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NICSA's 23rd
Annual Conference and Expo, "At the Crossroads: Choosing your
Path," focuses on the toughest challenges facing the industry
— and brings the industry together to discuss where we go
from here.
New this year — Three tracks of concurrent sessions with
even more programming, as well as four top-notch keynotes, will
provide attendees even more updates, insights and future directions
in all facets of investment management operations including:
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Regulation
& Compliance |
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Retirement |
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Custody
& Fund Accounting |
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Technology |
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Risk
Management |
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Transfer
Agency |
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Distribution
& Marketing |
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Servicing |
Plus:
Annual NICSA Golf Tournament, where 288 players network informally
on Doral's Championship Courses.
NICSA's Vendor Solutions Expo featuring the industry's leading
product and service providers.
Miss a session? Lose your copy of the handouts? A number
of presentations are available here; click on a presentation below
to download it. Most require Microsoft Power Point to view.
| Sunday, February
20 |
Business Recovery and
Resumption Simulation
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Current Events Roundtable:
Navigating the New Compliance Rules
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Maximizing Distribution Opportunities,
At Home and Abroad
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BlackBerry: Moving Beyond Email
and Making CRM Useful
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| Monday, February
21 |
Addressing Transfer Agency Compliance
Issues
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Achieving Efficiency in Global Fund
Distribution
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Identifying and Developing Talent
in Your Organizations
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| Tuesday, February
22 |
Keynote Address
Meeting America's Retirement Challenge |
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Regulatory Update and Related Compliance
Challenges
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The Future of Share Class Pricing
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Championing Continuous Improvement
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Leading the Tribes Through Turbulent
Times
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Technology to Support Compliance
Challenges
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The Operational and Technical Impacts
of New Products
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John J. Brennan
Chairman and Chief Executive Officer
The Vanguard Group |
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Bob Reynolds
Vice Chairman and Chief Operating Officer
Fidelity Investments |
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Peg Neuhauser
Noted Author and Consultant |
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Paul Schott Stevens
President
ICI |
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and CNBC's Tyler Mathisen
Moderating NICSA's signature panel,
" Face the Membership"
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Conference
Program Including Special Events |
back
to top |
8:00 a.m. – 4:00 p.m.
Conference Registration
Lobby
5:30 – 7:00 p.m.
Welcome Reception
(by invitation)
Villa at the Spa
8:00 a.m. – 5:00 p.m.
Conference Registration
Lobby
8:00 – 8:30 a.m.
Breakfast
Palms Foyer
8:30 – 10:00 a.m.
Business Recovery and Resumption Simulation
Presented by NICSA’s Transfer Agent Committee
Palms North
Ed Deveau, President
NEDRIX
(New England Disaster Recovery Information Xchange)
This is not a drill! How will you respond when the alarm sounds
an actual emergency at your firm? Join us for this interactive business
disaster simulation to determine if your company is prepared for
disaster. Key questions that will be discussed include:
- Are you ready with your emergency plan to resume business?
- What must be in place to insure a successful recovery?
- Do you know where your staff is?
- How do you recover so that there is minimal risk to your organization
and your customers?
Come early to be a part of the action, participation seating is
limited.
10:00 – 10:15 a.m.
Break
Palms Foyer
10:15 – 11:15 a.m.
Current Events Roundtable: Navigating the New Compliance
Rules
Presented by NICSA’s West Coast and Custody/Fund Accounting
Committees
Palms North
| Moderator: |
Michael Fay,
Principal
Deloitte. |
Danell J. Doty, Fund Chief Compliance Officer
Barclays Global Investors, N. A.
Don Gignac, Senior Vice President, Fund Administration
State Street
Gene Gohlke, Associate Director, Office of
Compliance Inspections & Examinations
U.S. Securities and Exchange Commission
The "rules of the road" have changed since the implementation
of the October 5th SEC Compliance Program Rules. Our panel of experts
will provide best practices and real-firm experiences to help you
navigate the challenges and comment on the issues and questions
of complying with the CCO rule, including:
- How CCO’s and service providers effectively interact to
monitor changes in the compliance framework and regulatory and
examination process
- How fund boards evaluate CCO’s and service providers
11:15 – 11:30 a.m.
Break
Palms Foyer
11:30 a.m. – 12:30 p.m.
Maximizing Distribution Opportunities, At Home and Abroad
Presented by NICSA’s Distribution Channels Committee
Palms North
| Moderator: |
Steven K. Miyao,
Chief Executive Officer
kasina |
Robert Hausler, Director of Marketing Communications
Alliance Bernstein
Shelly Painter, Senior Vice President and
Managing Director of International Business Development
Franklin Templeton Investments
Rob Thompson, Vice President, Business and
Contracts Manager
AIM Investments
How do senior sales and marketing executives make the most of distribution
opportunities in diverse markets? What have they learned as the
firms evolve and look to improve their distribution efforts? The
panel will share how they manage their wholesaling teams, refine
their segmentation initiatives, leverage technology and otherwise
look to maximize their distribution efforts globally.
12:30 – 1:30 p.m.
Barbecue
Terraza Patio
1:45 – 2:45 p.m.
BlackBerry: Moving Beyond Email and Making CRM Useful
Palms North
| Moderator: |
Joseph Ferra,
Chief Wireless Officer
Fidelity Investments |
Mary Cecola, Director of Applications Development
for Distribution
Deutsche Asset Management
Tim Hovey, Assistant Vice President, Manager
of Sales Intelligence
Eaton Vance Management
Wendy Irwin, Vice President, Sales & Marketing
Technology
Evergreen Investments
Everyone has one- or wants one. The BlackBerry has quickly become
a must have for an increasingly mobile workforce in the
financial services industry. In this session, panelists will discuss
the implementation of wireless devices in our industry and their
impact on workflow and productivity. Discussion will also highlight:
- Technical and Business Challenges to Implementation
- New Technologies in Wireless Communications
Do you want one too? One lucky participant will win a FREE BlackBerry*
and all will be eligible to purchase a BlackBerry at a discounted
rate**.l
* Service is not included.
**BlackBerry will be available for pickup on the final day of the
conference, Wednesday 2/23.
2:45 – 3:00 p.m.
Break
3:00 – 4:00 p.m.
Building Your NICSA Network
Palms North
Rhonda Dixon-Gunner, Senior Vice President,
Dealer Services
AIM Investment Services
Chris Newman, Vice President, Learning and
Organizational Development
Boston Financial
This session, always a favorite, guides conference attendees –
both new and experienced – through the NICSA organization
and the Annual Conference. This fun “meet and greet”
helps you maximize the learning and networking opportunities at
NICSA. Win great prizes, including free admission to a future NICSA
event of your choice, while you participate in activities designed
to help you:
- Hone your networking skills and build your own NICSA network
- Better understand the benefits of a NICSA membership
6:00 – 8:00 p.m.
Reception
Exhibit Hall
Sponsored by 
7:30 – 8:00 a.m.
Breakfast
Exhibit Hall
8:00 – 8:15 a.m.
Welcome Remarks and NICSA MVP Awards
Doral Ballroom
Penny Alexander, Senior Vice President
Franklin Templeton Investments
Chairman, NICSA
8:15 – 9:00 a.m.
Keynote Address
On Course for Success: Critical Considerations for the Fund Industry
Doral Ballroom
| Jack Brennan, Chairman
and Chief Executive Officer
The Vanguard Group
As a maturing industry, and one that's operating within a
radically changing environment, the fund industry faces a
future that will look nothing like the past two decades. In
his keynote address to NICSA, Vanguard Chairman and CEO Jack
Brennan will discuss the implications of these dynamics for
fund firms. |
9:00 – 9:45 a.m.
Break
Exhibit Hall
9:45 – 11:15 a.m.
Concurrent Sessions: Choose Your Path
Path
A
Compliance/Regulatory Issues
Addressing Transfer Agency Compliance Issues
Presented by the TA Compliance Sub Committee of NICSA’s
Transfer Agent Committee
Doral Ballroom
| Moderator: |
Barbara
Mack, Director Product Services
SunGard Investor Accounting Systems |
Jeff Cook, Director of Regulatory Compliance
DST Systems, Inc.
David Loring, Director of Compliance
BISYS
Mike McVoy, Chief Compliance Officer
U.S.Bancorp Fund Services LLC
Based on the newly updated for 2005, NICSA Transfer Agent
Guide and Checklist, this session will focus on the regulatory
changes in 2004. Panelists will also discuss issues pending
with the SEC and how transfer agents must prepare to address
the following changes:
- Rule 38a-1 Compliance
- STAMP 2000 Changes
- Client Identification Program (CIP) / Anti-Money Laundering
(AML) Compliance
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Path
B
Product Distribution Issues
Achieving Efficiency in Global Fund Distribution
Palms South
| Moderator: |
Al Falcone,
Vice President, International Operations
MFS International, Ltd. |
Robert Hoffman, Directeur Général
Association of the Luxembourg Fund Industry (ALFI)
Peter Marshall, Vice President, International
Mutual Funds
Depository Trust and Clearing Corporation
Anthony Previte, Vice President, International
Investments
Prudential International Investments
Tony Solway, Head of BNP Paribas Securities
Services UK and Deputy Head, Global Sales & Relationship
Management
BNP Paribas
Offshore distribution can be extremely challenging when there
are no agreed upon principles or industry consensus as it
relates to technical mechanics of communicating and supporting
the business. Our experienced panel will explain typically
how it works when a new fund distributor is engaged, what
processes are used to support the business while also comparing
and contrasting differences in each firm’s global strategic
objectives. |
Path
C
Service/Quality Issues
Identifying and Developing Talent in Your Organizations
Presented by NICSA’s Transfer Agent Committee
Palms North
| Moderator: |
Lisa
J. Weymouth, Director, Transfer Agency
Citigroup Global Transaction Services |
Linda J. Gieger, Vice President
AIM Investments
Theresa Moulton, Managing Director
Performance Change Initiatives, Inc.
Jacquelyn Seraphine, Human Resource Partner
IBM Corporation
Are there potential leaders within your organization waiting
to be discovered? How can organizations identify talent and
develop individuals to become successful? This panel will
discuss how to recognize potential within an organization
and foster leadership development. Find out what companies
are doing to identify superstars and provide them with growth
opportunities. |
12:00
noon – 1:00 p.m.
Lunch (non-golfers)
Lobby Lounge
12:30– 5:30 p.m.
NICSA Golf Tournament
Gold and Blue Monster Courses
12:45 – 5:15 p.m.
Tall Ships Adventure
Participants meet at the Doral Resort lobby entrance at 12:30 p.m.
Bus will leave at 12:45 p.m. and return around 5:15.
Pre-registration is required and space is limited to the first 40
people. Click for details.
5:30 – 7:30 p.m.
Reception at the 19th hole
Spa Grand Terrace and Lawn
Open to all – golfers, conference attendees, sponsors, exhibitors
and registered spouses.
Sponsored by 
7:30 – 8:00 a.m.
Breakfast
Exhibit Hall
8:00 – 9:00 a.m.
Keynote Address
Meeting America's Retirement Challenge
Doral Ballroom
Bob Reynolds, Vice
Chairman and Chief Operating Officer
Fidelity Investments
America is far down the road to creating a mass investment
society in which individuals bear the main responsibility
for their retirement security. One generation beyond the savings
reforms that created IRAs, 401(k)s and other savings programs,
middle class American retirees already draw more income from
their personal investments than they do from either Social
Security or traditional pension plans. There are, however,
serious risks ahead.
Increasing participation, improving investment performance
and raising awareness are all vital to meeting America's retirement
challenge. Bob Reynolds, Vice Chairman and Chief Operating
Officer of Fidelity Investments will share his views on what
America's financial service industry -- and government --
need to do to ensure that future generations secure the dignified
retirements they have worked for all their lives. |
9:00 – 9:45 a.m.
Break
Exhibit Hall
9:45
– 10:45 a.m.
Concurrent Sessions: Choose Your Path
Path
A
Compliance/Regulatory Issues
Mutual Fund Regulatory Update and Related Compliance
Challenges
Presented in conjunction with NICSA’s Compliance
and Risk Management Committee
Doral Ballroom
| Moderator: |
Timothy
M. Fagan, Chief Compliance Officer
John Hancock Advisers |
Susan Nash, Associate Director, Division
of Investment Management
U. S. Securities and Exchange Commission
Marianne Smythe, Partner
Wilmer Cutler Pickering Hale & Dorr LLP
David J. Thelander, West Coast Director,
Regulatory Consulting Services
Deloitte.
The panel will address up-to-the-minute regulatory issues
affecting the asset management industry and assess what's
on the horizon in the regulatory arena for the coming year.
Specific discussion will include:
- Recently adopted and pending SEC rules and initiatives
- SEC enforcement and related actions
- Practical insights for meeting current compliance challenges
- Best industry practices
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Path
B
Product Distribution Issues
The Future of Share Class Pricing
Palms South
| Moderator: |
Avi Nachmany,
Director of Research and Executive Vice President
Strategic Insight |
Paul Fichera, Senior Vice President,
Director Product Development & Sales Support
MFS Investment Management, Inc.
Nino Palermo, Vice President
American Funds Service Company
Greg Reymann, Vice President and Counsel
AEGON/Transamerica Fund Advisers
Over the past decade, mutual fund share class offerings (A,
B, C, R, etc.) have multiplied into a sea of alphabet soup.
Join this panel to hear how companies are dealing with the
challenges inherent in today's share classes and how they
are planning for what the future might bring. The panelists
will discuss several perspectives relevant to this timely
topic, including:
- Operations
- Legal
- Marketing
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Path
C
Service/Quality Issues
Championing Continuous Improvement
Palms North
| Moderator: |
Betsy
Rudden, Vice President, Center for Transformation
and Growth
The Phoenix Companies, Inc. |
Joseph Connors, Senior Vice President,
Mutual Funds
GE Asset Management
Robert D’Amore, Principal
Moffitt and Associates
Michael Mullin, Director, Center for
Transformation and Growth
The Phoenix Companies, Inc.
What are successful organizations doing to face the challenge
of having to control costs while still providing clients with
quality service? This panel will discuss finding ways to improve
processes with a focus on Six Sigma, LEAN, & Kaizen methods.
They will address:
- How have organizations changed their processes to be more
efficient?
- Can you measure the benefits?
- How can you decide what will work for your organization?
|
10:45 – 11:15 a.m.
Break
Exhibit Hall
11:15 – 12:15 p.m.
Keynote Address
Leading the Tribes Through Turbulent Times
Doral Ballroom
Peg Neuhauser, M.A., Author
and Lecturer
The mutual fund industry has gone through turbulent times
that have triggered significant changes in our companies.
Leading organizations through these changes is one of the
greatest challenges you face today. Drawing from her book,
Tribal Warfare in Organizations, and her other work on corporate
culture, Peg Neuhauser takes an entertaining look at what
it takes to lead the tribes through these uncertain times.
She provides practical tips for developing a game plan you
can put to use immediately. |
12:15
– 1:15 p.m.
Lunch
Exhibit Hall
1:30 – 2:30 p.m.
Concurrent Sessions: Choose Your Path
Path
A
Compliance/Regulatory Issues
Technology to Support Compliance Challenges
Doral Ballroom
| Moderator: |
Ron Malur,
Director
Deloitte Consulting LLP |
Charles S. Hawkins, Vice President
PFPC
Peter Jacaruso, Senior Vice President,
Product & Technology Solutions
State Street
Mark Trenchard, Senior Vice President,
Compliance Officer
Putnam Investments
With all the recent compliance requirements being implemented
in our industry, there are many technological decisions each
firm must consider and integrate into their overall compliance
monitoring solutions. Firms must consider not only the impact
to their trading and record keeping practices but also how
the firm will provide compliance-related information to those
areas within the firm that now have increased monitoring and
reporting responsibilities. Panelists will address the technology
necessary to support the firms’ needs. such as:
- Increased access to record keeping, accounting and other
systems data for monitoring reports and ad hoc queries
- Application Programming Interfaces (API) so your firm’s
systems can communicate with one another to exchange information
necessary for compliance monitoring
- Interfaces to your customer’s and partner’s
external systems to collect compliance monitoring information
such as omnibus account detail and activity
- On demand client reporting capabilities to your customers
can support their compliance reporting needs
- Information disclosure for printed and web documents
|
Path
B
Product Distribution Issues
The Operational and Technical Impacts of New Products
Palms South
| Moderator: |
Larry
Fleischman, Consultant
Venture Financial Systems Group, Ltd. |
Karen Doolan, Senior Vice President
SunGard Investment Management Systems
Michael McGovern, Senior Vice President
Citigroup Global Transaction Services
Paul Schaeffer, Director
SEI Investments
Today, investors are looking past traditional investment
products and expanding their appetite for newer product offerings
such as closed-end funds, hedge funds, and separately managed
accounts. As fund families expand their product offerings
what are the operational and technical hurdles they face?
Our panel of experts will discuss how the industry is meeting
the operational demands of new products including:
- How are front- and back-office operations impacted?
- How are firms accommodating the newer offerings?
- How are vendors and service providers helping their clients
meet the new challenges?
|
Path
C
Service/Quality Issues
Pleasing 95 Million People – All the Time
Palms North
| Moderator: |
Roger
Hobby, Senior Vice President Business Development
Fidelity Family Office Services |
Rick Garner, Vice President
Franklin Templeton Investor Services, LLC
Charles (Chip) H. Miller, Executive
Vice President
Access Data Corp.
Jim Smith, Senior Vice President
Fidelity Personal Investments
Our industry can’t afford to subscribe to the old adage
“You can’t please all the people all the time.”
Not with 95 million shareholders and $7 trillion at stake.
Find out shareholders’ hot buttons from a high level
summary of the 16th Annual NICSA Shareholder Satisfaction
Survey. Learn about quality measurements and programs and
how they affect shareholder care in the industry. |
3:00
– 4:00 p.m.
Wine Tasting
Spa Grand Terrace
Pre-registration required
Click for details.
6:00 – 8:00 p.m.
Reception
Exhibit Hall
Sponsored by 
8:00 – 10:00 p.m.
An Evening at the Crossorads
Spa Pool
Beat a path to the Spa Pool and Gardens for an evening of fun with
your friends and colleagues at the NICSA Theme Party, “An
Evening at the Crossroads”.
Enjoy dinner and dancing to all of your favorite tunes (motown,
rock, 50's and 60's, beach music, disco and current top 40) and
lots of surprises. All signs indicate a great time will be had by
all.
Registered companions are welcome to attend.
Sponsored by 
7:30 – 8:00 a.m.
Breakfast
Exhibit Hall
8:00 – 8:15 a.m.
Presentation of the Robert L. Gould Award
Doral Ballroom
Paul G. Haaga, Jr.
Executive Vice President and Director
Capital Research & Management Company
Vice Chairman, ICI
2005 Robert L. Gould Award
Presentation of the PricewaterhouseCoopers Award
Doral Ballroom
Lloyd (Chip) Voneiff presents the 2005 PricewaterhouseCoopers Award
to
Dr. Lee Gremillion, Educator & Consultant
8:15 – 9:00 a.m.
Keynote Address
A View from Washington
Doral Ballroom
| Paul Schott Stevens,
President
Investment Company Institute
In his keynote address, Paul Schott Stevens will provide
NICSA attendees with the latest industry updates and information. |
9:00 – 9:45 a.m.
Break
Exhibit Hall
9:45 –11:00 a.m.
Face the Membership: An Industry At the Crossroads
Doral Ballroom
|
Moderator: |
Tyler Mathisen
CNBC |
Jenny Bolt, Senior Vice President and Chief
Information Officer
Franklin Templeton Investments
Jonathan Eaton, Executive Vice President,
Product Marketing
LPL/ Financial Services
Diane L. Schueneman, Senior Vice President,
Global Operations and Infrastructure Services
Merrill Lynch & Co., Inc.
Marianne K. Smythe, Partner
Wilmer Cutler Pickering Hale & Dorr LLP
With the election now behind us, what lies ahead for our industry?
Tyler Mathisen, anchor of CNBC's "Open Exchange with Tyler
Mathisen", and winner of the 1993 American University/Investment
Company Institute Award for Personal Finance Journalism, will moderate
a distinguished panel of experts in a discussion that will undoubtedly
address the heightened regulatory environment and the downstream
effect on the various operating facets of our industry.
11:00 a.m.
Conference Closes
NICSA is pleased to offer this group-live learning activity to
attendees who are seeking CPE credits. Up to 11 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
| Jim
Lockhead, Co-Chair
MFS SERVICE CENTER, INC. |
Linda
Warriner, Co-Chair
AIM INVESTMENT SERVICES, INC. |
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|
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Don De Marco
STATE STREET
Rhonda Dixon-Gunner
AIM INVESTMENT SERVICES
Michael Dow, Exhibits Chair
SOURCE4, INC.
Roger Hobby
FIDELITY INVESTMENTS
Chandresh Iyer
CITIGROUP
Paul Kraft
DELOITTE & TOUCHE LLP
Michel Lentz |
Barbara Mack
SUNGARD INVESTOR
ACCOUNTING SYSTEMS
Vincent Manning
VENTURE FINANCIAL
SYSTEMS GROUP
Ian McCoy
FRANKLIN TEMPLETON
INVESTMENTS
Donna McManus
THE BANK OF NEW YORK
Chris Newman
BOSTON FINANCIAL DATA SERVICES
Greg Niland
AMERICAN FUNDS/CAPITAL GROUP |
David Parks
ERNST & YOUNG LLP
Paul Roselli
JP MORGAN CHASE
Betsy Rudden
PHOENIX INVESTMENT PARTNERS, LTD.
Michael Stubblefield
PUTNAM INVESTMENTS
James Walsh
DST SYSTEMS, INC.
Rheeta Wise
PFPC Inc. |
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