East Coast Regional Meeting

Program Information:

8:30 – 9:30 a.m.
Registration and Continental Breakfast

9:30 - 10:30 a.m.
Welcome Remarks and Keynote Address
An Economic Glimpse at 2010

Dr. David P. Kelly, Chief Market Strategist J.P. Morgan Funds NICSA is pleased to welcome David P. Kelly, who is the Chief Market Strategist for JPMorgan Funds. David will provide valuable insight and perspective on the markets and their rebound since the darker days of 2008-9 and share his thoughts on what 2010 will hold.

10:30 - 10:45 a.m.
Break

10:45 – 11:45 a.m.
Distribution Roundtable: Where Opportunity Lies in Asset Management Sales Distribution

Moderator:
Matthew Bienfang, Senior Research Director, Securities & Investments
TowerGroup

Speakers:
Daniel Steele, Senior Vice President, Strategic Business Development
BNY Mellon Asset Management / Dreyfus Investments

Catherine Saunders, Managing Director
Putnam Investments

Bill C.Taylor, CIMA, CPWA, Senior Vice President, Head of Business Development and Investment Only Retirement Group
Pioneer Investments

Participants will navigate the 2010 distribution landscape with this panel of distribution leaders as they discuss the opportunities and challenges in the marketplace. Why is it time to sell to the RIA marketplace? What are the underpinnings that are changing the currents to focus on these advisors? What is the opportunity in the defined contribution investment only market? What are the products that have the best opportunity for success? How do you position your sales organization? Our panelists will address these critical sales and marketing issues.

11:45 - 12:30 a.m.
DTCC Update

Rob Hegarty, Managing Director, DTCC Market Structure
Depository Trust and Clearing Corporation

James Kiernan, Vice President, DTCC Relationship Management
Depository Trust and Clearing Corporation

DTCC staff will provide updates on what DTCC is doing in concert within several industries, and their respective member organizations, to continue to deliver products that increase efficiencies and reduce operational risks and costs. They will also provide insight regarding the critical roles that consolidation, market volatility and re-regulation have played in the shifting industry landscape. Find out what’s on the horizon for 2010 – and beyond.

Maureen J. Miskovic, Executive Vice President, Chief Risk Officer State Street For mutual fund organizations, the importance of implementing comprehensive and effective risk management has increased significantly in recent years. Maureen Miskovic will share the challenges of leading a risk management function globally.

1:45 - 2:45 p.m.
Regulatory Update

Moderator:
Thomas Biolsi, Principal, Regulatory Consulting Practice
PricewaterhouseCoopers LLP

Speakers:
Joan Dowd, Chief Compliance Officer
Boston Financial Data Services, Inc.

Michael Gozzillo, Compliance Officer, Asset Management Compliance
TIAA-CREF

Michael Novey, Associate Tax Legislative Counsel, Office of Tax Policy
U.S. Department of the Treasury

Richard Sennett, Chief Accountant, Division of Investment Management
U.S. Securities and Exchange Commission

A panel of policy experts and industry practitioners will discuss the regulatory and legislative priorities of the current administration and Congress. In addition, this panel will explore the implications of regulatory initiatives, examination trends and other issues relevant to the funds industry.

2:45 - 3:00 p.m.
Break

3:00 - 4:00 p.m.
Web Development and e-Servicing: Are Your Investments Paying Off?

Moderator:
Dana A. Johnston, Vice President, eSolutions and eBusiness Development
DST Direct LLC

Speakers:
Nick Bonos, Head of Operations
Security Global Investors (SGI)

Kristyn Harmon, Vice President, PWI Online Channels
Fidelity Investments

Jakob Rohn, Executive Vice President Strategic Development
Albridge Solutions

Every day we hear about the latest advances in Web technology. But, does anyone aside from the ‘techies’ really care? Who actually uses this technology? What do shareholders actually expect from fund’s websites? Do firms get a good return on investment from web development and e-services? What are the similarities and differences between expectations of advisors who want to build portfolios for their clients via the web versus the shareholders who act for themselves? This panel addresses these questions with practical examples of adoption trends.

4:00 - 5:00 p.m.
Reception