Sunday, October 26

5:30 - 7:30 p.m.

Opening Reception
Exhibit Hall
Sponsored by

Monday, October 27

8:00 - 9:00 a.m.

Breakfast
Exhibit Hall

9:00 - 10:00 a.m.

Keynote Address
The Digital Revolution

Nicholas Negroponte
Cofounder, MIT MediaLab and
Founder, One Laptop per Child (OLPC)

10:00 - 10:45 a.m.

Break
Exhibit Hall

Concurrent Sessions

Track A
10:45 a.m. - 12:00 noon

Advisor of the Future

John M. R. Chalmers, Charles H. Lundquist Distinguished Research Scholar and Associate Professor of Finance
University of Oregon

Kevin M. Keefe, Senior Vice President, Independent Advisor Services
LPL Financial

Jake Rohn, Executive Vice President, Strategic Development
Albridge Solutions

Most technology organizations in our business are continually trying to catch up to demands being placed by our distributor partners. In addition to superior products with benchmark-beating returns, they are asking us to innovate and bring them timely, value-added services, content, and materials. The only way to catch up is to gain information about what's next.

This superstar panel will take a non-technology oriented look at how the financial advisor market is changing in hopes that we can help be ahead of the curve in serving them. Areas that this panel will cover include:

• Changing demographics of recruiting and retaining advisors
• Evolution of services that financial advisors are providing clients
• Compensation developments of advisors and future of fee-based v. commission based platforms
• Price pressures faced by them and their manufacturer partners
• Best practices in selecting and working with manufacturers

By participating in this session, attendees will understand core business issues facing the advisor marketplace so that they can develop more relevant technology solutions for advisors.

Track B
10:45 a.m. - 12:00 noon

Holistic Customer Data Management:
Globalization, Compliance and Operational Efficiency

Frank J. Coates, CFA, Chief Executive Officer and President
Coates Analytics, LP

Michael Cole, First Vice President, Global Wealth Management Technology
Merrill Lynch

Misty Ford, Director, Americas Business Technology
Russell Investments

Hyong Y. Kim, Principal, Financial Services
Ernst & Young LLP

Peter Travers, Principal, Eagle Global Professional Services
Eagle Investment Systems LLC

Today, most financial service institutions have large, highly complex, yet non-integrated data which is stored in an array of different platforms and systems. Investing in a Client Data Management program can provide these financial service institutions with a competitive edge for cross/up selling and product tailoring while also meeting their regulatory and compliance requirements.

Session attendees will learn how some of the top financial services organizations are tackling this increasingly significant strategic initiative and leveraging the power of their most critical asset. They will discover how to successfully navigate though the maze of complex products and services offered by third parties so that they can successfully develop and deliver their organization's data management strategy.

12:00 noon - 1:15 p.m.

Luncheon Roundtables for non-golfers

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 lunch with your peers and informally share best practices and solutions in the following areas:

• Sales/Marketing
• Transfer Agency Issues
• Fund Accounting and Administration
• Investment Management/Operations
• E-business
• Information Technology
• Issues Facing Small Fund Firms
• Middle Office Issues
  
  

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

12:15 - 6:00 p.m.

Golf Tournament
Boxed Lunch sponsored by

Transport to the Golf Tournament will begin at 12:15 p.m.

Meet at the Spa Tower entrance for transportation.
Tournament begins at 1:00 a.m. at TPC Las Vegas.

12:45 - 5:00 p.m.

Hoover Dam Tour

Hoover Dam is both a national Historic Landmark and Modern Civil Engineering Wonder of the world. NICSA attendees will learn about the history and construction of Hoover Dam, visit the exhibit gallery, observation deck and go inside the dam to the power plant at its base to view the massive generators.

Bring your cameras to capture the breathtaking views of the Colorado River and Lake Mead, the largest Man-made body of water in the Western hemisphere.

Lunch will not be served. Transportation to and from the JW Marriott will be provided.

6:00 p.m.

19th Hole Reception
Lodge at the Lawn

All conference registrants may attend.

Tuesday, October 28

8:00 - 8:30 a.m.

Breakfast
Exhibit Hall

8:30 -9:30 a.m.

Keynote Address
Unified Communications and Collaboration

Craig Saint-Amour
Director, U.S. Capital Markets Solutions
Microsoft Corporation

Rapid advances in technology and radical changes in the business environment over the last 10 years have dramatically increased the importance of collaboration and communication technologies success in the financial services industry. These changes in business dynamics are driven by the need to work more closely with customers, services providers and regulators, the "always-on" work environment and intensified industry competition. These factors make a security-enhanced, integrated set of unified communications and collaboration technologies at the core of business success today.

9:30 - 10:15 a.m.

Break
Exhibit Hall

Concurrent Sessions

Track A
10:15 - 11:30 a.m.

Enterprise Collaboration Solutions Come of Age

Tony Frazier, Senior Director, Emerging Technologies Group
Cisco Systems

James A. Marrano, Vice President, Global Product Management
State Street Corporation

Sandra Reid
Senior Vice President, Chief Compliance Officer, Putnam Retail Management
Putnam Investments

Craig Saint-Amour, Director, U.S. Capital Markets Solutions
Microsoft Corporation

In a world of geographically dispersed virtual teams, business partners, and customers, how do you collaborate? Whether you are in the same building or across the globe, companies need tools to facilitate creativity, collaboration, and knowledge sharing among internal and/or external working groups and audiences. What collaboration tools do you use today? Phone, video conference, email, instant messaging, web conferencing, document sharing? And what additional collaboration tools will your enterprise use tomorrow?

Join us and learn more about social networks, wikis, blogs, personal profiles, bookmarking, and tagging. Panelists will share their experiences on which collaboration tools they are deploying, why they chose these tools, how they are using them in their business, and what lessons and best practices they have learned along the way.

Attendees will leave with:

• in depth examples of how business teams are leveraging collaboration technologies to improve productivity within their operations
• exposure to the type of technologies available in the collaboration landscape
• an understanding of the challenges and successes overcoming challenges users of collaboration technologies have experienced

Track B
10:15 - 11:30 a.m.

Transforming Your Organization Through Customer Experience Management

Bill Durr, Principal, Global Solutions Consultant
Verint Witness Actionable Solutions

James Hyland, Manager, Marketing Research & Analysis
OppenheimerFunds, Inc.

John Leuthold, Vice President, Client Advocacy & Segmentation
Janus Capital Group

The overall customer experience is an important criteria in measuring value to the client. Use of customer surveys, customer support metrics, and analyzing sales and retention trends are some of the ways in which firms attempt to evaluate the customer experience. But what's behind the numbers? And how does customer experience translate into asset gathering and retention? The members of the panel discuss how they measure customer experience and what they do with the data, and how they utilize technology within their firms to examine where customers can be gained or lost; and, better yet, become brand evangelists for your products and services to potential customers in the future.

Attendees will:

• come away with a working understanding of what customer experience is and its importance to overall business strength and health
• understand the difference between Customer Experience Management (CEM) and Customer Relation Management (CRM)
• hear examples of how firms measure the customer experience and use results to drive improvements into their organization
• see how technology can help gather customer interaction data for analysis and organizational improvement
• learn how the quality of customer interactions can deliver value and increase loyalty
• discuss what factors allow firms to provide a consistently excellent customer experience

11:30 a.m. - 1:00 p.m.

Buffet Luncheon
Exhibit Hall

Concurrent Sessions

Track A
1:00 - 2:00 p.m.

Connecting with the "New Kids on the Block": Leveraging Technology to Reach Gen X and Y Investors

Ilkay Can, Director of Acquisition
Charles Schwab

James C. Perkins, Jr., Founder, Chief Executive Officer and Portfolio Manager
Thrasher Capital Management, LLC

Jack Wallace, Solutions Executive
Acxiom Corporation

The next wave of high-net worth investors has landed and they don't look or act like baby boomers.

Generations X & Y, a bulge of 60 million wealth creators and inheritors that actually outnumber the Boomers, are the New Kids on the Block. They have come of age during a time of incredible advancements in financial products and technology. While investment education remains a fundamental for every age, investment firms are seeking new approaches to attract and communicate with these next generations. Technology offers a key to opening the door of opportunity and connecting with younger markets.

Gen X first became exposed to emerging digital technology in their teens, while Gen Y has enjoyed the fruits of digital and mobile technology all their lives. They are technology savvy individuals with access to "on demand" information and news at their fingertips. They use social networks and "Web 2.0" sites to connect with like-minded investors. Mobile phones, wireless technology, social networks, innovative websites, and financial products for the "Internet generation"- are here today and being creatively utilized to connect with members of Gen X and Gen Y.

Attendees will learn:

• how investment firms are leveraging the latest technologies for:
  • educating, servicing and effectively communicating with potential investors and shareholders
  • creating new products for Gen X and Gen Y Investors
  • profiling and targeting both younger customers and financial advisors
• how to balance investor preferences with regulatory compliance rules
• how to utilize technology to wholesale to Gen X & Y financial advisors
• how to deliver tools financial advisors can effectively use to reach and support Gen X & Y

Track B
1:00 - 2:00 p.m.

Building a Strong Business-Technology Partnership through Strategic Planning

Paul Martin, Managing Director
Morgan Stanley Investment Management

Greg Phillips, Director, Architecture and Strategy for the American Funds
The Capital Group Companies, Inc.

David Rosenberg, Vice-President Portfolio Operations & Analytics
Charles Schwab Investment Management

All good business and technology managers know the key to success is strategic planning which looks at the business vision and purpose of the organization and uses technology to meet the vision. Do you know the steps to successful Strategic Planning in our Mutual Fund Service world? How to step away from the operational work that is critical to run the business long enough to do Strategic Business and Technology Planning? Do you know the best way to get stakeholders to buy into a new project or the most cost effective resources to use?

Come find out the answer to these questions and more as industry professionals share their "best practices" on the key components of business planning and how business and technology teams can work effectively throughout the lifecycle. Panelists will discuss how they plan new projects by walking through phases such as prioritization, business sponsorship, the role of the compliance and risk management team, resourcing, and execution.

When engaging in technology and business planning, it is important to understand the strategic vision so that planners can keep an eye on that as we run the day-to-day business which is critical. Participants will learn best practices of the key components of the business planning and how business and technology teams can work effectively throughout the lifecycle.

At the end of the conference, participants will be able to adopt best practices in the key phases of the strategic planning lifecycle such as business sponsorship, prioritization, integration with on-going initiatives, resourcing (on-shore or outsourcing), execution, and be able to merge strategy with the operational and tactical work performed throughout the year.

2:00 - 2:45 p.m.

Break
Exhibit Hall

Concurrent Sessions

Track A
2:45 - 3:45 p.m.

Rule 22c - 2: Where Are We One Year Later?

Sharon Ennis, Senior Vice President
Reliance Trust Company

Rita A. Gribben, Director, Product Management, Wealth Management Services
Depository Trust and Clearing Corporation

Marguerite Peters, Senior Vice President, Client Services
SunGard, Wealth Management

Kelly Powers, Compliance Director
Pioneer Investment Management Shareholder Services, Inc.

The final phase of Rule 22c-2 became effective on October 16, 2007. Where is the industry a year later? Is the rule helping funds to identify market timers? Are requests for data flooding the intermediaries, or has that fear not been realized? Is the appropriate data being made available to the funds? What is the right amount of data and the appropriate frequency?

Attendees at this session will learn the answers to these questions, as well as gain an understanding of industry best practices. They will hear statistics on current industry data volumes and return to their offices able to better evaluate how they are dealing with the challenges of the Rule 22c-2 legislation as compared to others in the industry.

Track B
2:45 - 3:45 p.m.

More Bang for the Buck: Smart Web Improvements on a Budget

William R. Benz, Vice President Sales and Marketing Systems
J. & W. Seligman & Co. Incorporated

Scott Finder, Managing Director, eBusiness
BlackRock

Stacey Fogle, Vice President, eCommerce
Evergreen Investments

Jon Leonard, Assistant Vice President, e-Marketing
Janus Capital Group

When budgets are tight, web enhancements are often seen as a luxury, not a necessity. But keeping your site fresh and dynamic is key to supporting your firm's ongoing sales and marketing efforts. How to balance the two challenges? Be creative. Come hear our panel of experts share some ideas on how to continually improve your site without breaking the bank.

Participants will come away with sound strategies that they can apply to their own web sites.

4:00 - 5:15 p.m.

CIO Roundtable

Mike Catlin
Senior Vice President, Information Technology Group
The Capital Group Companies, Inc.

Karen A. Chamberlain
Vice President / Chief Information Officer, Individual Markets Group
Hartford Life

John Shea, Vice President, Chief Information Officer
Eaton Vance

Darren Wesemann, Chief Technology Officer, SunGard Financial Systems
SunGard

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.

5:15 - 7:00 p.m.

Reception

Wednesday, October 29

8:00 - 8:30 a.m.

Breakfast

8:30 - 9:30 a.m.

Keynote Address
What Financial Services Executives Should Be Thinking About:
A CIO Perspective

Rebecca J. Jacoby
Senior Vice President, Chief Information Officer
Cisco Systems, Inc.

Rebecca will discuss her vision and what technology and business executives at financial services firms should be thinking about as they develop their strategies.

9:30 - 10:15 a.m.

Break
Exhibit Hall

10:15 - 11:15 a.m.

Keynote Address
Open Source: Why it Finally Matters to Financial Services Firms

Marten Mickos
Senior Vice President, Database Group
Sun Microsystems Inc.

Not too long ago, open source software was considered the purview of hackers, fraught with intellectual property challenges and generally not a realistic option for large enterprise organizations. However, today many mainstream companies, such as Google, Yahoo, and Travelocity, have determined that open source solutions are not only less costly, but faster and more robust than traditional offerings from commercial vendors.

In this session Marten Mickos, CEO of MySQL, will discuss whether it's time for Financial Services firms to adopt open source, as well as his vision and insight of for the future of this technology.

The session will cover the practical issues to consider such as its Auditability, Reliability, Stability, potential legal issues and indemnification, as well as the robustness of training and support.

11:15 a.m.

Conference Wrapup