Tuesday, October 23
 

5:30 – 7:30 p.m.
Exhibit Hall

Opening Reception
Sponsored by

 
   Wednesday, October 24
 

8:00 – 9:00 a.m.
Exhibit Hall

Breakfast
Sponsored by

9:00 – 10:00 a.m.

Keynote Address
A Whole New Mind

Daniel Pink
noted author, lecturer

“Get into finance.” “Learn some computer skills.” That's what our parents told us to do to succeed in our careers. But were Mom and Dad right? Actually, the future belongs to a different kind of person with a different kind of mind, people like artists, inventors, storytellers and caregivers. These right-brained people are the next business elite – the women and men who will power your organization.

In this entertaining and provocative presentation, best-selling author Daniel Pink surveys evidence from around the world to reveal how the forces of Abundance, Asia, and Automation are nudging us into an era defined not by traditional "knowledge workers," but by creators and empathizers. He explains what this transformation means for your organization – and he offers hands-on tools and tips, as well as real-life examples, for how you can navigate this new terrain.

Pink will show you:

• why "high tech" abilities are giving way to "high concept" and "high touch" talents;
• the six essential aptitudes necessary for thriving in this emerging world;
• why the widespread search for meaning is perhaps the greatest recruiting challenge – and the largest business opportunity – of our time.

Read Dan Pink at Wired.com:

Revenge of the Right Brain
What Kind of Genius Are You?
The Book Stops Here

10:00 – 10:45 a.m.
Exhibit Hall

Break

Concurrent Sessions
  

10:45 a.m. – 12:00 noon

Leveraging Technology to Facilitate Sales

Jodie A. Kaminsky, Vice President, eMarketing
JPMorgan Funds Management, Inc.

Susan Matteson King, Managing Director/Head of US Retail Marketing
Legg Mason Investor Services

Brian D. Stetson, Senior Vice President, E-Commerce and Corporate Systems
Putnam Investments

Marketing and Sales organizations have been making investments in technologies aimed at improving sales to their agents and shareholders; but do these investments consistently provide positive impact to the bottom line?

The professionals on this panel will impart their insights, experiences, challenges, best practices, and success stories on where REAL ROI can be realized through leveraging:

• Relationship Management Systems
• Web Statistics
• Campaign Management
• Video Conferencing, Webcasting, eLearning and Collaboration
• Content Syndication

10:45 a.m. – 12:00 noon

Order Management & Execution

Jeremy Freeman, Senior Manager, Investment Technology
Dimensional Fund Advisors LP

Spiros Giannaros, Vice President of Sales, Americas
Charles River Development

Joe Piotrowski, Vice President - Manager Investment Systems Development
MFS Investment Management

Mark S. Volker, Senior Vice President, Global Strategy & Services
SunGard Transaction Network

Changes occurring in the Financial Services industry are influencing the securities trading practices of Asset Managers. While the amount of money being spent on trading technology is slowing, money managers are dealing with new regulatory requirements and pressure to improve efficiency. Firms have more trading technology options available even as they consider opportunities to consolidate the number of trading platforms used. Our panelists will discuss the top issues and opportunities surrounding technology’s role in securities trading.
 

 
12:00 noon – 1:00 p.m.
Exhibit Hall

 
Buffet Luncheon

Concurrent Sessions
  

1:00 – 2:15 p.m.

Secure Today, Compromised Tomorrow? ID Theft and Fraud Protection

Vicente Silveira, Senior Product Manager
VeriSign, Inc.

Laura George, Director, Global Private Client Technology Governance Group
Merrill Lynch & Co.

Dan Larkin, Chief, Cyber Initiative & Resource Fusion Unit
FBI – Cyber Division

Gary F. Rossi, Vice President, Corporate Investigations
Fidelity Investments

With increasing regularity, security breaches are making the news. To be successful, firms need to stay at least a step ahead of the criminals. What are financial services firms doing to protect data assets and their clients? Hear about the common and emerging schemes perpetrators use to effect their crimes and the high- and low-tech solutions organizations are using to identify and manage vulnerabilities, to prevent and detect suspicious activity, and to secure sensitive information. Join our panel of experts as they discuss the latest strategies being used to combat a growing variety of attacks on firms.
 

1:00 – 2:15 p.m.

Going Green Keeps Companies in the Black

Corey Owens, Vice President of Network Operations
Calamos

Gary Jay Saulson, Director of Corporate Real Estate
PNC Financial Services Group

Mary Wenzel, Vice President, Environmental Affairs
Wells Fargo & Company

Is your company going ‘green’ or thinking about a ‘green’ initiative? Some firms are focusing on new facilities as they meet the green building standards to meet U.S. Green Building Council specifications to ease LEED (Leadership in Energy and Environmental Design). Other firms are focused on efficient power consumption, which might lead more IT leaders to look for power saving solutions.

How about renewable energy initiatives and the new Green Grid initiative? IT managers facing sky-high energy bills to run their data centers, new and expanding regulations for the disposal of IT products and growing concern about Global Warming might lead IT executives to look into “green” solutions. Hear from our panelists on different green initiatives at their companies, return on their green investment, and the culture needed to get approval for the green initiative and the success of each project.
 

 
2:15 – 3:00 p.m.
Exhibit Hall

 
Break

Concurrent Sessions
  

3:00 – 4:15 p.m.

Successfully Enabling Compliance through the use of Technology

Teri Anderholm, Chief Compliance Officer
Pioneer Investment Management, Inc.

Alan E. Fish, Partner, National Asset Management Advisory Services Practice Leader
Ernst &Young LLP

Charles C. S. Park, Chief Compliance Officer
Barclays Global Investors, N. A.

Kenneth A. Rathgeber, Executive Vice President, Risk Oversight and CCO, Fidelity Funds
Fidelity Investments

Linda J. Wondrack, Chief Compliance Officer, Columbia Funds and Senior Vice President, Compliance Executive
Bank of America

What technology tools do Chief Compliance Officers and compliance teams need to meet the risk management requirements of the organization? Better monitoring and oversight tools to enable transparency for the CCO, Computer Based Training (CBT) for policies and procedures (e.g. Anti-Money Laundering), Email Compliance (i.e. archiving, retrieval, surveillance, etc.), work-flow technologies for policy document management, web based tools to go paperless, thereby decreasing risk and increasing efficiency with a limited budget. Our industry experts will discuss what technology challenges CCOs face and how IT can better deliver systems that help Compliance Departments achieve their goals.
 

3:00 – 4:15 p.m.

Linking Your World Through Technology: Connecting Resources to Systems Wherever and Whenever

David Brown, Vice President, Global Pricing Services
State Street Corporation

Peter Quinn, Senior Vice President, Fund Services
Citi

Christopher C. Remondi, Senior Vice President, Investor Services
Brown Brothers Harriman & Co.

Dean Wenzl, Director, IT Infrastructure & Brokered Services
Russell Investments

Are you considering expanding your operations outside of the US? Are you looking to increase your IT support to meet the needs of customers in Europe as well as the US? Are you currently a global company that wants to decrease cost and increase productivity?

Hear what your peers have learned in adapting to a global environment. Panelists will share anecdotal evidence on why they chose to use offshore resources to support their global business, what they considered when making organizational changes, and what lessons they learned from supporting a global operation.
 

 
4:15 – 4:30 p.m.
Foyer

 
Break

4:30 – 5:30 p.m.

Keynote Address
Deriving Business Value from Web 2.0

Web 2.0 is one of the hottest things on the consumer Web, but where does it fit in the financial industry? What’s the business value? And how can companies use new Web 2.0 tools, principles, and practices to bring value to their line-of-business users? If, as O’Reilly says, “Data is the new Intel inside,” how can you harness the data and extract its value?

You’ll hear answers to all of this and more from Rod Smith, IBM Fellow and Vice President of the IBM Emerging Internet Technologies Group and David Barnes, Program Director, Emerging Internet Technologies. They will discuss what IBM is doing in the Web 2.0 space, give a demonstration of a mashup maker being developed by their team, and share lessons they’ve learned from joint Web 2.0 development projects with companies such as American Express, Dunn & Bradstreet, and Dow Jones.

5:30 – 7:30 p.m.
Exhibit Hall

Reception
Sponsored by

 
   Thursday, October 25
 

7:00 a.m.

The AT&T 5K Challenge hosted by Mutual Funds Against Cancer

NICSA is proud to team up with Mutual Funds Against Cancer, one of the leading charitable organizations in the financial industry for the second annual 5K Challenge, hosted by Mutual Funds Against Cancer.

Join us for a great cause and a morning of fun, as you enjoy a 5K run consisting of 3 laps around the pristine JW Marriot Las Vegas Resort property concluding poolside. Prizes will be awarded to race winner and top fundraiser. Register today, as the race is exclusive for only 50 runners!

For more information on Mutual Funds Against Cancer and the AT&T 5K Challenge, please visit www.mutualfundsagainstcancer.com
 

8:00 – 8:45 a.m.
Gallery at top of escalators

TechTopics Breakfast Roundtables

How often do you wish you could have a chat with someone who faces the same challenges, issues and successes that you do? Well now you can. NICSA’s TechTopics Roundtables are an opportunity to breakfast with your peers and informally share best practices and solutions in the following areas:

1. Sales/Marketing
2. Transfer Agency Operations
3. Fund Accounting and Administration
4. Shareholder Service
5. Investment Management/Operations
6. E-business
7. Information Technology

Please note the number of your TechTopic Roundtable preference on the registration form.

9:00 – 10:00 a.m.

Keynote Address
Tech Trends in the Investment Industry

Don Russo
Group Vice President
Oracle Financial Services Global Business Unit

More than ever before, Investment Management firms are having to create a virtual connection of products and services for their clients. Three key technology trends that are key enablers for the future:

• the use of service-oriented architectures and business process frameworks to connect solutions together in a seamless manner to deliver best in class solutions;
• the need for increased security to authenticate clients, partners, and employees and define their access rights to products and services;

• the increased need for rules engines to perform a variety of tasks from identifying data patterns to provide advice to screening activity to support compliance requirements.

Oracle has been investing heavily in technologies to service these needs and will talk about the latest trends and how they will help continued evolution of the investment community over the coming years.

10:00 – 10:45 a.m.
Exhibit Hall

Break

Concurrent Sessions
  

10:45 a.m. – 12:00 noon

The Shareholder of the Future

Vijay C. Advani, Executive Vice President, Global Advisor Services
Franklin Templeton Investments

Brian Reid, Chief Economist
Investment Company Institute

Boomers in retirement, Generation-Yers gathering assets, foreign markets exploding. This confluence of events leads us to ask:

What product changes are evolving?

Will traditional distribution channels survive?

How and where will customers gather information for investment decisions?

How are other markets outside the U.S. adopting technology with financial services?

Our distinguished panelists will discuss how these and other factors are redefining the investment industry.
 

10:45 a.m. – 12:00 noon

The Good, The Bad, The Best: Business Intelligence Analytics

Hazem Gamal, Vice President, Business Analysis & Reporting
OppenheimerFunds

Sean Moore, Director Advisory Division Administration
Merrill Lynch

Brian D. Stetson, Senior Vice President, E-Commerce and Corporate Systems
Putnam Investments

More and more, Financial Services firms are realizing the enormous potential lying hidden in their vast data stores. As firms look to unlock potential benefits, Business Intelligence (BI) may just be the prescription for uncovering hidden gems. But where does the hype end and the reality begin? What actually works? Is BI only for the big players? Join us as we explore real-life examples in support of uncovering valuable information and delivering to those who can make a positive impact to the firm. Learn how others have utilized BI to impact organizational performance and increase the bottom line.
 

 
12:00 noon – 1:15 p.m.
Exhibit Hall

 
Buffet Luncheon

1:15 – 2:15 p.m.

Keynote Address
Open Wins: What Open Source Means for the Financial Services Community

Scott McNealy
Chairman and Co-Founder
Sun Microsystems, Inc.

There's a lot of talk and confusion about open source. Scott McNealy shares what open source really means, why open standards are the way to go and why transparency is a good thing. The Chairman and Co-Founder of Sun will explain why an open world is a more secure world, how open source lets you tackle the litany of compliance challenges and how open source builds and monetizes large subscriber bases. Learn more about why this is the way the industry is headed and how you can win.

2:15 – 2:45 p.m.
Exhibit Hall

Break

Concurrent Sessions
  

2:45 – 4:00 p.m.

Hello? Is Anyone There? Technology in the Contact Center

Colleen Bolton, Officer, Client Services
National Quality Review

Joe Cosentini, Vice President
T. Rowe Price Group

Paula Selvidge, Director Content Services
H & R Block

Phil Stump, Systems Development Officer
DST Systems, Inc.

Technological advances have permeated our organizations, changing the nature of virtually everything we do. Contact centers are no exception. From speech enablement and voice biometrics to live chat, advances were designed to meet two goals: increase automation in the name of cost savings to firms; and improve the overall customer experience. But have advances in technology met these goals – or have we gone too far?

Hear business case studies from fund firm contact center managers as well as industry experts who will share their successes and lessons learned to give us perspective on this expanding technology space.
 

2:45 – 4:00 p.m.

Mobility in the Investment Industry

David Lefcourt, Manager, Sales Intelligence
Eaton Vance Corporation

Alan Panezic, Vice President, Software Product Management
Research In Motion Limited

Denis Sullivan, Senior Manager, Nokia Enterprise Solutions
Nokia

On-the-go access to information is an important and growing need in our industry. What started as wireless email and basic contact management has grown quickly to include extensive CRM, sales reporting, trading, and other capabilities. Critical investment systems are opening wireless support, allowing portfolio managers, analysts, bankers, sales teams, and others to access the data they need when they need it. This session will explore the growing demand for wireless tools, the devices that provide access, and the industry leaders that provide innovative wireless tools for their business lines.
 

 
4:00 – 4:15 p.m.
Foyer

 
Break

4:15 – 5:30 p.m.
Grand Ballroom

CIO Roundtable

Rick Berk, Partner and Chief Information Officer
Brown Brothers Harriman & Co.

Tom McLain, Senior Vice President, Director of Information Technology
Old Mutual

Priscilla Moyer, Senior Vice President, Chief Information Officer, Franklin Templeton Technologies
Franklin Resources, Inc.

Mark Prasifka, Chief Information Officer
DST Systems, Inc.

Paul Wise, Chief Technology Officer
Dimensional Fund Advisors, LLP

A panel of IT experts engage in a dynamic and insightful dialogue on the resurgent debate over the value of IT and effectiveness of CIOs. Why is the industry again putting the microscope on IT, and what does this refocused scrutiny mean for the future of IT acquisitions and implementation? The panelists will speak about the impact IT management can have on an organization, their role as thought partners with their business counterparts, and their involvement in the strategic planning processes of their companies.

Don’t miss this exclusive industry roundtable with IT visionaries to share trends, strategies and challenges.

5:30 p.m.

Conference Closes

10:00 p.m.

All You Need is LOVE - Cirque du Soleil at the Mirage
The Mirage

Take advantage of this opportunity to see The Beatles LOVE Cirque du Soleil at the Mirage Hotel. LOVE brings the magic of Cirque du Soleil together with the spirit and passion of The Beatles to create an intimate and powerful entertainment experience. The exuberance of The Beatles music is channeled through the youthful, urban energy of a cast of 60 international artists.

NICSA has a limited number of tickets for the late show available for purchase at $137.50 each. Deadline to purchase tickets is Wednesday, October 10. No show cancellations after October 10th. Tickets may be picked up at the NICSA registration desk at the JW Marriott.

One-way shuttle transportation to the show is available. Space is limited.

 
   Friday, October 26
 

9:00 a.m.

Yoga by the Pool

7:45 a.m. – 8:30 a.m.
TPC Canyons

Golf Tournament
Transport to the Golf Tournament
TPC Canyons

Meet at the Spa Tower entrance for transportation to TPC Canyons. Shuttles depart from Spa Tower at JWM to TPC 7:45 a.m. at 8:30 a.m. There will be shuttle service from TPC to the JWM after the tournament.

Tournament begins at 9:00.

Box Breakfast sponsored by

Bottled Water sponsored by

2:00 p.m.

19th Hole Luncheon
Sponsored by

After the tournament, join us for a buffet luncheon, tournament scoring and prizes in a festive atmosphere at the Lodge at the Lawn.