Midwest Regional Meeting
Focusing on: Industry Trends and Best Practices

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Conference Agenda

Wednesday, April 20, 2005

8:00 – 9:00 a.m.
Registration & Continental Breakfast
Sponsored by

9:00 – 10:15 a.m.
Leveraging Technology to Address Omnibus Accounting Challenges

Chip H. Miller, Executive Vice President
Access Data Corp

Fred Potts, Senior Vice President, Asset Management Client Services
Charles Schwab & Co.

Justin T. Skeels, Vice President - Product Development
PFPC Global

Gregg Wolf, Manager - Client Relations
UMB Investment Services Group, Inc.

Now, more than ever, investment management companies are looking for technology solutions to assist them with managing risk and ensuring compliance in an ever-changing regulatory environment. With the implementation of the new CCO rules along with a host of outstanding proposals at the Commission, funds are looking for technology solutions to facilitate complying with these requirements. In this overview session, a panel of industry experts will discuss technology issues associated with:

• Market timing monitoring
• Sub-accounting and omnibus issues
• Redemption fees application

10:15 – 10:30 a.m.
Break

10:30 – 11:30 a.m.
Making Accuracy Count!

Evelyn Mareth, President
The Accuracy Company

Do your employees make mistakes in processing transactions? Do they enter incorrect data, transpose numbers, leave out key information, or misspell customers’ names? Do you wish they would concentrate better on their work?

Systems approaches, such as revising application forms and simplifying processes, can only do so much. They don’t eliminate human error. Evelyn Mareth, accuracy expert and author, has pioneered a unique approach to accuracy improvement by focusing on the visual and perceptual side of human error.

Test and improve your skills as she demonstrates techniques for reducing mistakes – mistakes that cost money and frustrate customers. Discover:

• The highest-impact mistakes and what causes them
• Techniques for data transfer
• How to find individual error patterns
• How to hear and say data correctly
• Expert proofreading skills
• How to improve employees’ concentration
• Using on-the-job coaching to maintain improved accuracy

11:45 a.m. – 1:00 p.m.
Luncheon and Keynote Speaker
Sponsored by

Stop Fussing with Your Incentive Formula! Getting Your Priorities Right

Brad Hill, Principal
Tandehill Human Capital

Incentive pay is part of a bigger picture. What are we trying to improve? How are we going to improve? Why are we going to improve? Learn what your incentive formula should do for your organization. Join noted consultant, Brad Hill as he discusses:

• Improving everyone’s performance
• Supporting continuous improvement
• Encouraging the right employee behaviors
• Communicating business priorities

1:15 – 3:15 p.m.
Industry Roundtables

First introduced in the Fall 2004 Regional Meeting, join us as we once again present a series of roundtable discussions that will foster the exchange of ideas, concerns and questions on today’s perplexing topics. Take advantage of this chance to learn from other professionals on best practices and challenges that face our industry. Check out the descriptions of the roundtable topics and bring your questions for a lively discussion. Attendees will have an opportunity to participate in two roundtables.

Call Center Best Practices

Managing a call center brings challenges with balancing caller satisfaction and meeting quality and productivity goals. How are you deploying automation, performance management, training, and human resources practices to manage performance?

Operations/Processing Best Practices

In today’s environment, expense management is a priority focus. The mantra is to do more with less. Does your organization have a best practice to share? How do you inspire and motivate quality output and process amid cutback concerns? How do you know you’re producing output that both satisfy customer expectations and are in line with organizational goals?

New Hire Best Practices

With the constant push toward automation, new hires are expected to learn more detailed information about our industry in less time and to deploy that knowledge in their new roles at a quicker pace. “On-boarding” is the idea of clearly defining what you need the new hires to do, training them to do it and placing them in areas where they can immediately start contributing to your organization’s goals. How are you on-boarding new hires in your organization? Are learning paths clearly defined? How do you measure your new staff’s effectiveness?

Regulatory Best Practices

The increased focus of regulators on our industry has heightened awareness of the need for equitable practices in our day-to-day environment. Consistency is important when addressing issues such as market timing and late trading. The need to monitor and ensure this consistency is critical, but may result in burdening your existing resources. How are you managing the increased expectations and the monitoring and reporting of information? What practices have you implemented to ensure compliance?

3:15 – 3:30 p.m.
Break

3:30 – 4:30 p.m.
Industry Roundtable Summaries

Learn from your colleagues, as best practices from the Industry Roundtable Discussions are summarized and shared.

4:30 – 5:30 p.m.
Reception
Sponsored by

Thursday, April 21, 2005

Tour of Harley-Davidson
Known for its quality operations and customer loyalty, Harley Davidson’s Powertrain Operations Plant will be the site of the tour for the Midwest Regional Conference.

BEHIND EVERY GREAT MACHINE ARE PEOPLE WITH A PASSION.

Since 1903, Harley-Davidson has built the most coveted motorcycles on the planet. And now you can see first-hand how these machines come to life. Through exclusive exhibits and stops on the factory floor, Harley-Davidson factory tours give you a behind-the-scenes look at what it takes to create an American legend. They're guided, totally free and unlike anything you've ever experienced. Because you won't just watch motorcycles being built. You'll watch history being made.

You MUST bring a government issued photo I.D.
You MUST wear completely enclosed shoes.

There are no cameras permitted in the factory, however, you are welcome to sit on the bikes and take pictures in the lobby area. During the tour cameras can be stored in complimentary lockers.

Tour space is limited.
Meet in the hotel lobby at 7:00 a.m. Busses will leave the hotel at 7:15 a.m. sharp.
Tour is at 8:00 a.m.
Busses will return to the hotel around 10 a.m.

CPE Information

NICSA is pleased to offer this group-live learning activity to attendees who are seeking CPE credits. Up to 2.5 CPE units are available for attendees of this conference. The conference sessions require no advanced preparation, no pre-requisite study and are appropriate for all who have a basic understanding of the investment management industry.

NICSA is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses of CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org