April 26, 2018

Agenda

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Event Agenda

April 26, 2018

3:00 PM - 3:30 PM

Check-in and Welcome Drink

3:30 PM - 3:40 PM

Welcome & Opening Remarks

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Provided by:

John McManus, Executive Director - Head of Sales, The Americas, U.K. & Ireland, SIX

3:40 PM - 4:15 PM

Juggling Customer Satisfaction, Compliance & Innovation

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MiFID II, other regulatory reforms and sanctions have pushed the industry to new levels in order to meet compliance deadlines. This creates a huge burden for the financial services industry especially when it comes to streamlining and aligning the underlying data and content. It also raises the question of how to best address these concerns. Do firms need to set aside innovation for compliance? Or are securities industry players realizing that their needs are surpassing their incumbent infrastructures and exposing expensive shortcomings such as data silos and data fiefdoms? Firms need new operational models and strategies for leveraging the new rules of data that are changing the dynamics among industry participants and their providers, eliminating inefficient and costly operations, and rebuilding data infrastructures amid disruption. In parallel, a whole industry is seeking to agree on new data standards across various and disparate regulatory reforms and jurisdictions, which will help to reduce heavy data processing and to automate manual processes.

This panel will focus on what firms need to review as they juggle innovation and compliance:

  • Are securities firms ready to move beyond their reliance upon data silos and toward true enterprise-wide data governance?
  • How do you best close reference and regulatory data gaps?
  • What is the best way for firms to gauge the full extent of their new data needs such as the sourcing and distribution of regulatory data and documents?
  • What new ways of looking at data governance may be necessary to take advantage of new technologies?

Presented by:

Alex Dorfmann, Director Product Management, SIX

4:15 PM - 5:00 PM

Data Remains the Key to a Successful Transformation

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The industry may be seeing the slowing down of the current multiple, massive waves of domestic and international regulation that challenge their resources and bottom lines. In place of the waves of regulation, new dynamics in technology and business are emerging that mark a return to innovation that could create new opportunities for competitive advantage and operational efficiency. The difficult part for firms will be in finding ways to operationalize major innovations. Financial services firms are beginning to review each new wave of innovation, looking for ways to leverage change. While hopes are running high, firms need to stay focused on how new data needs and supporting infrastructures will play a major role in the future success of their new technology journeys.

This panel discussion will focus on the path forward:

  • Of the many emerging technologies, which ones are getting C-level managers excited?
    • Artificial intelligence (AI)
    • Robotics/machine learning
    • Blockchain/DLT
    • Digital links via cloud computing
  • What is the most prudent data strategy when adopting very exciting new technologies?
  • How are the new technologies changing the data needs and data usage of firms?
  • What exactly is the consumable data package approach and what will it mean for the industry?
  • With so many advances in network access, are there ways to ease data access and delivery?
  • How should firms best leverage data analytics for their forays into innovation?

Moderator: James F. Dawson, IGP, CSSLP, Director, Information Governance & Data Risk Strategy, Freddie Mac

Panelists: Michelle (Yinghua) Zhou, Enterprise Data Management – Head of Referential Data Management OfficeBNP Paribas

Michael Korby, Head of Market Data Technology, Balyasny Asset Management L.P.

Riten Dharia, Data Management & Access Controls, Wells Fargo

Alex Dorfmann, Director Product Management, SIX

5:00 PM - 6:00 PM

Cocktail Reception

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Here are what a few of our previous
attendees have said about our events:

Phil was an amazing speaker and extremely knowledgeable and engaging. I really enjoyed this class and I am looking forward to participating in many more in the future.  

- Christina Hebert, Babson Capital Management (Understanding the Securities Industry Attendee)

I thought it was well run and the speakers/panel members were very knowledgeable and informative.  

- SecOps Attendee

It was a very positive experience with good networking opportunities. The venue was excellent.  

- SecOps Attendee

Great venue to share ideas and insights.  

- SecOps Attendee

Enjoyed hearing about latest trends in the industry, as well as how people are dealing with difficult issues.  

- SecOps Attendee

Fruitful interaction with clients and prospects.  

- SecOps Attendee

It was good to hear peers sharing their experiences openly.  

- SecOps Attendee

It was my first FTF event and I enjoyed it.  

- SecOps Attendee

Excellent conference - topics are relevant and speakers are well informed.  

- SecOps Attendee

The conference provide good content through lively discussions. The venue was excellent.  

- SecOps Attendee

Speakers were numerous and great. All highly qualified to speak and provided excellent insight into our industry.  

- SecOps Attendee

The SecOps conference is a valuable forum for peers to network and discuss the real issues operations professionals face in their business. Our session discussing the reality vs. ideal world scenarios was well received and sparked ongoing discussions beyond the session itself.  

- Bob Leaper, PanoVista.Co LLC (SecOps Attendee)

The conference was very informative and relevant for the current state of derivative regulations.  

- Michael Daley, Director of Fixed Income Operations, Loomis Sayles (DerivOps Attendee)

You always have insightful subject matter experts on your panels.  

- David Gallagher, VP, Collateral Management, Lombard Risk (DerivOps Attendee)

The conference provides relevant industry insights from practitioners for practitioners.  

- Björn Schumburg, Senior Business Consultant, Derivatives Implementation, SimCorp Canada (DerivOps Attendee)

The event is essential for anyone who has a portfolio of derivatives or supports clients who have exposure to derivatives.  

- Frank Lupica, Director, DTCC (DerivOps Attendee)

Excellent.  

- Robert Boese, Director, Debt and Derivative Operations, Freddie Mac (DerivOps Attendee)

I thought the conference was very useful and provided its participants with ideas for how to address some of the challenges that Dodd-Frank regulations present.  

- Shannon Pacheco, Head of Operations, MEAG New York Corporation (DerivOps Attendee)

The speakers and topics covered were timely and very relevant to the current market environment.  

- Robert Ferryman, Director of Operations, Mizuho Capital Markets (DerivOps Attendee)

The conference gave a very informative overview of the challenges faced by the industry currently.  It targeted at specific initiatives and regulations which are critical to derivative operations.  

- Jessica Lua, Senior Vice President, Head, Trade Operations, GIC (DerivOps Attendee)

This was one of the best DerivOps conferences that has been put together.  

- Kathryn Landuyt, Securities Analyst, OTC Derivatives, PPM America (DerivOps Attendee)

The mix of presentations and panel discussions was great. Thank you!  

- Sandy MacLean, Senior Operations Analyst, Reconciliation, CPP Investment Board (ReCon Attendee)

Great experience. Thank you!  

- Beth Vogel, Director, Investment Management Operations, Federated Investors (ReCon Attendee)

The speakers were great and the program was organized.  

- Liliana Ferreira, Director, CSA Negotiations, Portfolio Reconciliation and Collateral Controls, Societe Generale (ReCon Attendee)

The content was very relevant and engaging, and the attendees were fully engaged in the lively panel discussions.  

- Paul Clapis, Director, Professional Services, SunGard (ReCon Attendee)

It’s a great opportunity to network with both vendors and peers while identifying the latest trends in the industry.  

- Rodney Hulslander, AVP Asset Control, Reconciliation, MFS Investment Management (ReCon Attendee)

Great forum. Knowledgeable and well-versed speakers. Would love to attend future events.  

- Ken Helmrich, AVP, BSA Supervisor, Hudson City Savings Bank (Financial Crime & AML Forum Attendee)

Very impressive conference.  The format provides unique access to industry thought leaders. The knowledge and ideas I gained will help me better adapt to changing trends.  

- Matthew Lyberg, Vice President, Acadian Asset Management (Performance Measurement Attendee)

Great Job. The FTF staff were great!  

- Bert Melchner, Program Manager, Enterprise Solutions, General Electric Asset Management (ReCon Attendee)

Excellent overall event. Thank you!

- Robert Perdock, COO, Macquarie Group

Excellent event with the right level of participants to add the most value to firms trading products requiring collateralization.  

- Joseph Streeter, VP, Collateral Product Manager, State Street (Collateral Management Forum Attendee)

The Forum format provides a great networking opportunity since there is a very focused topic and group of delegates.  

- Deborah Bonfield, VP, Senior Sales, Lombard Risk (Collateral Management Forum Attendee)

A good opportunity for networking with peers in the industry.  

- Joyce Lim, Vice President, Credit Agricole CIB (Collateral Management Forum Attendee)

One of the most informative conferences I've attended. Great progression from basic content to practical significance. Quite enjoyable.  

- Bill Elwell, AVP/Senior Tax Counsel, Hartford Financial Services (FATCA Breakfast Attendee)

FTF continually proves its commitment to organizing and delivering content rich, educational events. The events cover specific topics relevant to mission critical workflow and operations within the financial industry. I strongly recommend attending FTF's events.  

- Marc Caccavale, Client Relations, SS&C Technologies (Performance Measurement Attendee)

FTF always provides content rich conferences, with leading industry experts, with great networking.  The conference administration and amenities are always flawless.    

- Andrew Clipper, Principal, Knickerbocker Advisory Services (Performance Measurement Attendee)

FTF has provided a very thoughtful and relevant discussion of the changes currently impacting the industry.  

- Matt Kuznacic, Sr. Project Manager, William Blair (DerivOps Attendee)

I would highly recommend FTF’s Derivatives Operations conference. I come to the annual Chicago Conference and they also have a New York conference that’s great. It’s a great time to hear from both buy side peers in my case, vendors that offer solutions to some derivatives challenges that you may be facing and also meet with clearing house representatives and FCMs and it’s just a great place to network with peers and to hear what’s going on in derivatives operations.  

- Kevin Walker, Vice President, Manager of Derivatives Administration, Nuveen Investments (DerivOps Attendee)

Very helpful and insightful conference. Thank you.  

- Lenny Bambina, Vice President, Derivatives, AQR Capital Management (DerivOps Attendee)

Well organized and put-together. Impressive speakers and panelists.  

- Tatyana Yegorova, Audit Director, MetLife (HedgeOps Attendee)

I liked the varied areas that were represented on each panel.  

- Karla McKenna, Director, Citi (CAPCon Attendee)

Am always glad to participate in an FTF event.  

- Sue Mayham, Corporate Actions Expert (CAPCon Attendee)

Excellent forum. Very much enjoyed the more informal talks as it engaged the audience more.  

- Katie O’Connor, Senior Product Specialist, Information Mosaic (CAPCon Attendee)