Program

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