Professional Documents
Culture Documents
MONDAY,MAY2
12:00pm06:00pmRegistrationDeskHours
02:00pm03:00pmPartnerWorkshop1:SynchronossTechnologiesKeepingYourEdgeSecure
KeepingYourEdgeSecure
Thefutureofourmobilelivesreliesonsecurityandproductivity,whetherworkingremotelyorintheoffice.Synchronosshas
partneredwithGoldmanSachstooptimizethemobileusersexperience.Thissessionwillhighlighttrends,experiencesand
solutionsfromanindustryperspective,andwillfocusonmobileproductivity,dataprotectionandidentitymanagement.
DavidA.Schuette
ExecutiveVicePresident&President,EnterpriseBusinessUnit
Synchronoss
03:00pm04:00pmPartnerWorkshop2:Verizon2016DataBreachInvestigationsReport
2016DataBreachInvestigationsReport
Thisworkshopdescribesthelatest2016datafromtheVerizonDataBreachReport(DBIR).TheDBIRcoversinformation
collectedbyover70participatingorganizationsaroundtheworld,including79,000securityincidentsandmorethan2,100data
breaches.Theinformationcoverswhothethreatactorsare,theirmotivation,vulnerabilitiesandmethodologiesusedtoattack
thefinancialservicesindustry.Workshopattendeeswillreceiveanelectroniccopyofthereportforuseattheirfirm.
DavidOstertag
GlobalInvestigationsManager,InvestigativeResponse
Verizon
03:00pm04:00pmPartnerWorkshop3:HexawareDigitalManagedServicesUnlockValueandReduceRiskinCapital
MarketsOperationsthroughRoboticProcessAutomation
Automation,especiallyRPA,hasthepotentialtodisruptlegacyoperationsandreduceheadcountby4060%inCapitalMarkets
operations.Existingserviceprovidersarereluctanttofacilitateit,primarilybecauseRPAwillcannibalizetheir
revenue.HexawaresDigitalManagedServices(DMS)challengethisstatusquoandfearlesslydriveautomation,wherewe
takeontheentireprocess,assumetheriskofimplementingRPAandprovidethebenefitstotheclientfromDay1ofthe
implementation.
BennetKumar
HeadBusinessProcessServices
HexawareTechnologies
04:30pm06:00pmWelcomeReception
JoinusattheOPS2016welcomeandnetworkingreceptiontomeetwithfellowindustryprofessionalsandleaders.
SponsoredBy:ThomsonReuters
TUESDAY,MAY3
07:00am06:00pmRegistrationDeskHours
07:00am08:00amContinentalBreakfastExhibitionHall
08:00am12:30pmGeneralSession
08:00am08:10amWelcometoOPS2016
RandySnook
ExecutiveVicePresident,BusinessPolicies&Practices
SIFMA
08:10am08:30amOpeningSpeaker
WhatisonthePlateforOperationsin2016
TheprioritiesofmanyOperationsmanagershaveshiftedquitesignificantlyoverthelasttenyears,andarenowmorevaried
andcomplexthaneverbefore.PhilDavies,GlobalHeadofOperationsforMorganStanley,willdiscussthechangingroleand
keyfocusareasforOperations,including:regulatoryreformimplementationoutsourcingbusinesscontinuitydatagovernance
innovativetechnologydigitaltransformationdataandmetricsanddrivingefficiency.
PhilDavies
ManagingDirectorandGlobalHeadofOperations
MorganStanley
08:30am09:00amFeaturedSpeaker:MichaelChertoff,FormerU.S.SecretaryofHomelandSecurity
CybersecurityandOurEconomicInfrastructure
Withrespecttoterrorism,thecybersecuritythreatcouldhaveapotentiallyseriousimpactonthesafetyandwellbeingof
Americancitizens.ThemostpublicizedthreatstoU.S.cybersecurityarefrompeoplehackingintosystems,butSecretary
ChertoffassertstheU.S.needstobepreparedtodealwithafullspectrumofthreats,includingindividualscompromising
systemsfromwithinandthesecurityofsupplychains.Whilechemical,IT,andbankingandfinancesectorsfaceaparticular
concernaboutthecollateralconsequencesofacyberattack,SecretaryChertoffidentifiesasystematicstrategyfordealingwith
reducing,ifnoteliminatingcybersecurityissuesforbusinessandindustry.
MichaelChertoff
FormerU.S.SecretaryofHomelandSecurityandCoFounderandExecutiveChairman
TheChertoffGroup
09:00am09:25amFeaturedSpeaker:RichardDzina,FederalReserveBankofNewYork
TowardaNewParadigmforResiliencyandSecurity
Theescalatinggeopoliticalandcyberthreatlandscapecompelsfreshthinkingwhenitcomestotheresiliencyandsecurityofour
nationsfinancialmarketinfrastructure.Fromhisperspectiveasanoperator,Mr.Dzinawillreviewthehistoricalapproachto
ensuretheintegrityofcriticalmarketinfrastructure,identifysomeofitslimitationsinthewakeofglobalrealities,andconsidera
newresiliencyandsecurityparadigmtostrengthenthefoundationalelementsofourfinancialsystem.
RichardDzina
ExecutiveVicePresidentandHeadoftheWholesaleProductOffice
FederalReserveBankofNewYork
09:25am09:50amFeaturedSpeaker:GreggBerman,EY
BigDataaSirensSong?
Thechallengesandpracticalimplicationsofoperatinginadatadrivenworld.
GreggBerman
Principal,FinancialServices
EY
09:50am10:10amNetworkingBreakExhibitionHall
SponsoredBy:Euroclear
10:00am11:00amPanel:OperationalLeadership:KeyInsightsfor2016andBeyond
OperationalLeadership:KeyInsightsfor2016andBeyond
Thispanelofindustryexpertswilldiscussthecriticaloperationalissuesimpactingtheindustrytoday,aswellasthosethatwill
affectoperationsandtechnologyrolesin2017andbeyond.Panelistswillexplorehowfirmsareimplementingnewregulations
withakeenfocusonoperationalriskmanagementandincreasedoperatingefficiencies.
Moderator:
ChristopherVickery
ManagingDirector&ChiefOperationsOfficer,AmericasandGlobalHeadofEnterpriseDataManagement
NomuraSecuritiesLLC
Panelists:
NormanEaker JosephGuardino
ChiefAdministrativeOfficer ManagingDirector,GlobalHeadofOperations
EdwardD.Jones BankofAmericaMerrillLynch
MichaelHerskovitz MurrayPozmanter
SeniorVicePresident&Partner ManagingDirectorandGeneralManager,SIFMU
AB DTCC
CharlesWinters
ManagingDirector
UBS
11:00am11:50amPanel:T+2Implementation
T+2Implementation
Thispanelofexperts,allactivelyengagedintheindustrystransitiontoT2,willprovidetheirinsightonfirmreadinessandshare
howtheyarelookingatchangemanagementtosupportaconversionfromT3inthethirdquarterof2017.Thesessionwill
providearoadmapforoperationsprofessionalstohelpensureasmoothtransitiontoT2.
Moderator:
RobertWalley
Principal
Deloitte
Panelists:
MichaelJ.Alexander GraemeMcEvoy
President,Wealth&CapitalMarketsSolutions ManagingDirector&GlobalHead,ISGProduct
BroadridgeFinancialSolutions,Inc. Operations
MorganStanley
LouisJ.Rosato,III
Director,InvestmentOperationsGroup
BlackRock
11:50am12:30pmFeaturedSpeaker:TuckerCarlson,Cohost,FOXandFriendsWeekendandEditorinChief,TheDaily
Caller
Today'sPoliticalLandscapeandWhatLiesAheadinthe2016RacefortheWhiteHouse
AnoriginalvoiceinAmericanmedia,veteranjournalistandpoliticalcommentatorTuckerCarlsonsharesinsightfulcommentary,
infusedwithhumorandpassion,abouttodayspoliticallandscape,the2016racefortheWhiteHouseandhowitwillpotentially
affectthefinancialservicesindustry.
TuckerCarlson
Cohost,FOXandFriendsWeekendandEditorinChief,TheDailyCaller
12:30pm02:00pmLuncheonExhibitionHall
02:00pm03:00pmBreakoutSession1:DOL:WhatYouNeedtoKnow
DOL:WhatYouNeedtoKnow
PanelistswilldiscusstheadoptionoftheDOLsFiduciaryrequirement,anditssubstantiveimpactonoperationalprocessesfor
bothbuyandsellsidefirms.Asbusinessmodelsshiftinreactiontothenewrequirements,assetmanagersandwealth
managementfirmswillberequiredtomakesignificantprogrammingandotheroperationalchangesinordertosuccessfully
adapttheirbusinessmodelstothenewparadigmintroducedbytheDOL.
Moderator:
LisaJ.Bleier
ManagingDirectorandAssociateGeneralCounsel
SIFMA
Panelists:
JayHaines DanielR.Kleinman
VicePresident,AssociateGeneralCounsel Partner
FidelityInvestments Morgan,Lewis&BockiusLLP
HansSchemmel ScottStolz
Director,IndividualRetirementProducts,Financial SeniorVicePresident,PrivateClientGroup
Solutions InvestmentProducts
PershingLLC,aBNYMelloncompany RaymondJamesFinancialInc.
02:00pm03:00pmBreakoutSession2:T+2RegulatoryFramework
T+2RegulatoryFramework
ThispanelwillprovidearegulatoryframeworkforT+2,allowingparticipantsandtheirfirmstobetterunderstandwhich
regulationsand,consequently,operationalprocesseswillberequiredtochangeasaresultofthemovetoatwodaysettlement
cycle(T+2)intheU.S.
Moderator:
LeeA.Schneider
Counsel
Debevoise&Plimpton
Panelists:
KoshaK.Dalal GaryL.Goldsholle
AssociateVicePresidentandAssociateGeneral DeputyDirector,DivisionofTradingandMarkets
Counsel U.S.Securities&ExchangeCommission
FINRA
CharlesV.Senatore BarbaraVoute'
ExecutiveVicePresidentandHeadofRegulatory Director,MarketPractices
CoordinationandStrategy MunicipalSecuritiesRulemakingBoard(MSRB)
FidelityInvestments
02:00pm03:00pmBreakoutSession3:CollateralManagement
CollateralManagement
Duringthissession,professionalswillcometogethertodiscussinnovativesolutionstomeettheindustrysevolvingcollateral
managementneeds.Thispanelwillshareinsightsonoperationalprocessesthatmustbegivencarefulconsiderationasfirms
evolvetomorecomputerizedmodelsforbothcollateraloptimizationandtheincreasedvolumeofmargincalls.
Moderator:
ThomasCiulla
Partner
PwC
Panelists:
MarkJennis KyDong
ManagingDirector,StrategyandBusiness SeniorComplexSecuritiesSpecialist,GlobalTrade
Development ServicesGroup
DTCC FranklinTempletonInvestments
ChristopherWalsh
ChiefExecutiveOfficer
AcadiaSoft,Inc.
02:00pm03:00pmBreakoutSession4:FixedIncomeMarketStructure
FixedIncomeMarketStructure
Fixedincomemarketsareinthemidstofadramatictransformation,withelectronificationandtheriseofnewtradingplatforms
reshapingtheentirelifecycleoffixedincometrading.Howwillfirmsreshapetheiroperationstointeractwiththerangeofnew
tradingvenues,andhowcantheyintegratesourcesofmarketdata?Howwillclearanceandsettlementbeimpacted?This
panelbringstogetherrepresentativesfromtradingplatforms,marketdatavendors,andbuyandsellsidefirmstodiscusshow
youshouldbepreparingforthenewfixedincomelandscape.
Moderator:
LouisJ.Rosato,III
Director,InvestmentOperationsGroup
BlackRock
Panelists:
AlistairBrown GaryChan
CoFounderandCEO ManagingDirectorandGlobalHeadofFixed
OpenBondX IncomeSecurities
JPMorganChase&Co.
ElizabethDuggan ChristopherRamirez
ManagingDirector,EvolutionsOrganization VicePresident,TradeOperations
HoldingsCorporation BNYAssetManagementOperations,LLC
InteractiveData
02:00pm03:00pmPartnerWorkshop1:BroadridgeFinancialSolutionsHowOperationsTeamsCanContributetoRevenue
Today
HowOperationsTeamsCanContributetoRevenueToday
Thetraditionallinesbetweenmarketing(revenuegrowth)andoperations(efficiency)areblurringasnewtechnologiesand
changingconsumertrendsconvergeinFinancialServices.Duringthisworkshop,Broadridgewillsharewhatitisseeingamong
itswealthmanagementclients.Hearhowoperationsteamsaretakingtheinitiative,partneringwithintheirorganizationswith
marketingandotherteamstodevelopstrategiestoengagetheircustomerswithdigitalplatformstoretainandgrowAUM.
Operationsexecutivesarelookingatinnovativecommunicationandmarketingtoolsthatutilizenewtechnologiestocreateboth
costefficienciesanddriveleadgenerationforadvisors.Joinusforanengagingdiscussionaboutthesetrendsandhowleading
operationsgroupsareevolvingtomeetthemyriadofstrategicchallengestocontributetogrowthinthenewdigitalfrontier.
TraciMabrey
HeadofWealthSolutionsfortheWealthandCapitalMarketsSolutions
BroadridgeFinancialSolutions,Inc.
02:00pm03:00pmPartnerWorkshop2:ShadowFinancialModerndayPosttradeProcessing
ModerndayPosttradeProcessing
Howdofirmsmodernizetheirposttradeprocessestosatisfynewindustryrequirementsandbudgetpressure?Theoldwaysof
thinkingaboutourindustrynolongerwork.Bettertechnologyisthesavior,notmorepeople.Phasingoutlegacytechnologyis
criticalformeetingbudgetrequirementsandachievingtheimprovedaccuracy,timelinessandadaptabilityneededtosupportnot
onlytodaysmarketsbuttomorrows.Inthissession,wewilldiscussthecharacteristicsofamoderndayposttradeprocessing
systemthatcansatisfynewindustryinitiativessuchastheshortenedsettlementcycle,thecontinuingGRCburdenandever
shrinkingbudgets.
JoeSouth
President
ShadowFinancialSystems
03:00pm03:30pmNetworkingBreakExhibitionHall
03:30pm04:30pmBreakoutSession1:CorporateActions
CorporateActions
Thissessionwillprovidetimelyupdatesonissuesimpactingcorporateactionsin2016.Thediscussionwillincludeafocusonthe
impendingshifttoT+2,andhowitwillaffectbothregulatoryandoperationalprocessespertainingtocorporateactions.
Moderator:
LawrenceConover
VicePresident
FidelityInvestments
Panelists:
VincentBoyle SilvioJoeConte
SeniorVicePresident,GeneralManager,Brokerage HeadofCorporateActionsGroup
Processing NYSE
BroadridgeFinancialSolutions,Inc.
JamesMonahan DanielThieke
ExecutiveDirectorandRegionalHeadofNorth ManagingDirectorandGeneralManager,
AmericaPositionServices Settlement&AssetServices
MorganStanley DTCC
03:30pm04:30pmBreakoutSession2:ConsolidatedAuditTrail2016andBeyond
ConsolidatedAuditTrail2016andBeyond
TheConsolidatedAuditTrail("CAT")wasfirstproposed,followingtheflashcrashin2010,asatooltosignificantlyenhance
regulators'abilitytomonitorandanalyzetradingactivityinthecashandlistedoptionsmarkets.Thispanelincludesanoverview
onthecurrentstateoftheCAT,andprovidesinsightoncriticalaspectsofthesystem,includingdatasecurityimplementation
challengesandtheeliminationofregulatoryreportingsystemsmaderedundantbytheCAT.
Moderator:
EllenGreene
ManagingDirector,FinancialServicesOperations
SIFMA
Panelists:
DaveEmero MauraMiller
VicePresident,RegulatoryOperations Director,EquitiesCompliance
Goldman,Sachs&Co. CreditSuisse
DavidShillman RobertWalley
AssociateDirector,DivisionofTradingandMarkets Principal
U.S.SecuritiesandExchangeCommission DeloitteLLP
03:30pm04:30pmBreakoutSession3:EquityandFixedIncomeClearingUpdate
EquityandFixedIncomeClearingUpdate
ThissessionwillprovideinsightintoanumberofDTCCandindustryinitiativesdesignedtopromotecapitalandcostefficiencies,
regulatorycompliance,andsafetyandsoundnessinthefinancialmarkets.Panelistswilldiscussinnovationstopromotebuyside
clearing,suchasCentrallyClearedInstitutionalTriParty(CCIT),SecuredFinancingTransaction(SFT)andIDClearing,equity
marketstructureriskmitigation,andBulkTransfer.
Moderator:
ThomasSakaris
ManagingDirector,EquityClearingServices
DTCC
Panelists:
SeanDelap JamesHraska
ExecutiveDirector,FixedIncomeClearing GlobalDirectorofSecuredFinancingProduct
DTCC Management
Barclays
BillJ.Kapogiannis PeterMarchewka
VicePresident,EquityClearingProduct Director
ManagementGroup DeutscheBank
DTCC
03:30pm04:30pmBreakoutSession4:FSISACsRoleinEnhancingCybersecurityandResiliencyofBrokerDealersand
AssetManagementCompanies
FSISAC'sRoleinEnhancingCybersecurityandresiliencyofBrokerDealersandAssetManagementCompanies
TheFinancialServicesInformationSharingandAnalysisCenter(FSISAC)playsanimportantroletothebrokerdealerand
assetmanagementcommunitybyprovidinganetworkandforumtounderstandcurrentandemergingcyberandphysicalrisks.
Duringthisinformativesession,learnaboutthemissionandgrowthofFSISAC,threatstotheinvestmentcompanies,effortsto
enhancesecurityandresiliency,andwhybrokerdealersshouldbeinvolved.
Panelists:
JohnCarlson PeterFalco
ChiefofStaff DirectorofBrokerDealerServices
FinancialServicesInformationSharingandAnalysis FinancialServicesInformationSharingandAnalysis
Center Center
03:30pm04:30pmPartnerWorkshop1:BroadridgeTransformingthePostTradeOperatingModel
APanelDiscussionwithCapitalMarketsParticipantsandCelent:TransformingthePostTradeOperatingModel
Capitalmarketsfaceanongoingwaveofregulatoryandeconomicchallengesthathaveagrowingimpactonprofitability.Post
tradeprocessingcontinuestobeanareaofhighcostandcomplexity.Tooptimizeforbusinessagility,operationalefficiencyand
costmutualization,investmentbankscontinuetoevolvetheirposttradeoperationsandexplorenewoperatingmodelsutilizing
managedservices,technologyservicesandutilityapproaches.Gainnewperspectivesfromourpanel,comprisedofoperations
andtechnologyexecutivesandanalysts,whowillsharetheirperspectivesonposttradeoptimizationstrategies.
ChristopherJ.Perry ArinRay
PresidentofGlobalSales,MarketingandSolutions Analyst,GlobalFinancialServicesSecurities&
BroadridgeFinancialSolutions,Inc. Investments
Celent
03:30pm04:30pmPartnerWorkshop2:ThomsonReutersDeliverCostEffectiveOperationalExcellence
DelivertheOperationalExcellenceyourWealthManagementClientsDeserve...CostEffectively
WealthManagerscontinuetolaborundermountingpressures.Withincreasedcompetition,downwardpressureonfeesand
continuallyescalatingregulatoryburdens,manyfirmsarestrugglingtoincreasenewassetswhilemaintainingandimproving
operatingmargins.TheneedtocosteffectivelydeliverOperationalExcellencehasneverbeenhigher.Thisworkshopwillfirst
defineOperationalExcellencewithastrongfocusoncollaborationpoints'endtoend'.
Theworkshopwillthenproceedthroughthreefocusareas:
1.StraightThruProcessing(STP)usingaclientonboardingexample.
2.Efficientexceptioncaptureandremediation.
3.Sharedservicesfocusingonthethirdgenerationutilitymodel.
RandyBarnes MarkBerkhahn
Director,ProductManagement HeadofProductManagementBetaHost
ImpactFinancialSystems ThomsonReuters
RonKoenig SudeepNadkarni
HeadofWealthPropositions HeadofBrokerage&Wealth,BusinessProcess
ThomsonReuters Services
MphasisLimited
04:30pm06:00pmNetworkingReceptionExhibitionHall
WEDNESDAY,MAY4
07:15am08:30amContinentalBreakfastExhibitionHall
08:30am1:00pmGeneralSession
08:30am08:40amWelcomeRemarks
KennethE.Bentsen,Jr.
President&CEO
SIFMA
08:40am09:05amFeaturedSpeaker:LisaDolly,Pershing,aBNYMelloncompany
MoveForward,orBeLeftBehind
Ms.Dollywillshareinsightsontheevolvingfinancialandregulatorylandscape,andhowwecantransformourbusinessand
shapeourindustryforthefuture.
LisaDolly
ChiefExecutiveOfficer
Pershing,aBNYMelloncompany
09:05am09:30amFeaturedSpeaker:MicheleTrogni,Markit
TheSolutionsRevolution:
Howbigdata,techinnovationandcollaborationaredisruptingoperationsinfinancialservices.
MicheleTrogni
ManagingDirectorandCoHead,Solutions
Markit
09:30am09:50amAConversationwiththeSECsDirectorofTradingandMarkets
AConversationwiththeSEC'sDirectorofTradingandMarkets
Duringthisinformativeconversation,Mr.LuparellowillsharehisviewsoncriticalissuesconfrontingtheSEC.
IraD.Hammerman StephenL.Luparello
ExecutiveVicePresidentandGeneralCounsel Director,DivisionofTradingandMarkets
SIFMA U.S.SecuritiesandExchangeCommission
09:50am10:40amPanel:TheRegulatoryLandscape
TheRegulatoryLandscape
Thispanelofseniorregulatoryleaderswilldescribecomplexinitiativesfacingthefinancialservicesindustryin2016andbeyond.
Moderator:
IraD.Hammerman
ExecutiveVicePresidentandGeneralCounsel
SIFMA
Panelists:
RobertL.D.Colby LynnetteKelly
ChiefLegalOfficer ExecutiveDirector
FINRA MSRB
ScottKursman StephenL.Luparello
ManagingDirector,HeadofPolicyandRegulatory Director,DivisionofTradingandMarkets
ICGCompliance U.S.SecuritiesandExchangeCommission
CitigroupGlobalMarkets
10:40am11:00amNetworkingBreakExhibitionHall
11:00am11:25amFiresideChatwithChristopherChurch
Blockchain:OperationsMeetsFintechInnovation
Thepotentialimpactofblockchainonmarketstructureandtechnologicalevolutioninthefinancialmarketsiswellcovered.Along
withthatevolutionistheopportunityforgrowthandevolutioninthebackoffice.Duringthissession,DigitalAssetHoldingsChris
Churchwillexplainsomeoftheopportunitiesandbenefitsofthisinnovativetechnologywithinthebackoffice.
ChristopherChurch MichaelJ.Alexander
ChiefBusinessDevelopmentOfficer President,Wealth&CapitalMarketsSolutions
DigitalAssetHoldings BroadridgeFinancialSolutions,Inc.
11:25am12:15pmPanel:TheIntersectionofBlockchainandFinancialServices
TheIntersectionofBlockchainandFinancialServices
Blockchaintechnologyhasthepotentialtoradicallyreshapesecuritiesindustryprocessesandmarketsbuthowshouldfirms
applythisnewtechnology?Thispanellooksatwhatfirmsshouldbedoingtoimplementblockchainprojects,includingthe
operations,compliance,regulatoryissuesthatneedtobeaddressedandhowdistributedledgerscanintegratewithexisting
processesandtechnology.
Moderator:
EmmanuelAidoo
Director
CreditSuisse
Panelists:
JacobFarber GrainneMcNamara
GeneralCounsel Principal
R3CEV PwC
MarcoA.Santori
Partner
PillsburyWinthropShawPittmanLLP
12:15pm01:00pmBreakoutSession1:ChallengesandOpportunitiesFacingPrivateClientOperations
ChallengesandOpportunitiesFacingPrivateClientOperations
ThisbreakoutsessionwillfeatureindustryleadersinPrivateClientoperationsprovidinginsightonthediversemosaicof
regulatoryandtechnologychallengesinthisspace.Expertswillsharetheirthoughtsontheevolvingoperationalenvironment,
includingtheconvergingregulatoryandtechnologyinitiativesthatwillaffecttheirfirms.Initiativestobediscussed:Departmentof
LaborsproposedFiduciaryStandard,themovetoaShorterSettlementCycle,ElectronicCommunicationwithclients,
increasingdatademandsofregulators(forexample,theConsolidatedAuditTrail,FINRApreexamdatacollection),andmore.
Moderator:
ThomasGiacalone
ManagingDirector,HeadofAmericasOperations
UBS
Panelists:
PaulBray PhilipKolb
ChiefRiskOfficer ManagingDirector,InvestorProductOperations
AmeripriseFinancial MorganStanley
LisaRosenbaum TonyaBelfieldTyson
VicePresident&AssociateGeneralCounsel ManagingDirector,ChiefOperationsOfficer
FidelityInvestments BB&TSecurities
12:15pm01:00pmBreakoutSession2:ImpactofCapitalChargesontheOptionsIndustry,andOtherOperationalEfficiencies
DeliveredbyOCC
ImpactofCapitalChargesontheOptionsIndustry,andOtherOperationalEfficienciesDeliveredbyOCC
SeniorrepresentativesfromOCCandclearingmemberfirmswilldiscussthebankrequirementsandOCCsliquidityfacilities,
andwhattheymeanformarketmakerclearing.Thissessionwillalsoaddressotherchangesintheoptionsclearinglandscape.
Moderator:
WilliamSpeth
VicePresident,Research
CBOE
Panelists:
DanBusby KristenWells
FirstVicePresident,BusinessOperationsand VicePresident,EnterpriseRiskManagement
Controls TheOptionsClearingCorporation
TheOptionsClearingCorporation
12:15pm01:00pmBreakoutSession3:TheNextBigThinginInvestmentManagementOperations
TheNextBigThinginInvestmentManagementOperations
Theassetmanagementindustryisfacingmorechallengesthanever:feeandmarginpressures,regulatorychangecompliance,
andincreasedcyberincidentrisk,amongothers.Thispanelwilldiscussthefutureofinvestmentmanagementoperations,the
potentialofdisruptivetechnologiestochangetheoperationallandscape,andthedegreetowhichfirmsarelookingintothenext
bigthing.Thissessionwillalsodiscusshowoperationswilladdvaluegoingforward,theroleofoperationswithinan
organizationinthefuture,andthesolutionsthatparticipantswouldusetomeettodayschallengesiftherewerenoimpediments.
Moderator:
JoshuaSatten
Director,BusinessConsulting&Architecture
Sapient
Panelists:
MichaelHerskovitz JesseD.Robinson
SeniorVicePresident&Partner VicePresident,Investment&RegulatoryOperations
AB GEAssetManagement
LouisJ.Rosato,III JeffreyT.Zoller
Director,InvestmentOperationsGroup VicePresident
BlackRock T.RowePriceAssociates,Inc.
12:15pm01:00pmBreakoutSession4:UnclearedMarginRegulatoryInitiative
UnclearedMarginRegulatoryInitiative
Thispanelwillprovideanoverviewofthenewunclearedmarginrulesandwhattheexpectedimpactsare.Thesessionwill
includerepresentativesfromtwoWave1dealers,tripartyandthirdpartycustodians,whowillsharetheirperspectiveand
discusstheroadahead,includingthetimelineofkeymilestonesbetweennowandtheSeptember1stimplementation.Panelists
willalsoprovideabriefpreviewofWave2.
Moderator:
EdwardCorral
ManagingDirector
MorganStanley
Panelists:
DominickF.Falco JohnGraham
ManagingDirector DirectorSales,DerivativesClearing
BNYMellon BNPParibas
WilliamMurphy ThomasJ(TJ)Rance
SeniorVicePresident,FixedIncomeOperations VicePresident,CollateralManagement
HSBC JPMorganChase
PaulRanieri
VicePresident,TreasuryOperations
Nomura
12:15pm01:00pmPartnerWorkshop1:KinglandSystemsCorporationAdvancementsinLegalEntityDataQuality
AdvancementsinLegalEntityDataQuality
Legalentitydataisoneofthetopareasoffocusinmanydataprogramsthroughouttheindustryduetothecriticalityforrisk,
regulatoryreporting,andoperations.Legalentitydatainlegacysystemsisastillasignificantchallengethatcanleadtocostly
projects,errors,andunnecessaryrework.Inthisworkshop,diveintothedetailsoflegalentitydataandsomeofthebest
practicesonhowtoidentifydataqualityissuesandproactivelymanagelegalentitydataquality.Thisinteractionworkshopwill
focusontopicsincludingduplication,industryclassification,hierarchymanagement,specialentitytypes,globalizationissues,
andmanymoretopics.BringwithyoualistofissuestodiscusswithTonyBrownlee,industryexpertinlegalentityandhierarchy
datafromKingland.
TonyBrownlee
Partner
KinglandSystemsCorporation
12:15pm01:00pmPartnerWorkshop2:AmazonWebServicesAutomatingComplianceintheCloud
AutomatingComplianceintheCloud
Intodaysevolvingregulatorycompliancelandscape,governance,riskandcontroloftechnologyiscriticalfortheperformanceof
anyassurancemanagementprocess.Butwithalltheregulatoryrequirements,incomingandoutgoingdata,andbusiness
obligationsaFinancialServicesorganizationhastomanage,anITdepartmentcanonlyefficientlysupportthenumerousand
detailedauditdemandsthroughtheimplementationofanautomationprogramforcompliance.
Automatingyourcompliancefunctionisatwotierendeavor:
1.Implementtheappropriateinfrastructureandconfigurationsettingstoconstantlyupdateyourcloudenvironmentsothatitis
uptodate,accordingtoyourdesiredsecuritystandards.
2.Automateyourmonitoringcapabilitiestogenerateanddeliverrealtimenotificationsofconfigurationchangesandevents.
Thiswillenableacomprehensiverealtimeviewofyourenterpriserisks.
Automatingupdatesandrealtimenotificationswillhelptakehumanerroroutofyourcompliancefunctionsanddemonstrate
goodgovernanceofyourbusinessanditsassets.Inthissession,AWSwillsharebestpracticesaroundinfrastructuredesign,
andconfigurationsetupandmonitoringtobolsteryourcomplianceoperatingmodel.
JodiScrofani
FinancialServicesComplianceStrategist
AmazonWebServices
01:00pm03:00pmLuncheonExhibitionHall
09:30pm11:30pmAfterHoursReception
SponsoredBy:FidelityInvestments
THURSDAY,MAY5
08:00am11:00amGeneralSessionwithBreakfast
08:15am08:40amFeaturedSpeaker:JJKinahan,TDAmeritrade
Marketsin2016
JJKinahan,ChiefStrategistatTDAmeritrade,willtakealookatwhathashappenedinthecrazyyearof2016sofar:howit
hasaffectedtrading,andhowallthequestionsregardingChina,TheFedaswellastheupcomingelectionswillimpactthe
remainderoftheyearandbeyond.Thissessionwillalsoaddressanynewlistedproductsorareasofinterestthatmayaffect
tradingaswemoveforward.
JJKinahan
ChiefStrategistandManagingDirector,MarketStructureStrategyandClientAdvocacy
TDAmeritrade
08:40am09:05amFeaturedSpeaker:StephenOrban,AmazonWebServices
EnablingFinancialServicesEnterpriseITintheCloud
Sincepioneeringcloudcomputingin2008,AmazonWebServices(AWS)haslearnedalotaboutwhatenterpriseshavedoneto
meaningfullyadoptthecloudtobenefittheirbusinesses.StephenOrban,GlobalHeadofEnterpriseStrategyatAWS,will
presentapatternthathasemergedinenterprises,bothorganizationallyandarchitecturally,andtheriskmanagement
considerationstokeepinmindwhenaddressingsecurityandcomplianceissuesrelatedtocloudadoption.
StephenOrban
GlobalHeadofEnterpriseStrategy
AmazonWebServices
09:05am09:30amFeaturedSpeaker:TraciMabrey,BroadridgeFinancialSolutions
AdviceinaRewiredWorld:PreparingfortheNextGenerationofInvestors
Millennialswillchangethebusinessofadviceasweknowit.Informationondemand,experienceandexpectationsforadvice
deliverywillrequireinnovativeoperatingmodels.Understandhowtoutilizesmartdatastrategiesandtransformational
technologytosucceedinthisnewmodelofadvice.
TraciMabrey
HeadofWealthSolutionsfortheWealthandCapitalMarketsSolutions
BroadridgeFinancialSolutions,Inc.
09:30am10:15amPanel:Cybersecurity:OperationalPreparednessforRiskReductionandMeetingRegulatoryExpectations
Cybersecurity:OperationalPreparednessforRiskReductionandMeetingRegulatoryExpectations
During2016,regulatorsplantoexpandtheiralreadykeenfocusonhowfirmsareapproachingcybersecurityriskmanagement,
includinggovernancestructures,processesforconductingriskassessmentsandhowfirmswillrecoverfromattacks.This
sessionwillfeatureexpertswhowilldiscussbestpracticesthatcanhelpfirmsreducetheircyberriskandatthesametime
preparefortheupcomingregulatoryexams.
Moderator:
KarlSchimmeck
ExecutiveDirector,Technology&InformationRisk
MorganStanley
Panelists:
TimothyMathias VincenteMartinez
VicePresidentandHeadofInformationSecurity Chief,OfficeofMarketIntelligence,Enforcement
Architecture,ConsultingandEngineering Division
ThomsonReuters U.S.Securities&ExchangeCommission
WilliamJ.Wollman
ExecutiveVicePresident,RiskOversightand
OperationalRegulation
FINRA
10:15am11:00amPanel:TheEverShiftingParadigmofOperationalRiskManagement
TheEverShiftingParadigmofOperationalRiskManagement
Managingoperationalriskcontinuestointroducenewcomplexitiesforfirms,aconsequenceofshiftingregulatoryrequirements
andincreasingdependenciesonthirdparties.Withtodaysheightenedinterestinoperationalrisk,financialinstitutionsmust
proactivelyevaluaterisk,adjustoperationsandreactinastrategicmannerthatappropriatelylimitsrisk.Duringthissession,
expertswillprovideinsightsandrecommendations,equippingtheaudiencewithtakeawaystobringbacktotheirfirms.
Moderator:
DietmarSerbee
Partner
PwC
Panelists:
StuartBowers JosephColaizzo
President PrincipalHeadofEnterpriseRiskManagement,
DSTBrokerageSolutions InternationalAmericasRegion
Vanguard
DanielHu D.ToddSullivan
Partner,CapitalMarkets ManagingDirector,OperationsDivision
Capco MorganStanley
11:00amConferenceAdjourns