 – 10:00 am

CIO Roundtable
Grand Ballroom
Presented by NICSA’s Technology Committee

Moderator:  Tom Steinert-Threlkeld, Editor-in-Chief
Securities Industry News

Jennifer Bolt, Executive Vice President
Franklin Templeton Investments

Richard Charlino, Managing Director
Morgan Stanley

Allan T. Hackney, Senior Vice President and Chief Information Officer
John Hancock Financial Services

Mike Onders, Senior Vice President, Chief Information Officer
PNC Global Investment Servicing  

10:00 – 10:15 am

Break
Foyer

10:15 – 11:15 am

Chris Brogan, President
New Marketing Labs
Co-Author of Trust Agents

Grand Ballroom

11:15 am

Conference Closes