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April 29 – May 2, 2007
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Evolution or Revolution
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All topics and speakers are subject to change
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Sunday, April 29, 2007
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7:30 a.m.
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Golf Tournament –
Falcons Fire Golf Course
Sign-up form
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12:00 p.m. – 6:00 p.m.
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Registration –
Osceola Ballroom Foyer Level
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2:00 p.m. – 3:30 p.m.
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Special Session for New Attendees and New Managers –
Osceola 1-2, Ballroom Level
Introduction
to SIFMA goals, Operations Committee members and activities. Also includes an
overview of the resort property.
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Separate registration required: email name and contact
information to Theresa Andino at tandino@sifma.org
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Noland Cheng
Chairman, Operations Committee
Managing Director
Morgan Stanley
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John D. Panchery
Vice President & Managing Director, Operations &
Technology
Securities Industry and Financial Markets Association
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Bill Facella
Assistant Director of Convention Services
Gaylord Palms Resort and Convention Center
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5:00 p.m. – 7:00 p.m.
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Welcome Reception & Entertainment –
Piazza/South Beach Pool
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Monday, April 30, 2007
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8:00 a.m. – 8:30 a.m.
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Continental Breakfast –
Osceola Ballroom Foyer, Ballroom Level
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8:30 a.m. – 9:45 a.m.
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General Session –
Osceola Ballroom A/B, Ballroom Level
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Opening Introductions
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Thomas Ferlazzo
Chairman, Operations Conference
Executive Director, Operations
UBS
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SIFMA Report
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Ellyn McColgan
Co-Chair, SIFMA Board of Directors
President, Distribution and Operations
Fidelity Investments
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Ms. McColgan will present the SIFMA Board priorities and
review the direction for the new trade association.
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Operations Committee Update
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Noland Cheng
Chairman, Operations Committee
Managing Director
Morgan Stanley
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Mr. Cheng will discuss the current Committee focus and
initiatives that are impacting securities operations.
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DTCC: A Look Ahead
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Donald F. Donahue
President & CEO
Depository Trust & Clearing Corporation
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Mr. Donahue will report on DTCC’s strategic domestic and
international plans.
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9:45 a.m. – 10:45 a.m.
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Workshops
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Cost Basis Reporting –
Osceola 1-3, Ballroom Level
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Panel:
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Ellen Bocina
Vice President
Fidelity Investments
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Bill Kapogiannis
Director
Depository Trust & Clearing Corporation
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Brian Godfrey
Director, Operations
Charles Schwab & Co., Inc.
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This panel will provide an industry
perspective on the proposed legislation for firms to report
clients’ cost basis information. The impact on operations and the challenges
that lie ahead, along with the potential scope of this implementation will
also be discussed.
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Clearing & Introducing Firms in an Evolving Regulatory
& Operational Environment –
Osceola 4-6, Ballroom Level
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Panel:
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William C. Alsover
Chairman
Centennial Securities Company LLC
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Anand K. Ramtahal
Vice President
NYSE Regulation, Inc.
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Lisa Rosenbaum
Chairperson, SIFMA Clearing Firms Committee
Senior Vice President, Senior Attorney-Clearing &
Operations
Wachovia Securities
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Garry J. Stegeland
Executive Vice President & General Counsel
Ryan Beck & Co., Inc
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Representatives from a Regulator, Clearing Firm, Small
Firm, and Regional Firm will explore the facets of the current Clearing
Firm/Introducing Firm relationship, including the impact of recent regulatory
and operational developments. Topics to be covered in this discussion
include: harmonization of NYSE/NASD rules covering clearing arrangements;
bulk transfers of accounts; AML; and OATS reporting.
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The Revolution in Corporate Governance and Proxy Processing –
Tampa, Ballroom Level
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Panel:
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Noland Cheng
Chairman, SIFMA Operations Committee
Managing Director
Morgan Stanley
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Richard J. Daly
Chief Executive Officer
Broadridge Financial Solutions, Inc. (formerly ADP Brokerage
Services Group)
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Michael Finck
President, SIFMA Corporate Actions Division
Managing Director
Bank of New York
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Betsy Murphy
Chief, Office of Rulemaking, Division of Corporate Finance
SEC
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Annemarie Tierney
Assistant General Counsel
NYSE Euronext
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The impact on firms of the SEC rule regarding the Internet
availability of proxy materials will be discussed as well as the NYSE Working
Group rule to eliminate discretionary voting. The Corporate Actions Division
will also provide an update on their future initiatives.
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Microsoft - How
Technology Helps the Industry’s Productivity and Efficiency –
Gainsville, Ballroom Level
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Microsoft provides a broad software technology platform
that customers and partners leverage when building industry-specific
solutions. For Securities and Capital Markets firms, Microsoft and their
partners deliver solutions that support teamwork and collaboration; foster
compliance; provide information visibility; enable process excellence; help
people work anytime, anywhere; and facilitate insights. Additionally,
Microsoft products directly and closely align with the needs of the Financial
Services industry, including BizTalk Server 2006 and BizTalk Accelerator for
SWIFT, Windows Compute Cluster Server (CCS) 2003, Excel 2007 Client, and
Excel Services in Office SharePoint Server 2007. This workshop will
discuss these products and how Microsoft technology is changing the
Securities and Capital Markets industry.
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Broadridge Financial Solutions, Inc. - Reference Data
Management – How is the Financial Industry performing? –
Naples 2-3, Ballroom Level
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Panel:
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Michael Atkin
Managing Director
Enterprise Data Management Council
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David Gertler
Associate Partner
IBM Business Consulting Services
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Tim Lind
Senior Vice President of Product Strategy
GoldenSource
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Larry Tabb
Founder and CEO
TABB Group
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Please join us for a stimulating and interactive
discussion on the status of Reference Data in the Financial Services
Industry. As the industry is aware,
today’s challenges include enterprise-wide data consistency, reduction of
manual processes, data quality and many more. The panel discussion will
convey current views on the status of quality reference data in the
industry. The points of view will
include those of a research firm, an industry council, a consulting services
provider and a software company. Come
prepared to ask your difficult questions and receive answers from our panel
of experts.
In Spring, 2007, the entire Brokerage Services Group
division became an independent, publicly traded company after being spun-off
from ADP. Broadridge now provides a singular focus on powering higher levels
of efficiency and compliance for the financial services industry.
www.broadridge.com
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10:45 a.m. – 11:00 a.m.
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Networking Refreshment Break – In Workshop Rooms
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11:00 a.m. – 12:00 p.m.
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Workshops
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Options Evolution: Symbology Changes & Penny Quotations –
Osceola 1-3, Ballroom Level
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Panel:
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Mark Baumgardner
Vice President
Options Clearing Corporation
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Christopher Nagy
Managing Director, Order Routing, Sales and Strategy
TD Ameritrade
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Walter Roesch
Director, US Clearing Services
Merrill Lynch
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Bruce Smith
Vice President, Technology Strategic Planning
Philadelphia Stock Exchange
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Significant changes lie ahead for the Options world in
regard to penny quotations and a new symbology. This workshop will provide
the most recent information on these events and what your firm needs to do in
order to get ready for their implementation.
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Derivatives Processing & Support –
Osceola 4-6, Ballroom Level
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Panel:
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Frank De Maria
Global Head of Derivative Client Services & Operations
Merrill Lynch
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Joseph W. Sack
Executive Vice President, Asset Management Group
Securities Industry and Financial Markets Association
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James P. Wallin
Senior Vice President
AllianceBernstein L.P.
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Janet Wynn
Managing Director
Depository Trust & Clearing Corporation
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This session will discuss the trade, clearance and
settlement processes for the various derivative products. The panel will
review the evolution of the processing and support of these products.
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Operational Peaks: Managing Your Infrastructure –
Tampa, Ballroom Level
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Panel:
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Michael Calandra
Executive Director, Global Head of Settlement Operations
Morgan Stanley
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Norman Eaker
Principal, Operations
Edward Jones
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Jill Godsey
Vice President, Operations Service Strategy
Implementation
Charles Schwab & Co., Inc.
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Robert McBey
COO
Southwest Securities Inc.
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This panel will discuss how firms prepare and respond to
seasonal or unexpected events that challenge a firm’s ability to effectively
manage volume fluctuations. Advice on how to develop long-term strategic
solutions to these events will also be presented.
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Broadridge Financial Solutions, Inc. - Digital Imaging and
Electronic Management Solutions-
Are your documents managing you? -
Naples 2-3, Ballroom Level
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Glenn Gurgul
Vice President
Broadridge Financial Solutions, Inc.
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In brokerage operations, business runs on the exchange
of information - both structured and unstructured, making the need to easily
manage all your documents in an SEC compliant manner a necessity. Companies are often challenged to compose,
capture, store and redistribute many forms of data from disparate systems
with varying service levels and regulatory needs.
Imagine storing, managing and delivering information
digitally rather than physically, streamlining all your business processes
and communications, and fundamentally changing cost structures through the
elimination and digitization of paper.
Challenge:
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Deliver integrated, online access to millions of
pages of financial statements and portfolio data while maintaining regulatory
compliance.
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Build archival and retrieval systems for customer
account information across multiple channels.
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Manage millions of pages per month.
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Deliver Statements and other investor communications
online via the web.
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Access to historical reports at your fingertips.
Solution:
Broadridge’s comprehensive Document Management Solutions
Come join the leader in brokerage process automation for
this enlightening workshop!
In Spring, 2007, the entire Brokerage Services Group
division became an independent, publicly traded company after being spun-off
from ADP. Broadridge now provides a singular focus on powering higher levels
of efficiency and compliance for the financial services industry.
www.broadridge.com
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DST Output – Firms are spending too much on postage –
Gainsville, Ballroom Level
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Debbie Newell
Director, Product Management
DST Output
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Mury Salls
Senior Vice President
DST Mailing Services
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Firms can spend upwards of 50% of their statement
delivery budget on postage. DST Output,
the nation’s largest third party First ClassTM mailer and an
integrated print and electronic document provider, wants to help firms better
manage delivery costs.
You’ll leave this informative workshop with actionable,
cost-saving ideas on the following topics:
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How to take best advantage of the upcoming postal
rate increases. Strategies to
offset the impact of these increases, such as mailpiece size reduction and
improved address quality, will be discussed.
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How to leverage new USPS® technologies. We’ll next move to the future – the Intelligent Mail® bar code. What is it, and what does it mean for your
firm?
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Beyond paper.
Convert your investors to electronic delivery by offering them a
better user experience with a new email option. Then, deliver broker copies via encrypted CD/DVD to tighten up
your data security on portable media.
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12:00 p.m. – 2:00 p.m.
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Exhibit Hall Buffet Lunch –
Osceola C/D Ballroom Level
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Note: Flat Panel 32” HDTV to be raffled off during
exhibit hours. Open to conference registrants only. (Must be present to win.)
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2:00 p.m. – 3:00 p.m.
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General Session –
Osceola A/B , Ballroom Level
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SEC Report
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The Honorable Paul S. Atkins
Commissioner
Securities and Exchange Commission
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Washington Comes to Florida
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Richard Hunt
Senior Managing Director, Government Relations
Securities Industry and Financial Markets Association
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Richard Hunt will provide a beltway’s perspective on the
legislative climate in Washington and the impact government policies will
have on the financial services industry. He will also candidly assess the
2008 Presidential race.
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3:00 p.m. – 3:15 p.m.
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Networking Refreshment Break –
Osceola Ballroom Foyer, Ballroom Level
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3:15 p.m. – 4:15 p.m.
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The Evolution Of A Globally Designed Organization: Myth or
Reality
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Moderator:
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Douglas Butler
Americas Financial Markets Leader
IBM Global Business Services
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Panel:
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Jon Ambos
Director, Head of
Transaction Processing
Deutsche Asset Management
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Nyron Latif
Managing Director, Equities Operations
Goldman Sachs
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Larry Tabb
Founder & CEO
TABB Group
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Within an increasingly global environment, firms must
rethink the way in which their organizations are designed in order to remain
competitive. Leading organizations
will learn how to capture global profits by tapping into geographically
dispersed and dynamically changing pools of innovation, talent and alliances. The basis for the panel discussion will
include:
1. Why designing a global organization is important now.
2. How organizations should be designed differently to
take advantage of an increasingly global environment.
3. The largest challenges that organizations must
overcome.
4. How you manage change at the global level versus a
regional or national level.
5. Examples of best practices and what the benefits are.
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4:15 p.m. – 6:15 p.m.
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Exhibit Hall Reception –
Osceola C/D Ballroom Level
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Note: Flat Panel 32” HDTV to be raffled off during
exhibit hours. Open to conference registrants only. (Must be present to win.)
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Tuesday, May 1, 2007
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8:00 a.m. – 8:30 a.m.
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Continental Breakfast –
Osceola Ballroom Foyer, Ballroom Level
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8:30 a.m. – 10:00 a.m.
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General Session –
Osceola A/B, Ballroom Level
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Regulatory Panel
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Moderator:
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Michael Jamroz
Partner
Deloitte & Touche LLP
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Panel:
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Robert L.D. Colby
Deputy Director, Division
of Market Regulation
SEC
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Harold L. Johnson
Deputy General Counsel
MSRB
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Grace B. Vogel
Executive Vice President, Member Firm Regulation
NYSE Regulation, Inc.
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This panel of senior regulators will provide an overview
of recent rulemaking efforts, the latest news on the consolidation of the
NASD and NYSE Regulation and the implications for member firms.
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10:00 a.m. – 11:00 a.m.
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Workshops
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Account Transfers - Exceeding Client Expectations –
Osceola 1-3, Ballroom Level
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Panel:
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John Cusumano
Director of PWM Operations
Mellon
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Bill Kapogiannis
Director
Depository Trust & Clearing Corporation
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Kevin McCosker
Vice President
Pershing LLC
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Kristie Thompson
Manager
Edward Jones
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Significant changes are occurring in the transfer
industry that will have a major impact to the broker dealer, bank and mutual
fund industry. This panel of experts from the Customer Account Transfer
Division will discuss the changes you can expect such as the new three-day
ACATS cycle, ACATS liquidations, Mutual Fund Companies on ACATS and ACATS for
bulk transfers, to name a few.
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Written Supervisory Controls & Procedures for Operations
(Repeated) –
Osceola 4-6, Ballroom Level
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Panel:
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Joseph Colaizzo
Senior Manager, Operations
Vanguard Brokerage Services
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Bari Havlik
Chief Compliance Officer
Charles Schwab & Co., Inc.
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Marilyn Hignett Stern
Principal, Capital Markets – Risk Technology &
Operations
Deloitte & Touche LLP
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Marlo L. Karp
Partner
Deloitte & Touche LLP
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This workshop will provide an overview of the required
procedures as well as insight into potential areas of focus for regulators.
In addition, the workshop panel will include industry experts who will
address the pitfalls in implementing procedures, the ongoing maintenance of
the procedures, and governance issues in working with the compliance area on
these matters. Finally, the panel will address the creation of a new
functional area within many firms, the “Operations Control Group,” responsible
for the control and quality assurance of adherence to regulatory
requirements.
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Solutions for Offshoring & Outsourcing Challenges –
Tampa, Ballroom Level
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Panel:
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Adam Behar
General Counsel
ADP Clearing & Outsourcing Services, Inc.
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Cheryl Geremia
Managing Director, COO
Deutsche Bank Securities Inc.
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Grace B. Vogel
Executive Vice President, Member Firm Regulation
NYSE Regulation, Inc.
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This panel will review the recent regulatory initiatives
in outsourcing. Discussions will include how to prepare for the new
environment and how outsourcing to affiliates is impacted.
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Bear Stearns Pricing Direct - Operational Controls in the Valuation of Fixed Income and Derivative Securities –
Gainsville, Ballroom Level
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This workshop will discuss the intricate valuation
process for fixed income and derivative securities. The tremendous growth in the derivative market and
significant regulatory requirements has made this process more challenging to
manage. It will deliberate FAS 157 and
SAS 70 with regard to the valuation process.
We will present appropriate controls and procedures to ensure mark to
market valuations in a dynamic market environment.
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11:00 a.m. – 11:15 a.m.
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Networking Refreshment Break – In Workshop Rooms
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11:15 a.m. – 12:15 p.m.
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Workshops
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MBS Central Counterparty: Creating The Future –
Osceola 1-3, Ballroom Level
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Panel:
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Frank Malarkey
Director
Credit Suisse
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Eric Miller
Director
Citadel Solutions
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Dennis Paganucci
Director
Depository Trust & Clearing Corporation
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Murray Pozmanter
Managing Director, Fixed Income Product Management
Depository Trust & Clearing Corporation
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Panelists will examine FICC’s initiative to guide the
evolution of its mortgage-backed securities service into a risk-reducing
central counterparty structure. Includes perspectives from both the
buy-and sell-side on the impact, challenges and benefits of creating a
central counterparty for MBS.
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Written Supervisory Controls & Procedures for
Operations
– Osceola 4-6,
Ballroom Level
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Panel:
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Joseph Colaizzo
Senior Manager, Operations
Vanguard Brokerage Services
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Bari Havlik
Chief Compliance Officer
Charles Schwab & Co., Inc.
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Marilyn Hignett Stern
Principal, Capital Markets – Risk Technology &
Operations
Deloitte & Touche LLP
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Marlo L. Karp
Partner
Deloitte & Touche LLP
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This workshop will provide an overview of the required
procedures as well as insight into potential areas of focus for regulators.
In addition, the workshop panel will include industry experts who will
address the pitfalls in implementing procedures, the ongoing maintenance of
the procedures, and governance issues in working with the compliance area on
these matters. Finally, the panel
will address the creation of a new functional area within many firms, the
“Operations Control Group,” responsible for the control and quality assurance
of adherence to regulatory requirements.
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Hedge Funds: Operational Risk Considerations –
Naples 2-3, Ballroom Level
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Panel:
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Brian Ruane
Executive Vice President, Banks, Broker/Dealers and Hedge
Funds Group
Bank of New York
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Michael R. Butowsky
Partner
Mayer, Brown, Rowe & Maw LLP
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Brian Dawson
Managing Consultant
PA Consulting Group
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Simon Fludgate
Principal, Operational Due Diligence and Risk
Aksia Research & Management LLC
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With approximately $2 trillion in assets allocated to
hedge funds today, Operational Risk Considerations and the necessary
oversight for managing alternative investments have taken center stage in the
financial services industry. The
demand for hedge fund choices by both the high net worth and the
institutional investor have increased significantly over the past few years,
continually challenging current operational risk management thinking. This panel, composed of seasoned hedge
fund industry professionals, will address the evolution of operations
exposure in the alternative investment world and the best practices necessary
for administering future growth.
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ID Netting / An Introduction to the Next Step in Settlement –
Tampa, Ballroom Level
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Panel:
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Richard Curran
Managing Director
Credit Suisse Securities
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Thomas K. McCarthy
Managing Director
Depository Trust & Clearing Corporation
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Tom Sakaris
Director
Citigroup Global Markets Inc.
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For over 30 years, netting of “street side” trades has
been a proven benefit to our industry with a 98% netting factor reducing
costs and bringing dramatic efficiency to clearance and settlement. During
that same timeframe the efficiency of netting has eluded the “buy-side”
process. DTCC is introducing the ability for the dealer side of an
institutional trade to “net” while maintaining the integrity of the
institutional DVP. Industry representatives and DTCC staff will discuss the
business reasons for this expanded use of netting and provide a transaction
flow demonstrating the enhanced process that will be introduced in the fourth
quarter of this year.
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Scivantage - Tax Compliance: The Changing
Environment of Cost Basis Reporting –
Gainsville, Ballroom Level
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Moderator:
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Adnane Charchour
President and CEO
Scivantage
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Panel:
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Cameron Routh
Senior Vice President, Strategic Products
Scivantage
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Ted Jahn
Executive Director
Morgan Stanley
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Greg Vigrass
President
FOLIOfn Institutional
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A panel discussion offering insight into the changing
environment of cost basis reporting and what the proposed legislation,
requiring financial institutions to report detailed cost basis information,
may mean for your firm and your clients. Moderated by Scivantage, this
industry panel will explore the potential impact of the proposed legislation,
highlight the ever-changing demands of the retail investor and
discuss new technologies designed to help financial institutions
meet the anticipated requirements.
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12:15 p.m. – 2:15 p.m.
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Exhibit Hall Buffet Lunch –
Osceola C/D, Ballroom Level
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Note: Flat Panel 32” HDTV to be raffled off during
exhibit hours. Open to conference registrants only. (Must be present to win.)
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Wednesday, May 2, 2007
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8:00 a.m. – 8:30 a.m.
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Continental Breakfast –
Osceola A/B, Ballroom Level
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8:30 a.m. – 9:45 a.m.
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General Session –
Osceola A/B, Ballroom Level
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Industry Risk Controls
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Moderator:
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Marianne Brown
President & CEO
Omgeo
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Panel:
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David Catenazzo
Managing Director, Risk, Strategy, and Planning- Global
Operations
Bank of America
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Frank De Maria
Global Head of Derivative Client Services & Operations
Merrill Lynch
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Thomas Guinan
Managing Director, Chief Credit Officer
Pershing LLC
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This session will focus on the business unit risk
management within operations. The panel will discuss tactical ideas on
how they interact with the corporate risk managers, internal auditors, and
compliance managers. Included will be a review of the work of the Fed
Group of 18 on Derivatives.
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9:45 a.m. – 10:00 a.m.
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Networking Refreshment Break –
Osceola Ballroom Foyer, Ballroom Level
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10:00 a.m. – 11:00 a.m.
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Keynote Speaker – Culture, Ethics and Leadership
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Lieutenant Colonel Kevin Hugh Govern
Assistant Professor of Law and Professional Military Ethics
Team Leader
United States Military Academy
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LTC Kevin Govern will discuss today’s leadership
challenges and describe the role of ethical reasoning in today’s world and
how different choices yield different results. He will also address how
ethical decision making, whether in the Army or the financial services
industry, is universal in appeal and application.
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11:00 a.m.
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Conference Concludes
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2007 Operations Committee
Chairman: Noland
Cheng, Morgan Stanley
Scott Aschoff, Janney Montgomery Scott
Joseph Barra, ADP Clearing & Outsourcing Services
Jeffrey Bernstein, Bear, Stearns & Co., Inc.
Keith Bjorsness, D.A. Davidson & Co.
Michael Cahill, The Options Clearing Corp.
Jerry Camera, Morgan Stanley
Kenneth Cameranesi, Wells Fargo Investments LLC
David Cermak, Vanguard Brokerage Services
John Cirrito, ING Financial Markets LLC
David Colville, Wedbush Morgan Securities
Marge Connelly, Wachovia Securities
Richard Curran, Credit Suisse First Boston
Frank DiMarco, National Financial Services LLC
Norman Eaker, Edward Jones
Thomas Ferlazzo, UBS
Cheryl Geremia, Deutsche Bank Securities Inc.
Joseph Guardino, Banc of America Securities LLC
Edward Hazel, Goldman Sachs
Kurt Jud, UBS Financial Services Inc.
Ronald Kessler, A.G. Edwards, Inc.
Kevin Laraia, ING Advisors Network
James Leonard, Depository Trust & Clearing
Corporation
Joseph Liguori, JP Morgan Chase
Robert Maione, Sanford C. Bernstein & Co. LLC
Peter Marchewka, Citigroup Global Markets Inc.
Robert McBey, Southwest Securities Inc.
Lawrence Morillo, Pershing LLC
Peter Sanchez, RBC Capital Markets
Sam Saracino, Prudential Equity Group
David Schafer, McDonald Investments Inc.
Russell Schwei, Robert W. Baird & Co., Inc.
Maurisa Sommerfield, Charles Schwab & Co., Inc.
Thomas Tremaine, Raymond James & Associates, Inc.
Neal Ullman, Lehman Brothers, Inc.
Brian Urkowitz, Merrill Lynch
Consultants to the Committee:
Joseph Anastasio, Capco
Judith Poppalardo, Financial Industry Service Group LLC
Staff Advisers:
Richard Bommer, Securities Industry and Financial
Markets Association
John Panchery, Securities Industry and Financial Markets
Association
Media Sponsors
SIFMA would like to thank the following media sponsors
for their support of the Operations Conference & Exhibit:
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