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Network with peers across the industry

By SectorAsset Manager

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By Seniority

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VP, Director, SeniorManager

EVP, SVP, ManagingDirector

“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. “

“Enjoyed hearing about latest trends in the industry, as well as how people are dealing

with difficult issues”

“It was a

very positive

experience

with good

networking

opportunities

. The venue

was

excellent.”

Hyatt Regency

Luxurious Setting

The US Leap to T+2

Price Tag for Bad Recs

What Vendors Need to

Know About Their

Customers

Big Data Governance

Woes

Insights from Last Year

Titles: C-level, SVP, EVP, Global Heads, Managing Directors, Department Heads and Managers, Senior-level Associates,

Specialists, Technology ManagersExpertise: Operations, Reconciliations, Corporate Actions,

Settlement, Compliance, Regulatory Change, Operational Risk, Vendor Management, Fund Accounting, Data Management, Data

Governance, Middle and Back Office

- 2 days- 18+ sessions- 30+ subject

matter experts- 160+

attendees

Immerse yourself in cutting-edge conversations

• Achieving T+2 by 2017 deadline• Update on standards such as LEIs and ISO20022• Best practices for reconciliations• Data management and governance • Challenges in Derivatives Operations• Harmonization of US, Canadian and European

regulations• Automating corporate actions• What Blockchain means for Operations• Operational risk management

Day One

9:00am Chairperson’s Welcome & Opening RemarksScott Linden, Managing Director, Wilmington Trust, N.A.

9:20am Reconciliation Teams: The Unsung HeroesPost-trade reconciliations teams are often the unsung heroes of the operations department—until

something goes wrong, and then they are the ones to shoulder the blame. This panel will discuss the latest technology to improve your reconciliations, best practices for managing the mountains of data necessary for recs, and why reconciliations are the heart of the ops process (so that you can go back

to the firm and get the resources you need).Moderator: Greg Sonis, CFO, Eidesis Capital

Panelists: Lisa Carletta-Vieites, Director, UBS Investment BankAlex Strekel, Investment Solutions Specialist, Clearwater Analytics

Maryse Gordon, Senior Pre-Sales Consultant, UnaVista, LSEG

10:10am Passing Time

10:20am Data Ownership and GovernanceSince virtually every department produces and uses data on a daily basis, every firm needs a

good data ownership and governance program. This session will discuss best practices for defining who owns data and the unexpected opportunities

that arise from having so much data at your fingertips.

Moderator: Christopher Elias, Vice President Service Delivery Manager, Reconciliation &

Analysis, BBHPanelists: Channing Monti, Senior Relationship Manager, Reconciliation and Financial Control

Solutions, FiservGeoff Martin, VP, Data Governance, RBC Capital

Markets

Progress Report on ISO 20022As the international financial services environment increasingly emphasizes

harmonization, having a global standardization approach that covers methodology, process and

repository issues is ever more important. This panel will give an update on ISO 20022, why it is more than just an update to ISO 15022, and how

to unlock its potential to increase your firm’s operations.

Fireside Chat: Chris Kotsifas, President, STP Consulting Solutions

Gerard Bermingham, Director Strategic Accounts, Markit/Information Mosaic

1:30pm

2:00pm

The growing need to prove integrity (and the reconciliation tsunami on its way)Reconciliations have gone from back office function to center stage of regulations. Having the right governance and data for the regulators is now an integral part of operational risk strategies and in

this session we will look at how newer technologies are helping financial institutions not only prove data integrity but also improve on their operational processes along the way.

Presented by Bill Blythe, Global Business Development Director, Gresham

2:10pm

11:05am Networking Break

11:40am Dealing with Third Party DataWhether you are receiving data from a solutions

vendor, from a counterparty, or from another third party, it is never going to be in the same

format as your firm’s standard. This session will discuss best practices for efficiently managing

third party data and ask whether it is possible to come up with industry standards so that every

third party submits data to you in the same format.

Fireside Chat: Kevin Carter, Chief Technology Officer, Dialectic Capital Management, LP

Pamela M. Diaz, SVP, Director of Global Operations and Interim CIO, Ariel Investments

US Tax - State of new regulatory environment Regency A Room

U.S regulatory changes are hardly new phenomena, however the pace and volume of such changes have U.S financial organizations

highly focused on implementing system changes and updating operation processes to comply with

new and updated/amended legislation, i.e, : FATCA, Cost Basis. The change is not just coming

from U.S regulatory authorities; instead the changes are global with less time to react to such

changes.Dana Pasricha, Vice President, US Tax and Client

Service, BBH

12:30pm Lunch

Passing Time

360° Look at DerivativesThe world of derivatives keeps changing with new

products and new regulation. This overview session will discuss some of the operational

challenges in derivatives, highlight the regulations you need to pay attention to in 2016, and cover some of the recent innovations in derivatives.

Moderator: Cliffe Allen, Director, OTC Derivatives, National Futures Association

Panelists: Christopher Elias, Vice President Service Delivery Manager, Reconciliation &

Analysis, BBHAaron Unterman, Senior Legal Counsel,

Derivatives, Ontario Securities CommissionEric Bolisay, Vice President – Head of Derivatives

Strategic Operations, T. Rowe PriceSean Lynch, Executive Director, Global Head of Derivatives Middle Office, J.P. Morgan Asset

Management

Harmonizing Canada’s Regulatory Authorities

Canada has 13 separate provincial regulators, making national harmonization a

major challenge. This session will discuss major regulations within Canada to be

aware of, best practices for coordinating a business under the 13 different provincial regulators and what is coming down the

line for late 2016 and early 2017.Presented by Tal Cyngiser, Associate, Gowling WLG and Usman M. Sheikh,

Partner, Gowling WLG

3:00pm Networking Break with Exhibitors

General Session: Operational Risk in 2016An important part of the securities operations department is the operational risk team.

From setting up processes for what to do in case of human or technological error to planning for business continuity issues to ensuring the firm is operating safely on the day-

to-day, the op risk team is responsible for the guardrails that allow firms to run in this regulated reality. This panel will take the temperature of how much budget op risk teams get, what the major operational risk focus is in 2016, and how every operations team can

make operational risk a daily priority.Moderator: Stuart Chapman, CIA, CFSA, CRMA, Senior Associate - Operational Due

Dilligence, Strategic Investment GroupPanelists: Guillaume Detrait, Chief Operating Officer, Chief Enterprise Risk Officer, Welton

Investment Partners LLCMark Hannoush, CPA, CA, CFA, Director, Due Diligence, Ontario Teachers' Pension Plan

Normand Girard , Director - Global Trade Operations, BMO Financial Group

3:30pm

4:30pm Welcome ReceptionSponsored by GlobeTax

Day Two

9:00am A Global View of Settlement Cycles The US and Canada are planning to move to T+2 settlement in September 2017 while Europe is

already there and Asia-Pacific lags behind. This session will discuss the journey to a shorter, global settlement cycle. Will the world ever be on one settlement cycle? How do global firms deal with

settling across different jurisdictions? And what do North American firms need to do to prepare for the move to T+2?

Panelists: Louis Rosato, Director of Operations, BlackRockDaniel Crozier, Vice President, Head of Capital Markets Operations, US Bancorp Investments

Keith Evans, Executive Director, Canadian Capital Markets Association

10:00am Networking Break with Exhibitors

10:30am Getting to Flawless Data ManagementData management is at the heart of every effort

to optimize securities operations. Financial services firms have to ensure that every step of

the life-cycle of securities-related data is flawless — from the initial data acquired to

support a transaction to its storage in a back-office system for retrieval later. But there are new demands being put on data and calls for cutting costs. Data for operations has to be

available if not in real time, then intraday, and via an affordable infrastructure or outsourcer. Data can no longer be sequestered in silos but

shared efficiently. At the same time, it has to be protected from cyber-criminals. How can firms make the most of their data while keeping an

eye on costs?Moderator: Mary Munro, Vice President, Office

of the Chief Data Officer, TD Bank GroupPanelists: Pamela M. Diaz, SVP, Director of Global Operations and Interim CIO, Ariel

InvestmentsChris Leung, MBA, Director, Data Management,

Canada Pension Plan Investment Board.

GLEIFThe Global Legal Entity Identifier Foundation

(GLEIF) made big strides in 2015, from launching an index of all LEIs issued to creating a data challenge process. This presentation will give an update on

the status of GLEIF and what initiatives to expect in the rest of 2016.

Presented by Karla K. McKenna, Head of Standards, Global Legal Entity Identifier Foundation (GLEIF)

Activating Corporate ActionsThis panel will cover what is new in corporate

actions, from the effort to automate the corporate actions life cycle to new developments

in regulatory requirements to new communications methods such as social media.

Moderator: Chris Kotsifas, President, STP Consulting Solutions

Panelists: William Dolan, Head of Fidelity Corporate Actions Solutions, Fidelity Corporate

Actions SolutionsMichael Finck, Managing Director, GlobeTaxLawrence Conover, Vice President, National

Financial Services, Fidelity Investments

FIX Disrupts Post-Trade ProcessingFor the past 15 years or so, the Financial

Information eXchange (FIX) protocol for electronic trading has been helping firms automate and streamline front-office trading. However, for

several years now, the proponents of FIX have been exploring how to extend the protocol for

cost-effective, post-trade operations such as trade affirmations and confirmations. The potential savings, the straight through processing (STP)

benefits and the leveraging of current FIX infrastructures are adding to the popularity of this approach. This panel will explore the phenomenon

and how firms can use it to their advantage. Panelists will also discuss the impact FIX is having

on post-trade service providers.Panelists: Louis Rosato, Director of Operations,

BlackRockScott Atwell, Manager FIX Trading and

Connectivity, American Century Investments

1:00pm

2:00pm

SEC Securities Based Swap Reporting –Regulation SBSR

Presented by Brian Lynch, Chief Executive Officer, Risk Focus

Recent Developments in Cyber-RiskPresented by James O’Shea, Head of Reengineering, RBC Capital Markets

Lunch

11:20am

Keynote PresentationThe Disruptor: What Blockchain Means for Your Business

Presented by William MougayarAuthor, The Business Blockchain

General Partner, Virtual Capital Ventures

2:45pm Passing Time

11:15am Passing Time

12:00pm

Closing session: 2020 Business ModelThis collection of speakers will open their imaginations to answer: what will the financial services world look like in 2020? Taking into consideration new technologies, new financial products, and current regulations, this session will paint a picture that might give you a few ideas for your firm’s

objectives over the next few years.Panelists: Stephanie Keppenne, Head of Custody Product, Asset Servicing, BNY MellonPamela M. Diaz, SVP, Director of Global Operations and Interim CIO, Ariel Investments

Daniel Crozier, Vice President, Head of Capital Markets Operations, US Bancorp Investments

Closing RemarksScott Linden, Managing Director, Wilmington Trust, N.A.

2:50pm

3:30pm

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