Midwest Regional Meeting

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Conference Agenda

Wednesday, November 7

8:30 – 9:00
Registration and Continental Breakfast
Sponsored by

9:00 - 9:05 a.m.
Welcome Remarks

9:05 - 10:15 a.m.
It Can’t Happen Here, Can It?
presented by NICSA’s Transfer Agent Committee

Scott Andraschko, Manager of Forensic Technology Services
KPMG LLP

Chuck Booth, Compliance Officer
Citi

David C. Martin, CLU, ChFC, Second Vice President, Corporate Compliance
Phoenix Life Insurance Company

What are firms doing to identify, deter and prevent fraud, privacy breaches, and other activities that could put your firm on the front page of the Wall Street Journal? This panel of experts will examine the structure and controls related to prevention programs and provide case studies and examples of representative “near misses” in firms.

10:15 - 10:30 a.m.
Break

10:30 - 11:45 a.m.
Managing a Multi-Generational Workforce
presented by NICSA’s Transfer Agent Committee

Casey Carlson, Senior Manager, National Human Resources
Deloitte & Touche LLP

Christine Newman, Vice President, Learning and Organizational Development
Boston Financial Data Services, Inc.

Lisa Wesley, Vice President, FBC Learning and Communications
Fidelity Investments

Firms today are faced with recruiting, training and managing a workforce, which
spans multiple generations. This panel will discuss the differences in attitudes
and learning styles, which each generation brings to the workplace as well as
ways to bridge the generational gaps. Discussion points will include:

• Managing the Expectations of Different Generations
• Understanding the Different Needs and Reward Systems of a Multi-Generational Workforce

11:45 a.m. - 1:00 p.m.
Lunch
Sponsored by

1:00 - 2:00 p.m.
Industry Roundtables

Sharing best practices is a critical component of the NICSA Advantage. Exploit this opportunity to informally chat with colleagues on:

• Call Center Best Practices
• TA Operations Best Practices
• Regulatory Best Practices

Take advantage of this chance to learn from other professional’s best practices and challenges that face our industry. Bring your questions for a lively interactive discussion.

Please indicate your choice of roundtable topic (select one) on the registration form.

2:00 - 2:15 p.m.
Break

2:15 - 3:30 p.m.
Introduction to the Hedge Funds and Alternative Investments Industry

Ian Headon, Vice President, Product Management
Northern Trust

Matthew Koenig, Partner
Ernst & Young LLP

David R. Sawyier, Partner, Commodities and Financial Litigation Practice
Sidley Austin LLP

This much-in-demand session will cover the evolution, size, participants, investment strategies, fund structures, domiciles and legal entities in the Hedge Fund arena, as well as recent trends and a forecast for the future of this growing segment of our industry.

3:30 - 4:15 p.m.
Keynote Address
Use of Rule 12b-1 Fees by Mutual Funds

Mellody Hobson, President
Ariel Capital Management, LLC and Chairman, Ariel Mutual Funds Board of Trustees

Mellody Hobson, President of Ariel Capital Management, LLC and Chairman of the Board of Trustees of the Ariel Mutual Funds will discuss the current controversy surrounding 12b-1 fees. Specifically, she will discuss why many smaller fund families could not exist without them and what these fees mean to the American investor.

4:15 – 4:30 p.m.
Closing Comments

Rajan Chari, Partner
Deloitte & Touche LLP

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

Thursday, November 8

8:00 - 8:30 a.m.
Continental Breakfast
Sponsored by

8:30 - 9:45 a.m.
Increasing Assets Under Management

Peter J. Hammond, Executive Vice President and Chief Administrative Officer
UMB Fund Services, Inc.

Jeremy May, Managing Director
ALPS Fund Services, Inc.

Eric Schweitzer, Senior Vice President - Global Investments
Northern Trust

The session is designed to discuss ways that firms can increase their assets under management. It will explore the importance of designing a good marketing plan, suggestions on how to improve distribution efforts by sharing industry practices and techniques (including the use of technology), and operational and regulatory considerations associated with launching a new fund.

9:45 - 10:00 a.m.
Break

10:00 - 11:00 a.m.
Service Provider Oversight

Maureen Dempsey, Assistant Regional Director, Chicago Regional Office
U.S. Securities & Exchange Commission

Karin Jagel Flynn, Shareholder
Vedder, Price, Kaufman & Kammholz, P.C.

Walter M. Kelly, Vice President and Chief Compliance Officer - Funds
Nuveen Investments

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

Overseeing a fund's service providers (custodian, fund accounting agent, transfer agent, etc.) is a critical function. Panel members for this session will discuss what fund groups are expected to do in performing this oversight and common industry practices. Panel members will also discuss suggestions for service providers on ways they can prepare and respond to inquiries from fund groups.

11:00 a.m. - 12:00 noon
Technical and Operational Issues in Hedge Funds

Kristin K. Hartman, Analyst
Mesirow Advanced Strategies, Inc.

Ian Headon, Vice President, Product Management
Northern Trust

Nichole Mann, Head of Business Unit Control
Citadel Solutions LLC

This panel will explore the operational and technology challenges attendant to hedge funds, including operational risk, investor due diligence and independent valuations from the perspectives of leading fund administrators, fund managers and technology vendors.

Special Thanks:

CPE Information

NICSA is pleased to offer this group-live learning activity to attendees who are seeking CPE credits. Up to 7.5 CPE units may be 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