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Research Management Conference
line   September 27, 2005  |  The Waldorf-Astoria  |  301 Park Avenue, New York, NY
 

Welcome

The world of sell-side research continues to experience sweeping changes.

Recent and proposed regulations continue to redefine the function and structure of research. The challenge is to adapt to all of these changes while striving to produce superior research.

The Securities Industry Association is again offering an intense one-day conference to help senior research analysts, directors of research, and legal and compliance officials to master the broad array of difficult issues that challenge them. Last year's event brought together experts from the regulatory community and from within the business, research and compliance arms of the industry. This proved to be an unparalleled opportunity to examine and digest all of the many legal and business complexities that face research departments. This year's SIA Research Management Conference will expand on these themes.

Featuring (subject to change):

  • Raymond T. Abbott, First Vice President, General Counsel, Global Securities Research and Economics, Merrill Lynch & Co.
  • James A. Brigagliano, Assistant Director, Division of Market Regulation, U.S. Securities and Exchange Commission
  • Robert Brown, Managing Director, Head of Equity Research Division, Nomura Securities International
  • Stephen J. Buell, Managing Director, Director of Equity Research, Prudential Equity Group
  • Matthew Carpenter, U.S. Director of Citigroup Investment Research, Citigroup
  • Robert C. Dinerstein, Vice Chairman, Americas, UBS Investment Bank
  • Michael Dreher, Managing Director, Equity Research Services, Standard & Poor’s
  • Frank A. Fernandez, Senior Vice President, Chief Economist and Director, Research, Securities Industry Association
  • Terrence Gardner, Jr., President, Gardner Capital Advisors, Inc.
  • Robert J. Hoehn, Jr., Director of Research, Fulcrum Global Partners LLC
  • William Jannace, Director of Rule and Interpretive Standards, Member Firm Regulation, New York Stock Exchange
  • Richard G. Ketchum, Chief Regulatory Officer, New York Stock Exchange
  • Marc E. Lackritz, President, Securities Industry Association
  • Yoon-Young Lee, Partner, Wilmer Cutler Pickering Hale and Dorr
  • Scott L. Lessing, Chief Operating Officer, Citigroup Investment Research, Citigroup
  • Chris Mahon, Managing Director, Global Equities Compliance, Deutsche Bank AG
  • Anne N. Mathias, CFA, Director of Research, Senior Vice President, Stanford Washington Research Group
  • Aron Miodownik, Chief Operating Officer, Research, Merrill Lynch & Co.
  • Joseph J. Oliver, President and Chief Executive Officer, Investment Dealers Association of Canada
  • Jack L. Rivkin, Executive Vice President and Chief Investment Officer, Neuberger Berman
  • Philip Shaikun, Associate General Counsel, NASD
  • Paul Spillane, President and Chief Executive Officer, Soleil Securities Corporation
  • Richard Sutcliffe, Manager, Business Standards Department, Financial Services Authority
  • David H. Tenney, Managing Director, Co-Chief Operating Officer of Global Research, Director of Americas Research, The Goldman Sachs Group
  • David Weild, IV, Chairman and Chief Executive Officer, The National Research Exchange
  • Thomas S. White, Jr., President, Best Independent Research

Topics for discussion panels include:

  • Practical Issues for Research: Compensation, Communications, Conduct
  • Analytical Issues: Research Methods
  • The Future of Research Regulation
  • The Development of New Research Business Models

CLE credit in New York is available for many portions of this event. Fee reduction may be available for qualified registrants.