Featuring
Keynote Speaker

Andrew Zolli
Author, Futurist and
Design Strategist

Now, more than ever, the investment management industry is looking for leadership from the IT organization to ensure compliance, minimize risk, control expenses, and drive profitability. NICSA's 12th Annual Technology Forum presents a two-day program featuring high level explorations of how IT can meet the industry's greatest challenges.

An Executive C-Level Roundtable opens Technology Forum 2005 giving attendees a glimpse at what they expect from their IT organizations and the Chief Information Officers respond in the Forum's closing session. Bring your questions and don't miss this opportunity to learn what's on the horizon for the industry.

8:30 – 9:00 a.m.
 

Registration & Continental Breakfast

9:00 – 10:30 a.m.
 

C- Level Roundtable: What We Need from our IT Organizations

William Bridy, President
Financial Data Services/Merrill Lynch

Paul O’Neil, Senior Director
Boston Financial

Don Roberson, Sr. Vice President, National and Regional Broker Dealer Division
Lincoln Financial Distributors

Stephen Ward, Chief Investment Officer
Charles Schwab Investment Management

Our opening session brings together top Industry executives representing different parts of the organization to kick off NICSA’s Technology Forum 2005 with the question, “What does C-level management expect from technology organizations?” Our panel will share how they plan on collaborating with their technology organizations to improve communication with shareholders and advisors in the future.

Bring your questions and help set the stage for the Forum. Make sure to come to the Chief Information Officer Roundtable as the conference closes to see how CIOs respond to these challenges.

10:30 – 11:00 a.m.
 

Break in Exhibit Hall
 

11:00 a.m. – 12:15 p.m.
 

Track A
The Overworked, Under-trained and
Stressed IT Staff

Leslie D. Ball, Senior Executive Professor
College of Business Administration
Northeastern University

Lauren L. Mackler, Chief Executive Officer
Lauren Mackler & Associates

Donna Sinnery, VP of Worldwide Staffing
State Street Global Advisors

Tom Woislaw
Senior Vice President & Managing Director
PFPC

Training IT workers isn't easy. Rapid technological change, cost and the economy are among the barriers to effective IT training programs. But, staying behind the training curve means that your current IT staff will have problems adopting to emerging technology and keeping up with your current systems. Most IT staff are motivated to work on the newest, geekiest technology out there, but those stuck on legacy systems can end up in an IT rut.

This session will focus on strategies for adopting best practices for re-tooling your staff's IT skills, while focusing on retraining as a career planning and motivation tool, rather than just "another corporate initiative."

Track B
Technology for the Business User

Mark Horvath, Engineering Director, Worldwide Financial Services
Microsoft

Kevan Keegan

Senraj Soundararajan, President & Chief Systems Architect
Ivesia Solutions, Inc.

Zane Teslik, Partner
IBM Business Consulting Services

This session will focus on “the good, the bad, and the ugly”- technologies for the business user. There are technologies that work well, those that don’t, or worse, technologies that have some intermittent value but provide only partial solutions.

Our panelists will look at current good, bad, and ugly technologies and their effect on the business user. Technologies will include the usual suspects: Voice Recognition, Wireless Technologies, Voice over IP but will also include some newer technology issues such as search engines and RFID’s. Panelists will also look at technology trends five to seven years out. Which technologies will be good, bad or just ugly?

12:15 – 1:15 p.m.
 

Buffet Lunch in Exhibit Hall
Lunch sponsored by

1:15 – 2:30 p.m.
 

Track A
How Technology Impacts a Relationship

Michael Bellopede
Head of Technology Products and Solutions
SEI Investments

Rick Gardinier
Senior Vice President, Managing Director
Blattner Brunner/bbdigital

Michael Love, Sales Engineer
WebTrends

Mike Ma
Vice President of Business Development
kasina

How do you demonstrate that technology is directly improving the way that you are dealing with your shareholders and advisors? With explicit ROI figures difficult to prove, are there other ways to show the value of technology by looking at qualitative improvements to the customer lifecycle?

In this session, a panel of experts will give you an idea of how to create compelling business arguments and examples that show how technology is helping support customer strategy, creating more relevant marketing experiences, and enabling more effective sales execution.

Track B
Enhancing Business Value Through
IT Governance

Ram Duraiswamy
Vice President, Strategy, IT Governance
Mercury

Bobby Lie
Senior Vice President, Enterprise Architecture
Fidelity Investments

Sam Perone, First Vice President
Merrill Lynch

Al Tahn, Director of IT Controls,
Governance & Risk Management
Raytheon Company

With increasing demands in Corporate accountability brought about by regulation and stakeholder expectations, CIO’s are having to strengthen their governance programs and infrastructure. As organizations strive to meet these tough demands they are also looking for ways to maximize the return on these significant investments. This session will focus on:

• Building effective frameworks for IT Governance
• Aligning IT Governance with:
  • Existing risk and quality programs
  • Enterprise architecture and IT investment management
  • IT Portfolio management
  • Business goals to drive ROI
• Monitoring the ongoing effectiveness of IT Governance programs and control infrastructure
  

2:30 – 3:00 p.m.
 

Break in Exhibit Hall

3:00 – 4:15 p.m.
 

Track A
Mobile Device Showcase

Mark Horvath, Engineering Director, Worldwide Financial Services
Microsoft

Larry Leonardi, Channel Manager - Northeast
Good Technology

Patrick McElrea, Marketing Manager - Alliances, Enterprise Business Unit
Research In Motion Ltd.

Scott Richards, Senior Consultant, Mobility and Wireless
Hewlett Packard

Companies are starting to pour more money into wireless technologies in 2005 because of the success of their initial deployments. But, what technologies should you invest in to get the most value for your buck? Jupiter Research reports that the number of PDA users in the United States reached just more than 14 million in 2003 and will grow to 20 million by 2008. Mobile phone use in the U.S. is expected to reach 160 million users by the end of next year. Can all this wireless technology help the financial industry?

This showcase will focus on several wireless solutions that could help your firm in both the front and back office.

Track B
Technology Outfitting of the Trading Desk /
A Day in the Life of a Trade

Mark Clark, Executive Vice President
Direct Market Access Products
SunGard/BRASS

Richard S. Enfield, CPA
Director, Product Management
Charles River Development

Andrew Sommers, Senior Vice President, Director of Applications
Putnam Investments

With the onslaught of compliance and regulatory requirements, ever changing technology options and continual introduction of new products, the technology used to support the trading desks at most firms has been forced into a mode of continuous evolution.

This session will look at the technical challenges and opportunities available to support trading. Our panelists will take you through a day in the life on the desk from the opening to closing bell, and how technology has impacted everything from inhouse front-to back-office integration, the integration with exchanges and markets, message protocols (e.g., FIX, SWIFT, etc.), and the applications themselves.

4:15 – 4:30 p.m.
 

Break

4:30 – 5:30 p.m.
 

Keynote Address
The Road Ahead: Forces Shaping the Future

Andrew Zolli, Author and Futurist

We live in a time of accelerating change in virtually every area of human society, from technology and demography to global culture and business. There are so many trends and seemingly disconnected events it can be hard even to know what to pay attention to. There are, however, deep patterns and connections, and by exploring them, we can come to understand the logic and triggers of change.

In this provocative and entertaining tour of the road ahead, leading futurist Andrew Zolli will help attendees understand major technological, environmental, and business themes for the next twenty years. Andrew’s keynote will articulate—in plain English—the challenges and opportunities appearing on the horizon, and what organizations should be doing now to prepare for a future that is full of surprises.

5:30 – 6:30 p.m.
 

Reception in Exhibit Hall
Reception Sponsored by

Thursday, May 19
 

8:00 – 9:00 a.m.
 

Registration and Continental Breakfast

9:00 – 10:15 a.m.
 

The Customer Advocacy Imperative

Ron Shevlin, Vice President
Forrester Research, Inc.

The confluence of two trends -- increasing consumer involvement in their financial lives and ongoing industry scandals -- has created an imperative for investment firms to become trusted advisors. The impact of this imperative reaches far beyond the desk of advisors, though, to the core processes and operations of the firm. IT's role in helping firms demonstrate customer advocacy will be critical.

Forrester Research's Ron Shevlin will present the essential concepts behind this "Customer Advocacy Imperative" and what it means to financial firms and to IT professionals. This session will address questions such as:

• Which market forces and end-user behaviors will dominate IT?
• How can investment firms use IT to demonstrate advocacy?
• What will be the most crucial challenges to IT organizations?
• How will the confluence of market forces, end-user behaviors and technology advances affect IT and society?
• Which technology advances will foster advocacy and dominate the IT landscape?
• Who will be selling the winning technologies?

10:15 – 10:30 a.m.
 

Break

10:30 a.m. – 12:00 noon
 

Chief Information Officers’ Roundtable

Gary Hegedus, Executive Vice President and Chief Information Officer
BISYS

John Killeen, Chief Technology Officer, First Vice President, Global Private Client Technology
Merrill Lynch

Mike Rizzo, Chief Information Officer
Boston Financial

Ra’ad Siraj, Chief Information Officer
Eaton Vance Management

Today’s CIO’s face more challenges than at any time in the history of mutual funds. How do CIO’s respond to increasing pressure to reduce costs without sacrificing quality and productivity? What role does I.T. play in regaining the trust of investors? Our panel of CIO’s will discuss which factors are impacting the success of their strategic initiatives.

12:00 noon – 1:30 p.m.
 

Luncheon

1:30 p.m.
 

Conference Closes

ACS
ADP Investor Communication Services
Green Beacon Solutions
i-flex solutions
Mobius Management Systems, Inc.
PFPC Inc.
Pivotal Corporation

Pyxis Mobile, Inc.
Research in Motion
SalesFocus Solutions, Inc.
SalesPage Technologies
State Street Corporation
SunGard