3rd Annual Securities Processing

Achieving greater competitive advantage through enhanced operational efficiency

Singapore “Establishing Best Practice by taking Advantage

of New Technology and Opportunities within an
7th - 8th April 2011 Evolving Regulatory Landscape”
During a period of regulatory scrutiny, evolving investor demands, increasing trade volumes,
innovative product offering and a culture of heightened risk management; the middle and
back office is being put to the test and reassessed in terms of performance and sustainability
in a hugely competitive arena.
This annual marcus evans conference will showcase a wealth of practical and seasoned
industry experts debating and resolving current challenges faced within securities
processing.

Your Expert Speaker Panel:

Featuring an optional pre
conference workshop on 6th Stacy Coleman Anthony Donnelly
April 2011 Vice President, Financial Infrastructure Head of Global Processing, Global Market
Federal Reserve Bank of New York, USA Operations
Strengthening your Competitive Edge by ANZ, Australia
Revolutionizing Middle and Back Office Processes
Cormac Kelly
Led by: Head of Securities Operations V. Harikrishnan
Arun Mitra Credit Suisse, Singapore Senior Vice President and Head of Operations
Vice President Business Development ICICI Securities Primary Dealership Limited,
Anshinsoft, India India
Christoph Michel
Chief Risk Officer
CLSA Group, Hong Kong Gregory Haynes
Gain insights into vital issues: Vice President Derivative Operations, Asia
PK Nagpal Pacific
• Address market developments to be better positioned in a Executive Director Market Intermediaries Deutsche Bank, Australia
regulatory charged securities market Regulation and Supervision
• Review international legislation on the Asian securities Securities and Exchange Board of India Eugene Chan
market (SEBI), India Associate Director, Clearing Solutions and
Services
• Facilitate effective securities processing, by establishing a
Paul D. Hedges Chartered FCSI CME Group, Singapore
strong foothold within a fragmented regulatory environment
Head of Asia Pacific Network Management,
• Keep up with European counterparts in achieving STP and
Network Management and Market Intelligence Anny Yalina
automation across the middle and back office
HSBC, Singapore Chief Operating Officer
• Combat challenges with processing OTC derivatives Regional President ASEAN BNP Paribas Securities, Indonesia
• Reduce systemic risk; mitigate credit, market and liquidity risk Chartered Institute for Securities and
through CCPs Investment (CISI) Lena Ng
• Streamline and manage cross border transactions Counsel
Arun Mitra Clifford Chance, Singapore
• Meet the demands of increased securities trading through
Vice President Business Development
innovation in technology
Anshinsoft, India Senior Representative
• Employ collateralisation as a risk management tool
Barclays Capital, Singapore
• Prepare for the trading and clearing of Renminbi products Chee Siong Chang
Senior Vice President, Business Development, Rob Scott
Global Transaction Services, Securities Services Director, Head of Asset Management
Preferred Partner DBS, Singapore Operations, APAC Ex-Japan
Global Business Services
Deutsche Asset Management (Asia)
Limited, Singapore

Endorser Media Partners

*Early Bird & Group Discounts
Ask about our savings

conferences finance series

 Booking Line
Pre Conference Workshop Tel: +65 6720 0620
Fax: +65 6720 0621
www.mefinance.com
Wednesday 6th April 2011

12:30 Registration and Coffee

About the Preferred Partner
Strengthening your Competitive Edge by Revolutionizing
Middle and Back Office Processes

Led by:
Arun Mitra
Vice President Business Development
Anshinsoft, India
Founded and headquartered in Silicon Valley with offices in New York, London and
13:00 Keynote address Tokyo and an off-shore development center in India, Anshinsoft has been
providing mission-critical software solutions and services primarily to global-brand
Identifying and Assessing Changes across Back Office Processing
capital market clientele such as Nomura Securities, Nomura Asset Management,
Systems in the Face of an Evolving Securities Market
Goldman Sachs, etc. in major markets around the world since 2001. Anshinsoft’s
• Post trade: Withdrawal of SGX back office clearing and settlement functions CHAKRA platform provides a comprehensive, cost-effective solution that brings STP
• Impact of SGX and ASX merger to back-office operations of securities brokers and custodians, across multiple asset
• Evaluating the increasing popularity of complex financial instruments classes, currencies and markets. Anshinsoft has deep expertise in diverse technology
• Recognising significant external change factors platforms such as Java EE, Ruby, Groovy, Scala, .Net, Drupal, Android, etc.

13:45 Strategies for the Seamless Replacement of Legacy Post-Trade

Back Office Systems: Decision Making Challenges
About the Endorser
• Upgrade vs Replacement: Considering externally driven change factors and
making the right decision for your company The International Society of Financial Professionals (ISOFP) is a non-
• Build vs Buy profit organization dedicated improving professional standards, career opportunities
• RFP essentials: and networking opportunities for financial professionals worldwide. ISOFP offers its
- Understanding all necessary requirements members special invitations to financial conferences, substantial discounts to events
and professional certification through e-learning and classroom training programs.
- Future proofing
Certification programs are available for wealth management, retail banking,
- The balancing act between requirements, risks, cost, time and resources corporate banking, asset management, investment banking and insurance/risk
• Risk mitigation management. ISOFP is a US registered non-profit association with representative
- Phased approach vs ‘big bang’ offices worldwide. For more information on ISOFP, please contact info@isofp.org
• ‘On premise’ vs ‘SaaS’

14:30 Networking and Coffee Break

About the Media Partners
15:00 Case Study allaboutrisk.com is the destination site for all things Risk! It brings together the
Project Implementation: A Step by Step Guide from Due suppliers and buyers in risk management, compliance and trading and is aimed
Diligence through to ‘Going Live’ of the New System squarely at the Energy/Commodities trading and Financial Services markets. The key
• Sample project plan for worldwide rollout features of the site include; comprehensive vendor directories, risk events, vendor
• Tackling data migration issues with reference data and transaction data comparison reports, daily news, weekly newsletter and an annual risk software
report. For more information please contact Jane Stoll at jane.stoll@allaboutrisk.com
• Interfacing with external agencies
or visit www.allaboutrisk.com
• Managing parallel run issues
• Overcoming reconciliation issues With over 44,000 active users, Albourne Village is a free community website for
• Change management: User resistance to change and evangelizing the new anyone interested in alternative investments - providing a pub and library to
system exchange news and IP, job and conference centres, school and strategy forecasts.
Don’t just join the Village, be the Village! http://village.albourne.com
• Project management best practices
• Quality assurance best practices

16:00 Q&A Session The Monetary Authority of Singapore (MAS) administers Financial Training Scheme (FTS)
grants to financial sector organisations that sponsor eligible Singapore based participants to
training programmes that meet qualifying criteria. For more details, please visit
16:30 Close of Workshop www.mas.gov.sg, or contact the MAS at 6229-9396 or fsdf@mas.gov.sg

* NB – Sample project plan will be issued to all attendees during the workshop
marcus evans would like to thank everyone who has helped with the research and
organisation of this event, particularly the speakers and their staff for their support and
commitment.
 Booking Line
Day 1 Tel: +65 6720 0620
Fax: +65 6720 0621
www.mefinance.com
Thursday 7th April 2011

08.30 Registration and Morning Coffee 12.00 Case Study

Asian Securities Market: Preparing for a Changing Landscape
09.00 Chairman’s Opening Remarks • Improving operational efficiency in Asian securities operations:
- Costs
The Securities Processing Market 2010-2011 - Clients
- Regulatory control
09.10 Keynote address • Strategic direction for market operations: Discussing Asian exchanges, depositories,
Market Developments: U.S. Tri-party Repo Infrastructure Reform clearing and settlement
• Current infrastructure supporting the U.S tri-party repo • Impact of current and planned initiatives:
• Infrastructure weaknesses revealed in market stress - Consolidated Exchange access; Singapore, Malaysia and Thailand
• Impact of anticipated changes to the infrastructure, enhancing market resilience: - OTC clearing initiatives
- Clearing banks - Market growth in China and India: Chi X
- Dealers • Industry practitioners perspective: Leading, influencing and supporting market
operations
- Institutional investors
• Implementing the right changes
• Regulatory oversight of market reforms
• Case Study: The Credit Suisse response going forward
Stacy Coleman
Vice President, Financial Infrastructure Cormac Kelly
Federal Reserve Bank of New York, USA Head of Securities Operations
Credit Suisse, Singapore

The Regulatory Landscape 12.40 Lunch

09.50 Panel Discussion 14.00 Overcoming Challenges in Securities Processing. Next Generation
Cross examining regional regulation in an effort to facilitate Technology for the Securities Industry: A Brief Insight into the near
securities processing and establish a foothold across a fragmented Future
market • Challenge 1: Modelling data with multiple semantics
• Examining regulation across the Asian securities market • Challenge 2: Addressing the scalability problem
• Have regulatory developments increased trade volumes or created barriers? • Challenge 3: Handling huge volumes of datasets for long running batch processes
• Reviewing the international influence on legislation: Lessons drawn from Europe • Challenge 4: Converging to a common language for business users and developers
• Benefits and disadvantages of using DMA in Asia Arun Mitra
• Analysing the emergence of dark pools Vice President Business Development
• To what extent can we see harmonisation of regulatory supervision? Anshinsoft, India
• Preparing for upcoming regulatory initiatives
Paul D. Hedges Chartered FCSI 14.40 Challenge from the Banks Perspective: Achieving STP across the
Head of Asia Pacific Network Management, Network Management and Market Middle and Back Office; Fact or Fiction?
Intelligence • Barriers to achieving STP in the current market?
HSBC, Singapore • Keeping up with European counterparts in achieving STP
Regional President ASEAN • Focusing on significant cost reductions
Chartered Institute for Securities and Investment (CISI)
• Examining levels of STP across different jurisdictions
PK Nagpal • Debating a global standard for STP processing
Executive Director Market Intermediaries Regulation and Supervision
Senior Representative
Securities and Exchange Board of India (SEBI), India
Barclays Capital, Singapore
Chee Siong Chang
Senior Vice President, Business Development, Global Transaction Services,
15.20 Afternoon Tea and Networking
Securities Services
DBS, Singapore
15.40 Spotlight on OTC Derivatives
Rob Scott
Director, Head of Asset Management Operations, APAC Ex-Japan • Impact of changing regulations on the OTC derivatives market:
Global Business Services - Frank-Dodd bill
Deutsche Asset Management (Asia) Limited, Singapore - Basel III
• Pricing and valuation of derivatives, focusing on:
10.50 Morning Coffee and Networking Break - Accuracy
- Transparency
Clearing and Settlement: Operational Considerations - Collateral management
• Can we expect to see all OTC derivatives traded on exchanges and cleared through
11.20 Case Study CCPs?
Attaining Process Efficiency and Striving for Excellence through • Debating the risks and benefits of centralised clearing of OTC derivatives
Automated Processes Christoph Michel
• To what extent can we achieve automation across the middle and back office? Chief Risk Officer
CLSA Group, Hong Kong
• Sourcing the best solution for your organisation: Selecting a long term and adaptable
solution
• Calculating cost considerations 16.20 OTC Derivative Securities Processing: Optimising Operational
Strategies
Anthony Donnelly
Head of Global Processing, Global Market Operations • Increase transparency throughout the OTC derivative trade lifecycle
ANZ, Australia • Ensure efficiency and cost effective practice across the entire process:
- Valuations
- Confirmations
- Collateral management
- Counterparty trading
• Document processing: Efficiency through compliance and standardisation in OTC
contracts
• Processing and reporting cross-border OTC transactions
Gregory Haynes
Vice President Derivative Operations, Asia Pacific
Deutsche Bank, Australia

17.20 Chairman’s Closing Remarks and Close of Day One

marcus evans reserves the right to change the venue of, or speakers at the conference should circumstances require. © marcus evans
Day 2 Booking Line
Tel: +65 6720 0620
Fax: +65 6720 0621
Friday 8th April 2011 www.mefinance.com

08.30 Registration and Morning Coffee 12.40 Lunch

09.00 Chairman’s Opening Remarks 14.00 Role of Custodians in Risk Management and Enhanced Securities
Processing
Clearing and Settlement: Operational Considerations Continued • Evaluating the effectiveness of current business models
• Tackling the pressure of receiving and re-delivering securities on the same day
09.10 Case Study • Assessing the risks clients undertake in respect of their custody investments
Establishing Best Practice and Innovation across the Middle and Back • How far have we come as an industry to harmonising securities processing?
Office: Strengthening the Bottom Line Followed by a Short • Managing credit risk
Stakeholder Panel Discussion Speaker to be confirmed
• Overview on Indonesia stock settlement cycle
• Implementing an effective DvP settlement system 14.45 Employing Collateral as a Risk Management Tool
• Managing clearing and settlement on a continuous basis • Measuring credit risk and combating this with collateral management
• Operating effectively within the legal frameworks set out • Exploring various collateral management strategies
Anny Yalina • Establishing a sound collateral relationship between counterparties
Chief Operating Officer Speaker to be confirmed
BNP Paribas Securities, Indonesia
15.30 Afternoon Tea and Networking Break
09.55 Panel Discussion
Connecting the Dots: Cross Industry Perspectives
Securities Future: Renminbi Products
• Improving communication between custodians, clearing houses and clients
• Securities market infrastructure: Feedback from the market players
16.00 Preparing for Trading and Clearing of Renminbi Products
• What can we expect from the regulators going forward?
• Understanding the significance of HK as the offshore RMB centre
• Striving towards a script-less environment
• Examining the effectiveness of CCASS for RMB products
• Improving securities processing through the setting up of regional stock exchanges
• Addressing practical challenges in adopting RMB products:
Stacy Coleman - Understanding and complying with regulatory requirements
Vice President, Financial Infrastructure
- Ensuring middle and back office systems are sufficient for RMB products
Federal Reserve Bank of New York
Speaker to be confirmed
Anny Yalina
Chief Operating Officer
BNP Paribas, Indonesia 16.45 Chairman’s Closing Remarks and Close of Conference

10.40 Morning Coffee and Networking Break

Why you cannot miss this event
Advancing Cross Border Operations
This conference will investigate exciting opportunities and developments being unlocked
through the trading of Renminbi products, giving market participants a strong
11.10 Streamlining Cross Border Transactions
understanding of risk considerations and regulatory guidelines specific to the Asian
• Complying with cross border regulations: Regional considerations
securities market. Securities professionals will deliver dynamic presentations in an effort to
• Managing increased volume of transactions: Coping with the complexities of cross advance the OTC market, strategising to manage ever increasing trade volumes whilst
border securities processing
mitigating risk and bolstering operations.
• Achieving efficient DvP across borders
• Controlling cross border collateral The conference will debate initiatives and strategies to enhance regional infrastructures, in
• Taxation of cross border transactions a cost effective and technologically advanced environment. Delegates will hear how to
further automate and streamline their operations by implementing a higher degree of STP,
• Debating the importance of a common legal framework to which all jurisdictions and
market participants can agree maximise on cross border trading opportunities and manage the various categories of risk
inherent within middle and back office operations, whilst focusing carefully on associated
V. Harikrishnan
Senior Vice President and Head of Operations costs and regulatory considerations.
ICICI Securities Primary Dealership Limited, India With participation from all stakeholders across the securities processing chain; this marcus
evans conference will deliver the perspectives of various players investing in building a
Spotlight on Risk Management more streamlined, compliant and efficient securities processing chain, with a specific focus
on how best to source and maximise on market services and opportunities provided by the
11:55 Cross Border Trade: Bolster Operations through Legal Risk Mitigation exchanges, CCPs and other tri-party participation.
• Legal considerations vital for the sale and settlement of cross border securities trades
• Understanding the transfer of ownership rights in interests in securities and
uncovering other legal uncertainties in cross border securities trade
• Addressing hurdles created by various jurisdictions in securities processing: Who Should Attend
Comparisons across legal and regulatory approaches
• Identifying and managing settlement risks - lessons learnt coming out of 2010 Financial Institutions (Including banks, asset management firms, securities
houses and broker dealers)
Lena Ng
Counsel Heads, Presidents, Managers and Directors of
Clifford Chance, Singapore • Securities Processing • Operations
• Middle Office • Back Office
• Settlements • Clearing
• Compliance • Payments
• IT Systems

Custodians, Clearing Houses, International Central Securities Depositories and

Exchanges

IT/Systems Providers
Heads, Directors and Managers of
• Product Development • Business Development
• Sales and Marketing • Financial Solutions
• Risk Management
3rd Annual Securities Processing
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