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.
Where Do We Go From Here? Lessons Learned from the Recent Credit Crisis

Gene Gohlke, Associate Director, Office of Compliance Inspections and Examinations
U.S. Securities & Exchange Commission

Dan Kelly, Chief Risk Officer
Harvard Management Company

Frank Knox, Vice President and Chief Compliance Officer
John Hancock Financial Services

As the industry keeps pace with unprecedented economic developments, changing regulations and new business models, the panel will address practical lessons learned from the recent challenges including:

• Key components of new SEC requirements
• Challenges in ensuring compliance with "just issued" rules and regulations
• Tactical changes in monitoring risk across an investment company complex
• Operational challenges with maintaining existing controls throughout an organization

10:15 – 10:30 a.m.
Break

10:30 – 11:30 a.m.
Investment Management Finance – What Does It Really Cost?

Jeb B. Doggett, CFA, Partner
Casey, Quirk & Associates

Douglas P. Martyn, Director, Financial Analysis and Reporting
Babson Capital Management

Christopher E. Saulnier, Vice President, Corporate Treasurer
Pioneer Investment Management USA Inc.

The current business climate and continued pressure on investment management performance has combined to force investment management firms to better control revenue and cost. Attendees at this session will learn leading industry finance practices of asset management firms on what one really needs to consider on assessing new products, fund mergers, profitability, and improving business insights across the organization while optimizing the profit potential.

11:35 – 12 noon
DTCC Update

Ann Bergin, Managing Director, Wealth Management Services
Depository Trust & Clearing Corporation

For 35 years, The Depository Trust & Clearing Corporation and its subsidiaries have brought operational efficiencies, risk management, reduced costs and streamlined pre-and post-trade services to every major sector of the financial services industry. In this session, Ann Bergin, Managing Director, Wealth Management Services, will provide a perspective on DTCC’s role in the global securities markets.

Marc Chandler, Global Head of Currency Strategy Brown Brothers Harriman & Co. Over time, the currency component can account for almost a third of the return of an international basket of stocks and nearly two-thirds of the return of a global fixed income portfolio. Marc Chandler, the global head of currency strategy at Brown Brothers Harriman, will provide an engaging overview of the forces driving the U.S. dollar. Mr. Chandler's broad presentation includes a range of topics, including the financial crisis, the outlook for interest rates and inflation.

1:30 – 2:45 p.m.
Communication Strategies for Good and Bad Times

Stephen J. Barrett, Chief Marketing Officer and Managing Director
Eaton Vance Distributors, Inc.

Laura Fay, Senior Vice President, Corporate Communications
Evergreen Investments

Craig Kilgallen, Director of ADVISOR INSIGHT,
Financial Research Corporation, LLC

No one wants to be caught off guard, especially in today's volatile financial markets. That is especially the case when it comes to communicating with shareholders, intermediaries and employees. Participants will learn what proven techniques our expert panelists have used to insure a thoughtful approach to communication, strategies that work in both good and bad times, what have we learned and what needs to change given past situations and the new regulatory environment ahead of us.

2:45 – 3:00 p.m.
Break

3:00 – 4:15 p.m.
Collaborative Technology Solutions for a 21st Century Workforce

Andrew McEvoy, Senior Project Manager
Delaware Investments

Gary Mercier, Vice President
Boston Financial Data Services

Pamela Zlota, Vice President
Brown Brothers Harriman & Co

Join us for an interactive discussion on collaboration technology tools in action. Our panelists will share their experiences on which collaboration tools they are deploying, why they chose these tools, and what lessons and best practices they have learned along the way. We will also discuss the HR considerations and implications these new technologies present.

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