West Coast Regional Meeting

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Conference Agenda

8:00 – 9:00 a.m.
Registration and Continental Breakfast

9:00 – 10:15 a.m.
Overseeing the Operations of Service Providers

Jack Gee, Director of Mutual Fund Administration
Barclays Global Investors, N.A.

Carrie E. Hansen, CPA
Senior Vice President, Managing Director, AssetMark Funds and Chief Compliance Officer
AssetMark Investment Services, Inc.

George Pereira, Senior Vice President, Chief Financial Officer
Charles Schwab Investment Management

How do asset managers oversee the operations of their service providers? This panel will explore a range of issues from the drivers of outsourcing to oversight models, third party reports and risk and compliance considerations.

10:15 – 10:30 a.m.
Coffee Break

10:30 – 11:45 a.m.
Going Green in the Investment Management Industry -- Best Practices and Success Stories

Jill Buck, Founding Partner
Buck Consulting

Alex Pennock, Analyst
Center for Resource Solutions

Jeffrey T. Phillips, Marketing Director, Investment Management Services
Bowne & Co., Inc.

Nancy Reyes, Manager of Institutional Services
Parnassus Investments

Do your facilities meet the "green building standards"? Are you seeing a return on your "green investment"? What are the potential benefits to be gained as a client, an employee and/or an investor of a "green conscious" organization? Get answers to these questions and more from industry professionals. Best practice initiatives will be discussed in this interactive round table on this very hot topic in the industry today.

11:45 a.m. – 1:30 p.m.
Luncheon and Keynote Speaker
Sponsored by

Combating Cybercrime

Mike McKeown, Supervisory Special Agent
Cyber Initiative Resource Fusion Unit
FBI

A 10 year veteran of the FBI, Mike McKeown has worked cases on internet fraud, computer intrusion, and other high-tech crimes. His keynote address will focus on securities industry fraud/cyber crime trends and what your companies can do to protect themselves against it.

1:30 – 2:45 p.m.
Adapting to the New World of Mutual Fund Platform Distribution
presented by NICSA’s Distribution Committee

Gary Downey, Director, AdvisorAdvantage, Global Transaction Services
Citi

Ron Redell, CFA, Managing Director
TCW Investment Management Company

Tom Wagner, Director, FundsNetwork Relationship Management
Fidelity Brokerage Company

Our industry experts will pose answers to such questions as:

• What are successful models for distribution?
• How are Funds Selection Units (FSUs) organized and what are their expectations for investment management firms?
• What are some best practices around approaching these platforms?
• Ok, I’ve secured a position on a platform – now what?

Immediately following the panel, our experts will lead a roundtable discussion which will explore how the traditional wholesaling model is changing in response to the trends in platform distribution.

2:45 – 3:00 p.m.
Break

3:00 - 4:15 p.m.
Industry Roundtables

Sharing best practices is a critical component of the NICSA Advantage. Exploit this opportunity to further explore the morning's topics with colleagues on:

• Overseeing the Operations of Service Providers
• Going Green in the Investment Management Industry
• Adapting to the New World of Mutual Fund Platform Distribution

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.

4:15 – 5:15 p.m.
Reception

CPE Information

NICSA is pleased to offer this group-live learning activity to attendees who are seeking CPE credits. Up to 4.5 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