East 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.
On the Threshold of 2008: DTCC and Other Industry Operational Updates

Paula Arthus, Managing Director, Relationship Management
Depository Trust & Clearing Corporation

Kathleen C. Joaquin, CPA, Director, Operations and Distribution
Investment Company Institute

Michael McNeill, Senior Vice President, Client Services
Putnam Investments

Greg Spero, Executive Director, Mutual Fund Operations
Morgan Stanley & Co. Inc.

This panel of experts will discuss how the mutual fund and brokerage industries are dealing with such critical issues as:

• 2008 DTCC Initiatives
• Mutual Fund Profile
• 529 and Prototype IRA Processing
• Legislative and Regulatory Update
• Transfers Initiative

10:15 – 10:30 a.m.
Break

10:30 – 11:45 a.m.
Anticipating the Gen Y Retirement Market
presented by NICSA’s Retirement Committee

Kevin Clark, Chief Sales Officer
RolloverSystems, Inc.

Robin Green, Senior Consultant
Deloitte Consulting LLP

Ian W. Sheridan, Corporate Vice President and Chief Marketing Officer, Retirement Services Division
MassMutual Financial Group

The Millennial Generation, also known as Gen Y and Gen I, is vastly different from their Baby Boomer and Gen X predecessors. This group of 25 to 35 year-olds represents the fastest growing asset group, presenting us with new opportunities and challenges. Extremely tech-savvy, they are characterized by frequent job-hopping and multi-tasking, and demand constant stimulation and instant gratification. Our panelists will discuss their views on products, features, and services to help us understand how to effectively reach this rapidly growing marketplace.

11:45 a.m. – 12:05 p.m.
Implications of the New 403(b) Regulations

Dan Besse, Vice President of Marketing
Fidelity Investments Institutional Services Company, Inc.

A new set of IRS regulations is prompting the first significant changes to 403(b) plans in more than 40 years. These new rules apply to all types of 403(b) plans including governmental, higher education, health care, churches, tax-exempt institutions, ERISA and non-ERISA plans. This update will briefly address some of the major provisions, the things plan sponsors should know and the steps that plan sponsors should take.

Is the US economic expansion ending? What are the implications of the end of home price appreciation? How big a threat do credit market turmoil, a falling dollar, and rising energy prices represent? Is panic the most appropriate response? Is it too late to invest in Emerging Markets? Investors are constantly bombarded with economic and market news...but it’s usually headlines without context, resulting in greater uncertainty, not better understanding. Sam Wardwell will provide context and perspective that can help investors keep fear and greed from dominating their decision-making.

2:00 – 3:15 p.m.
Operational Business Practices Beyond 38(a)-1

Jennifer Cassedy, Chief Compliance Officer and Senior Vice President
The Boston Company Asset Management, LLC

Marikay Hines-Corcoran, Managing Director
KPMG LLP

Michael P. Fay, Principal
Deloitte & Touche LLP

Frank Strauss, Principal
Beacon Consulting Group

The panel will discuss the challenges experienced and lessons learned from implementing 38(a)-1 and will also review how the fund administration oversight role continues to be redefined.

3:15 – 3:30 p.m.
Break

3:30 – 4:15 p.m.
Investor 2.0 - The Evolution of the Web and the Shareholder of the Future

Sean Carroll, Manager
kasina LLC

Steven will facilitate a forward-looking discussion about the shareholder of the future. He will discuss the evolution of the web and provide a generational view of the Internet's impact today and tomorrow from the perspective of shareholders.

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 5.5 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