8:00 Continental Breakfast, Conference Registration & Opportunity To View The Solutions Zone Continental Breakfast, Conference Registration & Opportunity To View The Solutions Zone

8:55 Welcoming Remarks Welcoming Remarks Jarrett Spagnoli Executive Director FIMA 2010

9:00 Chairperson’s Opening Address Neil Edelstein, Vice President of Marketing and Product Solutions, GoldenSource Neil Edelstein joined GoldenSource in 2007 as Vice President of Marketing and Product Solutions. In his role, Neil has extended GoldenSource product line capabilities to reflect buy side investment strategies. He is responsible for GoldenSource Derivative Business Solution, which aggregates all derivative reference, counterparty and collateral information in single platform and thin client application. Edelstein has more than 30 years experience in the financial services industry, including reference data and pricing expertise. He has previously held roles at Standard & Poors, Interactive Data, Thomson (as President of Muller Data), and SunGard, where he was Managing Director. Edelstein has also worked as an independent consultant for DTCC and Vanguard and has led Accenture's Data Management practice. Neil Edelstein Vice President of Marketing and Product Solutions, GoldenSource Neil Edelstein joined GoldenSource in 2007 as Vice President of Marketing and Product Solutions. In his role, Neil has extended GoldenSource product line capabilities to reflect buy side investment strategies. He is responsible for GoldenSource Derivative Business Solution, which aggregates all derivative reference, counterparty and collateral information in single platform and thin client applica [read more]

9:15 Optimizing Data Management Through Strategic Alignment Of Business, IT And Operations Kay Vicino, Senior Vice President, Operations and Technology, Northern Trust Identifying a reference data management “owner” Assessing which business unit deserves greater authority over a given data set Establishing a plan for dealing with conflicts of priority Aligning your organization on a common strategy across departments, functions and geographies Breaking through walls to establish true data governance Getting buy-in one silo at a time Examining steps you can take to enforce data governance across a silo-based organization Understanding how to distribute your data for customized use throughout your organization Kay Vicino Senior Vice President, Operations and Technology, Northern Trust As Head of Global Data Management since 2007, Kay is responsible for the worldwide shared services operating model for pricing and reference data. The shared services global operating model support's Northern's custody, asset management, fund administration and operations outsourcing businesses. Key responsibilities include not only daily operations but also strategic and transformation initiative [read more]

9:50 Panel Discussion: Exploring The Current State Of Data Management Amy G. Harkins, Senior Vice President, BNY Mellon Asset Servicing, BNY Mellon John Bottega, Chief Data Officer - Markets Division, Federal Reserve Bank of New York Norman Brower, Executive Director, Morgan Stanley Colin Close, President, Netik The financial industry has been shaken by the credit and mortgage fallout. Behind the scenes, data management executives could have predicted this. So where do we go from here? Right now no one has great, clean data. But it is all about “staying the course”. Being committed, remaining tactical, continuing to build support and educating, internally and externally. This panel takes a look at where we’ve come from and where we should be going. How has the crisis affected data management priorities? Is budget being reallocated? If so, what is being cut? How are you being smart with your resources? How are you reducing expenses but continuing to produce high quality data that satisfies your internal users and your regulatory reporting efforts around exposure? What further scrutiny has come about from the regulatory bodies? Assessing who is really driving data management initiatives Does the risk management side drive data improvement or does the trading (business) side drive improvement? Understanding how data management executives can leverage the credit crises to push an agenda of transparency Examining the evolving role of data governance/stewardship teams Have the expectations for governance bodies expanded to encompass more areas that we not previously considered? Looking at future cost reductions Should you outsource or offshore to reduce expenses? Can you outsource or offshore without increasing risk or reducing your ability to satisfy end users? Colin Close BA (Hons), President, Netik, is a securities market expert and has spent over 25 years in the financial product discipline with Chase and Bankers Trust and the last 9 years with Netik. Colin has, through his experience in financial markets, successfully lead high profile business improvement initiatives for financial institutions through the creative engineering of people, processes and technology. At Deutsche Bank and Bankers Trust, Colin was Managing Director for the Global Investor Services business, where he was responsible for the strategic development for a range of key products serving institutional investors and asset gatherers. Prior to that, Colin spent ten years at Chase Manhattan where he managed, latterly from New York, the strategic planning of service delivery to institutional investor clients. Amy G. Harkins Senior Vice President, BNY Mellon Asset Servicing, BNY Mellon Amy G. Harkins is a Senior Vice President at BNY Mellon. Her direct responsibilities are for Worldwide Global Corporate Event Operations, including corporate actions, class actions, and proxy processing for the combined entity. In addition to her operational responsibilities, Amy is involved in the Market Data Committee at BNY Mellon. John Bottega Chief Data Officer - Markets Division, Federal Reserve Bank of New York John Bottega is Vice President and Chief Data Office for the Markets division of the Federal Reserve Bank of New York. John joined the Bank in February of 2009, responsible for driving and implementing the Markets Data Management strategy, which encompasses business, governance and technology in order to establish a sustainable business data discipline and technology infrastructure. Prior to joini [read more] Norman Brower Executive Director, Morgan Stanley Norman has 20 years experience in delivering Information Architecture strategies designed to increase straight through processing (STP) and reduce operational risk within the Capital Markets. At Morgan Stanley, he is responsible for defining and implementing solutions to manage Product reference data. Colin Close President, Netik Colin Close BA (Hons), President, Netik, is a securities market expert and has spent over 25 years in the financial product discipline with Chase and Bankers Trust and the last 9 years with Netik. Colin has, through his experience in financial markets, successfully lead high profile business improvement initiatives for financial institutions through the creative engineering of people, processes an [read more]

10:25 Refreshment Break & Opportunity To View The Solutions Zone Refreshment Break & Opportunity To View The Solutions Zone

11:05 Managing Reference Data Throughout The Entire Data Lifecycle Rick Woodland, VP Basel II Technology, State Street Global Markets Data is your most important business asset – so why not value, protect and leverage it? The best in the business have a handle on data. They realize that the external data you pull in may be good, but it’s not accurate enough. By building the right infrastructure, and aligning operations, technology and business teams, sophisticated data managers can drive their firms’ innovation. This session highlights improvements that you can make throughout your operation to better leverage your firms’ most critical asset. Leveraging your existing enterprise infrastructure to streamline reference data operations Managing risk and reporting needs to comply with Basel II and upcoming regulations Maintaining accurate and timely reference data in a single data repository Finding ways to provide flexible and customized data sets to various stakeholders across the business Delivering highly personalized reference data feeds improve efficiency Cross referencing multiple industry-standard and market identifiers for a given security Managing specific customer data requirements based on their preferences Rick Woodland VP Basel II Technology, State Street Global Markets

11:40 Morning Roundtable Discussions Philip Wu, Manager, Data Quality, Enterprise Risk Management, AIG Global Investment Group Sean Conahan, Vice President, Barclays Capital Richard Livesley, Head of Governance, Quality and Metadata, BMO Financial Robert Briggs, VP Investment Data Services, BNY Mellon Mike Phillips, CMMI Program Manager, Software Engineering Institute, Carnegie Mellon University Peter Benson, Executive Director & Chief Technology Officer, Electronic Commerce Code Management Association (ECCMA) Bill Nichols, Program Director, Securities Processing Automation, FISD/SIIA The tables are designed to be a continuation of the day’s content – we’ll break the tables into specific topic areas and every attendee will have the option of sitting in on two of the 10 moderated tables. This will be your opportunity to brainstorm “informally” and find solutions to the challenges you face. All discussion is “off the record”. Roundtable hosts include: Table 1: Philip Wu, Manager – Data Quality, Enterprise Risk Management, AIG Table 2: Bill Nichols, Program Director, Securities Processing Automation, FISD/SIIA Table 3: Sean Conahan, Vice President, Barclays Capital Table 4: Peter Benson, Executive Director & Chief Technology Officer, Electronic Commerce Code Management Association (ECCMA) Table 5: Richard Livesley, Head of Governance, Quality and Metadata, BMO Financial Table 6: Mike Phillips, CMMI Program Manager, Software Engineering Institute, Carnegie Mellon University Table 7: Karla McKenna, Director, Citi & Chair, ISO TC68 Table 8: Robert Briggs, VP Investment Data Services, BNY Mellon Table 9: OPEN* Table 10: OPEN* Roundtable participants include: Kim Wolfe, Global Head of Reference Data, Barclays Capital Guy McDonald, AVP Data Management, Nomura Securities Jonathan Weiner, Vice President, Technology, Morgan Stanley And many more! Table Themes Include (but are not limited to): Identifying Key Ways To Measure Bad Data And Revenue Lost In Order To Fund Future Data Quality Projects Buy-Side Roundtable: Exploring Buy-Side EDM Challenges Understanding The Benefits Of The Standardization Of Corporate Actions Information Examining The Impact Of Solvency II Requirements Leveraging Your Basel II Compliance Program To Drive Data Initiatives Strategies For Collecting And Maintaining Global Legal Entity Data That Meets Your Risk And Compliance Standards Next Steps For The Options Symbology Initiative EDM And The Roadmap Ahead Integrating Data Across A Global Organization Hedge Fund Roundtable: Exploring Alternative Data Models Philip Wu Manager, Data Quality, Enterprise Risk Management, AIG Global Investment Group Philip S. Wu is a Manager in charge of Data Quality in American International Group's Corporate Enterprise Risk Management group. He has served the financial services industry for more than twenty-three years managing global data management teams in Europe, Asia and the Americas. He has successfully delivered business driven data/technical solutions from both the vendor sourcing and end-user inves [read more] Sean Conahan Vice President, Barclays Capital Richard Livesley Head of Governance, Quality and Metadata, BMO Financial Robert Briggs VP Investment Data Services, BNY Mellon Mike Phillips CMMI Program Manager, Software Engineering Institute, Carnegie Mellon University Mike Phillips is the Program Manager for CMMI at the Software Engineering Institute (SEI), a position created to lead the Capability Maturity Model* Integration [CMMI®] product suite evolution for the SEI. He has authored Technical Reports, Technical Notes, CMMI Columns, and various articles in addition to presenting CMMI material at conferences around the world. He is a co-author of the recently [read more] Peter Benson Executive Director & Chief Technology Officer, Electronic Commerce Code Management Association (ECCMA) Mr. Peter Benson is the Executive Director and Chief Technical Officer of the Electronic Commerce Code Management Association (ECCMA). Peter is an expert in distributed information systems, content encoding and master data management. Peter designed and oversaw the development of a number of strategic distributed database management systems used extensively in the UK and US by the Public Relations [read more] Bill Nichols Program Director, Securities Processing Automation, FISD/SIIA

12:35 Lunch For All Attendees Lunch For All Attendees

Track A: Mergers, Acquisitions & IntegrationsTrack B: IT, Risk & Entity Data Management 1:35 Chairperson’s Afternoon Address Track A: Mergers, Acquisitions & Integrations Maryann Houglet, Business Intelligence & Information Management Practice, Wipro Consulting Services Chairperson’s Afternoon Address Maryann Houglet Business Intelligence & Information Management Practice, Wipro Consulting Services Prior to her current role, Maryann was Vice President of Strategic Consulting for A-Team Group. She began that role in January 2005, after leading global financial information services initiatives for over 25 years. As part of A-Team’s management group, she headed up its consulting business in which A-Team’s management works with its clients – individuals involved in managing information technolog [read more] 1:35 Chairperson’s Afternoon Address Track B: IT, Risk & Entity Data Management Neil Edelstein, Vice President of Marketing and Product Solutions, GoldenSource No session description available. Neil Edelstein Vice President of Marketing and Product Solutions, GoldenSource Neil Edelstein joined GoldenSource in 2007 as Vice President of Marketing and Product Solutions. In his role, Neil has extended GoldenSource product line capabilities to reflect buy side investment strategies. He is responsible for GoldenSource Derivative Business Solution, which aggregates all derivative reference, counterparty and collateral information in single platform and thin client applica [read more]

1:45 Panel Discussion: Overcoming The Obstacles Presente...1:45 Maturing Data Management – The Risks Demand It 1:45 Panel Discussion: Overcoming The Obstacles Presented By Legacy Applications To Fully Integrate Your Data Operations & Increase Business Capabilities & Reduce Risk Steven DeLaCastro, Global Director of Retail Banking, Banking & Financial Services, Cognizant Edmund Flynn, Senior Director, Market Data Services, Fidelity Investments Peter Serenita, Global Head of Entity Reference Data, Global Banking and Markets, COBAM, HSBC Now more than ever, firms are acquiring diverse legacy environments consisting of individual point solutions, multiple database and reporting modules, and technology infrastructures that are targeted at specific asset-classes, business segments, or markets. These fragmented environments have become obstacles in meeting today’s challenges of supporting your business, reacting to risky market conditions, and attaining a single-view of your customers. This panel examines tools and strategies that can help create a seamless integration of disparate data sets. Understanding the risk implications of data integration and transparency for meeting new regulatory requirements Examining strategies to help integrate new systems with legacy software What tools are out there to help? Counteracting the huge volume of legacy applications within your firm Assessing whether Service Oriented Architecture will help consolidate your applications while maintaining data integrity Balancing existing capabilities with the cost of upgrading – does the ROI justify the transfer? Driving business benefits and increasing EDM capabilities through your integration efforts Steven DeLaCastro Global Director of Retail Banking, Banking & Financial Services, Cognizant Steven DeLaCastro has deep specialization with over twenty-five years of experience focusing on banking technology, operations, software, and services; and has held the titles of Chief Information Officer, Chief Operating Officer, Senior Vice President, Managing Director, General Manager, EMEA Sales Director, Regional Country Manager, Partner, and Managing Partner; at Bank of America, AIG, Hogan S [read more] Edmund Flynn Senior Director, Market Data Services, Fidelity Investments Peter Serenita Global Head of Entity Reference Data, Global Banking and Markets, COBAM, HSBC Prior to joining HSBC as the Global Head of Entity Reference Data, Peter was the Chief Data Officer for JPMorgan Worldwide Security Services. In that position, he was responsible for the development of information and technology practices that fully integrate data across the Worldwide Securities businesses and within the firm. Some of his focus areas included security reference data, security pric [read more] 1:45 Maturing Data Management – The Risks Demand It Mike Phillips, CMMI Program Manager, Software Engineering Institute, Carnegie Mellon University Data quality and availability is critical to controlling risk. The CMMI (Capability Maturity Model Integration) has successfully tackled the risks associated with software development in many domains. Data is a development product that needs to be available across business and technology silos, and to be managed as an enterprise resource. Extending CMMI to cover the specific needs in the financial community is an exciting new “app” that will result from the partnership between the Electronic Data Management Council and the SEI. Mike will discuss the strategy for tuning SEI’s CMMI and the related Resiliency Management Model to meet the needs of the financial community. Institutionalizing Data Management best practices within a governance framework Coupling internal templates with best-of-breed products currently in the marketplace Reducing the time-to-market of any data set – with confidence in the standard elements Tackling risk analysis with coherent approaches to actually manage the risks – and mitigate them Mike Phillips CMMI Program Manager, Software Engineering Institute, Carnegie Mellon University Mike Phillips is the Program Manager for CMMI at the Software Engineering Institute (SEI), a position created to lead the Capability Maturity Model* Integration [CMMI®] product suite evolution for the SEI. He has authored Technical Reports, Technical Notes, CMMI Columns, and various articles in addition to presenting CMMI material at conferences around the world. He is a co-author of the recently [read more]

2:25 Mastering Complex Data And Information Challenges B...2:25 Information Driven Convergence: The Changing Data P... 2:25 Mastering Complex Data And Information Challenges By Transforming Data Into Valuable Enterprise Business Intelligence Rick Miller, Vice President, Credit Risk Solutions, CIBC A best-in-class data management strategy can enable better and faster business decisions. It can also significantly reduce expenses surrounding risk, compliance and reporting. But many financial institutions lack the adequate tools to manage their data and analytics. This session focuses on ways to take your data operation to the next level and driving business decisions. Focusing on a holistic view and key aspects of the risk spectrum – market, credit, underwriting and operational risk providing transparency and better data-driven business decisions Turning investments in regulatory compliance into strategic advantage Predicting customer behavior and synchronizing customer interaction across multiple touch points Managing customer data to maximize profitability with reduced risk exposure Rick Miller Vice President, Credit Risk Solutions, CIBC 2:25 Information Driven Convergence: The Changing Data Paradigm Greg Derderian, Principal, Ernst & Young Dan Higgins, Principal, Ernst & Young Dilip Kumar, Principal, Ernst & Young Current marketplace demands highlight the importance of aligning the data that finance and risk functions utilize and publish to various constituents, including an institution’s senior management, the board, regulators and the wider investor community. The pressure on the CFO and CRO to provide consistent, integrated information continues to grow, as the financial crisis has increased the scrutiny on firm-provided information. Any inconsistencies bring about intensive review and discovery actions to resolve the differences. This session will explore the external and internal demands that are reshaping today’s data paradigm, the importance of an integrated operating model and the framework needed to properly support evolving requirements. Greg Derderian Principal, Ernst & Young Dan Higgins Principal, Ernst & Young Dilip Kumar Principal, Ernst & Young

3:00 Refreshment Break & Opportunity To View The Sol...3:00 Refreshment Break & Opportunity To View The Sol... 3:00 Refreshment Break & Opportunity To View The Solutions Zone Refreshment Break & Opportunity To View The Solutions Zone 3:00 Refreshment Break & Opportunity To View The Solutions Zone Refreshment Break & Opportunity To View The Solutions Zone

3:30 Afternoon Roundtable Discussions3:30 Afternoon Roundtable Discussions 3:30 Afternoon Roundtable Discussions Afternoon Roundtable Discussions 3:30 Afternoon Roundtable Discussions Afternoon Roundtable Discussions

4:25 Panel Discussion: Assessing The Cost Vs. Performanc...4:25 Panel Discussion: Building A Strategy For Managing ... 4:25 Panel Discussion: Assessing The Cost Vs. Performance Model Of Off-Shoring/Outsourcing Data Operations Giovanni Simeone, Senior Vice President, Enterprise Information Management (EIM), Bank of America - Merrill Lynch Catherine Louisy-Louis, Director & Head Of Global Data Administration, Citigroup Global Wealth Management Tom Llaneza, Manager of Operational Data, GE Asset Management Mark W. Januszka, VP - US Head of Market Data, HSBC Securities (USA) Overcoming the challenges of remote management and governance Evaluating off-shoring as an alternative to outsourcing: efficiency, cost reduction and maintaining data security Dealing with common problems that arise Client confidentiality Data licensing What makes sense to offshore and what doesn’t? What makes sense to outsource and what doesn’t? Minimizing client reporting challenges derived from time variations and regional communication differences Assessing the effectiveness of off-shoring and outsourcing – How will they impact your EDM strategy? Giovanni Simeone Senior Vice President, Enterprise Information Management (EIM), Bank of America - Merrill Lynch John Simeone is a Senior Vice President at Bank of America Merrill Lynch responsible for firm wide Integration Management with the firm’s strategic Product Reference Data Platform – PME. He currently is leading several major Product Data integrations between Bank of America and Merrill Lynch. John has focused on Integrations for the past 4 years and has over 10 years of Product Data/Security Maste [read more] Catherine Louisy-Louis Director & Head Of Global Data Administration, Citigroup Global Wealth Management Catherine Louisy-Louis is a Director and Head of Global Investment Data Administration for the Citi Private Bank. In this role, Catherine is a major contributor to the CPB investment data strategy, systems and infrastructure. She leads a global center of excellence and provides an authoritative source of investment data and analytics to internal and external clients across critical functions inclu [read more] Tom Llaneza Manager of Operational Data, GE Asset Management Tom holds the position of Data Governance Leader for GE Asset Management (GEAM). In his role, Tom is responsible for creating a data control vision and deployment plan for the entire organization. In addition, he is responsible for anticipating emerging business requirements, assessing industry trends, monitoring competitors and setting data standards and guidelines across GEAM’s asset classes. Le [read more] Mark W. Januszka VP - US Head of Market Data, HSBC Securities (USA) 4:25 Panel Discussion: Building A Strategy For Managing Global Legal Entity Data That Meets Your Risk And Compliance Standards Jennifer McColley, Associate Director, Babson Capital Management LLC David Goldberg, Managing Director, BNY Mellon Tony Brownlee, Managing Director, Data Solutions, Kingland Systems Corporation Understanding your client’s solvency and reliability are the keys to understanding exposure and market risks. But for most financial institutions, client data is held in a siloed environment and in databases across the organization. So how are you meeting the challenges of the changing regulatory landscape that require accurate and timely counterparty data? Our panelists discuss best practices for managing global legal entity data. Identifying a strategy for collecting and maintaining compliant legal entity data What is the right model for counterparty data accuracy? Do you buy the data? How often do you update it? What is the technology needed to support it? Examining whether to secure a 3rd party for counterparty data and understanding what steps must be taken to implement them into your systems Working within your existing infrastructure Integrating counterparty data into your systems, file formats and processes Ensuring the entity information is accurate, auditable and from credible sources Continually updating your data for corporate actions and other changes Tony Brownlee is responsible for Kingland’s financial services MDM practice, working with major banking, financial markets, and insurance companies. Tony specializes in new solution development in areas involving process engineering, complex data, data management, and risk management problems and was instrumental in the creation of Kingland Systems’ data business. Jennifer McColley Associate Director, Babson Capital Management LLC Jennifer has worked at Babson Capital Management for 11 years. She has been a member of the Data Management group for 3 years. Her group oversees the daily operations of the Enterprise Data applications, including a data warehouse, security reference data application and multiple enterprise data stores. Her most recent project involved creating a single source for legal entity data, including inte [read more] David Goldberg Managing Director, BNY Mellon Prior to his role at BNY Mellon, David worked at UBS from 2005-2008 as North America Regional Head of Data Management for the Investment Bank. David was responsible for managing a regional operations team tasked with Client, Account and SSI data input and maintenance as well as driving strategic people, process, and infrastructure change within the data management environment. Prior to joining UBS [read more] Tony Brownlee Managing Director, Data Solutions, Kingland Systems Corporation Tony Brownlee is responsible for Kingland’s financial services MDM practice, working with major banking, financial markets, and insurance companies. Tony specializes in new solution development in areas involving process engineering, complex data, data management, and risk management problems and was instrumental in the creation of Kingland Systems’ data business.

5:00 FIMA 2010 Networking Cocktail Party After a day filled with constructive discussion, case studies and critical information for your data management operations, RELAX, UNWIND and make new friends and contacts at the Networking Cocktail Party! Take advantage of this opportunity to network with the industry’s brightest and most forward thinking leaders in a relaxed and informal atmosphere. Bring plenty of business cards and expand your reference data network!