Conference Agenda

8:45 – 9:00 a.m.
Welcoming Remarks

9:00 – 9:30 a.m.
Opening Keynote
Solving America's Lifetime Income Challenge

Robert L. Reynolds, President and Chief Executive Officer President of the Putnam Funds Putnam Investments After the sharpest market declines since the 1930s, America's retirement savers are grappling with challenges that range from re-building their portfolios to re-thinking their whole approach to savings. The most critical need may be finding ways to lower the volatility of retirement savings generally and then provide more help in converting life savings to reliable lifelong income. Bob Reynolds, Putnam Investments' President and CEO will share his thoughts on how industry innovation supported by public policy reforms can move toward both goals -- and increase the prospects of a dignified retirement for the Baby Boom generation and beyond.

9:30 - 10:45 a.m.
Treasurers' Roundtable

Mark E. Bradley, Vice President and Treasurer
Pioneer Investment Management

John M. Corcoran, Senior Vice President, Fund Treasurer
MFS Investment Management

Michael C. Kardok, Senior Vice President and Fund Treasurer
Natixis Global Associates

The last 12 months have brought unprecedented change to the fund industry. Regulators have begun to implement sweeping change and will continue to do so over the coming months. Participants will gain an understanding of the impact of this regulation on the operations areas, disclosure practices, fund compliance, and financial reporting procedures of investment managers and service providers.

10:45 – 11:00 a.m.
Break

11:00 a.m.– 12:15 p.m.
Cost Basis Reporting

James Foggo, Vice President and Senior Director, Investor Services
PNC Global Investment Servicing

Michael J. McNeill, Senior Vice President of Operations
Putnam Investments

Jeff Naylor, Vice President, Business Development
SunGard - Asset Arena

The Emergency Economic Stabilization Act of 2008 (“EESA”) was signed into law by President George W. Bush on October 3, 2008 under the United States Treasury’s Troubled Asset Relief Program (“TARP”). Section 403 of the EESA entitled “Broker Reporting of Customer’s Basis in Securities Transactions” informally known as Cost Basis Reporting was introduced as a means to raise revenue to fund TARP.

Participants will gain industry perspectives on the impacts to entities involved with the sale or redemption of publicly traded investments, including:

• overview of Cost Basis Reporting requirements
• review of Cost Basis Reporting impacts to an organization
• technical considerations
• implementation challenges
• service and system solutions
  

Keith F. Hartstein, Director, President and Chief Executive Officer John Hancock Funds, LLC The economic turmoil of the past 12-18 months has spawned a crisis of confidence. As investors and the general public looked on, many leaders of corporate America stumbled badly, either by making poor decisions or by mishandling highly public events. In this presentation, Keith will present 17 timely "Lessons in Leadership" modeled on Colin Powell’s famous “Lessons in Leadership.” With an updated perspective and additional personal insights, Keith will share tips and lessons applicable to everyone from the manager of a department to the corporate CEO.

1:30 – 2:45 p.m.
Managing and Incenting Employees in Today’s Economic Environment

Lynda W. Kaplan, Chief Administrative Officer
Boston Financial Data Services, Inc.

Patrick McGeary, Vice President of Human Resources
Fidelity Investments

Pamela R. Zlota, Vice President, Human Resources
Brown Brothers Harriman & Co.

The new economics of the financial services industry has constrained the profitability of asset managers and service providers. There continues to be intense focus on costs with employee costs being a primary target. The result has been a significant and long term impact on the people responsible for operations and accounting functions. Today there are fewer resources available, career and compensation
progression is less clear, and people are being asked to take on additional roles and responsibilities.

Participants in this session will come to understand the broad economic picture impacting near term
hiring, growth and staffing trends. They will learn what tools are available to managers to motivate and retain employees and manage related operational risks within the constraints of the current economic environment.

2:45 – 3:00 p.m.
Break

3:00 – 4:15 p.m.
Chief Information Officers' Roundtable
Presented by NICSA's Technology Committee

Peter Noll, Global Chief Technology Officer
Pioneer Global Asset Management

Chris Perretta, Executive Vice President & Chief Information Officer
State Street Corporation

Michael A. Stoeckert, Chief Technology Officer
SunGard Institutional Asset Management

How is the industry implementing new regulatory requirements, such as cost basis accounting for shareholder accounts? How are firms effectively supporting the evolving needs of the treasury office?
What are some successful ideas for meeting the challenges posed by a dynamic employee workforce
and enterprise cost pressures?


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 6 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