FIMA Attendee List

March 21-23, 2011Bridgewaters, New York, NYwww.fima2011.com

Focusing On The Operational, Risk And BusinessIssues Surrounding Reference Data Management

Over Brand New

Speakers Including:Northern Trust: Nick Helton, Global Head ofSecurity Reference Data

RBC Capital Markets: John Mulholland,Global Head of Reference Data

Hartford Investment ManagementCompany: Timothy Ryan, Vice President, Headof Performance Measurement

Fidelity Investments: Sean Howell, VicePresident, Data Management Services

MF Global: Kenneth M. Brady, Senior VicePresident, Chief Data Officer

HSBC: Duane C. Good, Head of Risk Systems &Projects

BMO Financial: Richard Livesley, Head ofGovernance, Quality and Metadata

Barclays Capital: Guillaume Complainville,Director, Global Head of Strategy & Change forReference Data

BNY Mellon: Yekaterina Sheremetyev, VicePresident, Head of Data Quality Office

Wellington Management: Peter Fever, VicePresident, Investment Systems

Societe Generale Securities Services:Olivier Rose, Head of Projects and InternationalData Management

Cutting-Edge Content: It is increasingly important that datamanagers understand and leverage the knowledge of dataconsumers – enabling them to better align with the business,risk and compliance.

Interactive Format: You can’t put a price on the value ofnetworking and brainstorming. Our roundtable discussionsallow the attendees to be more candid about the challengesthey face, and give them the opportunity to walk away withfresh ideas.

New Speakers: Over 17 brand new participants on the agendameans even if you’ve attended FIMA before, you’ll take awaybrand new perspectives.

Workshop On Data Quality: How are you improving your dataif you don’t have the means to measure improvements? Andwhat are the keys to establishing an effective data qualityprogram? Join our first ever Data Quality workshop hosted byRBC Capital Markets. See page 5 for details!

Stay Ahead Of The CurveRegister Today:

See Page 11 For GroupDiscount

Information

Why You Cannot AffordTo Miss FIMA 2011…

Reasons

Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535Email: [email protected] Visit: www.fima2011.com

FIMA represents a singular point where the underlying symptomsthat contributed to the failure of the financial system meet –transparency, timeliness, and comprehensiveness of data

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Sponsors: Organized by:

2 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: [email protected] Visit: www.fima2011.com

AGENDADAY 1: MONDAY, MARCH 21

DATA QUALITY & RISK WORKSHOP DAY

GLANCE

AT-A

8:15 Continental Breakfast & Registration

8:45 Chairperson’s Opening Address

9:00 Creating A Security Reference Data Quality Program - Where Do IStart? Nick Helton, Global Head of Security Reference Data, Northern Trust

9:35 Panel Discussion: Effectively Managing Data Quality Across TheEnterpriseBrian Lane, Senior Vice President, PME – Product & Pricing, Bank of America– Merrill Lynch; Thomas C. Crimmins, Managing Director, Risk Information,JP Morgan Chase; Yekaterina Sheremetyev, Vice President, Head of DataQuality Office, BNY Mellon

10:10 Refreshment Break & Networking Opportunity

10:35 Supercharged AnalyticsRick Miller, Vice President, Credit Risk Data Solutions, CIBC

11:10 Kickoff of Interactive Roundtables (First 2 Tables)

12:00 Lunch For All Attendees

12:50 Continuation of Interactive Roundtables (Final 2 Tables)

1:40 Co-Presentation: Exploring Business And Technical Aspects Of GoingFrom A Legacy Hierarchy System To An Enterprise MDM SolutionLevert James, Director, Counterparty Risk Information Management, FannieMae; Rong Hua, MDM Team Lead, Fannie Mae


2:35 Data Quality Workshop: Operationalizing Your Data Quality Program – Getting To Day OnePaul Childerhose, Associate Director, Securities Data Services, RBC CapitalMarkets; Ryan Koershuis, Partner, Helios Group

5:35 End of Day One

DAY 3: WEDNESDAY, MARCH 23OPERATIONAL, RISK & BUSINESS ISSUES (PART 2)

8:15 Continental Breakfast & Opportunity To View The Solutions Zone


9:00 Pulling Your Reference Data Strategy TogetherGuillaume Complainville, Director, Global COO for Shared Services and Headof Strategy & Change for Reference Data, Barclays Capital

9:35 Panel Discussion: Creating A Five Year Roadmap Towards EDMKenneth M. Brady, Senior Vice President, Chief Data Officer, MF Global; Peter Fever, Vice President, Investment Systems, Wellington Management; John Mulholland, Global Head of Reference Data, RBC Capital Markets

10:10 Market Transparency & Standards In Reference Data Francis Gross, Head of Division, External Statistics, European Central Bank

10:45 Refreshment Break & Opportunity To View The Solutions Zone

11:15 Panel Discussion: Lessons Learned – Reducing Risk, IncreasingTransparency, And Improving The User Experience In DataManagement Larry Scott, President North America, Ness Technologies

11:50 Data Governance – The Next Generation & The Increased ExpectationsTom Llaneza, VP Data Governance Operations & Programs, GE AssetManagement

12:25 Panel Discussion: The Convergence Of Data & Emerging Technology Olivier Rose, Head of Projects and International Data Management, SocieteGenerale Securities Services; Peter Fever, Vice President, InvestmentSystems, Wellington Management


1:50 Panel Discussion: Integrating Your Data Post-Deployment Of YourSecurities MasterJohn Simeone, Director, Product & Pricing Information Systems, Bank ofAmerica – Merrill Lynch; Ross Brightman, Manager, Data Operations,Wellington Management Company

2:25 Panel Discussion: Assessing The Cost Vs. Performance Model Of Off-Shoring/Outsourcing Data Operations David Goldberg, Managing Director, BNY Mellon; Mark Januszka, VP – EDMRegional Head – Americas, HSBC; Olivier Rose, Head of Projects andInternational Data Management, Societe Generale Securities Services

3:00 Data 2021: Opportunities And Challenges Over The Next DecadeThomas C. Redman, Ph. D., “the Data Doc,” Navesink Consulting Group

3:35 Final Refreshment Break & Opportunity To View The Solutions Zone

4:00 End of FIMA 2011

DAY 2: TUESDAY, MARCH 22OPERATIONAL, RISK & BUSINESS ISSUES (PART 1)

8:05 Continental Breakfast, Conference Registration & Opportunity To ViewThe Solutions Zone

8:40 Welcoming RemarksJarrett Spagnoli, Executive Director, FIMA 2011


9:00 Improving Reference Data Quality Through Six SigmaSean Howell, Vice President, Data Management Services, Fidelity Investments

9:35 New Consumer-Centric Business Models; Getting Clients The Data TheyNeedDale Richards, President, North America, First Derivatives

10:10 Establishing An Integrated Data Framework For Managing Risk Duane C. Good, Head of Risk Systems & Projects, HSBC


11:25 Panel Discussion: Exploring The Current State Of Data ManagementJohn Bottega, Chief Data Officer – Markets Division, Federal Reserve Bankof New York; Amy G. Harkins, Senior Vice President, BNY Mellon AssetServicing, BNY Mellon; Nick Helton, Global Head of Security ReferenceData, Northern Trust; Rick Wilson, VP of Sales, Trillium Software

12:00 The Data Management Regulatory State Of AffairsMike Atkin, Managing Director, EDM Council

12:35 Morning Roundtable Discussions


2:00 Chairperson’s Afternoon Address

2:10 Transforming Data Into Valuable Enterprise Business IntelligenceTimothy Ryan, Vice President, Head of Performance Measurement, HartfordInvestment Management Company

2:45 Co-Presentation: Effective Data Strategies To Manage Enterprise Risk Ravi Vaidyanathan, Vice President, Asset Management & Capital Markets,Hexaware Technologies; Ravi Varadachari, Global Head, RiskTech,Hexaware Technologies

3:20 Afternoon Roundtable Discussions


4:15 Panel Discussion: Building A Strategy For Managing Global LegalEntity Data That Meets Your Risk And Compliance StandardsJohn Bottega, Chief Data Officer – Markets Division, Federal Reserve Bankof New York; Vik Delory, Vice President, Enterprise Data, Morgan Stanley;John Place, Product Marketing Manager, Standard & Poor’s

4:50 Taking A Risk-Based Approach To Establishing Customer DataIntegrationRichard Livesley, Head of Governance, Quality and Metadata, BMO Financial

5:25 FIMA 2011 Happy Hour

6:30 End of Day Two

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Who Will You Meet At FIMA? ..................below

Conference At A Glance ..................................2

Data Quality & Risk Workshop Day ...............4-5

Operational, Risk & Business Issues (Part 1) ...6-7

Operational, Risk & Business Issues (Part 2) ...8-9

About The Sponsors ......................................10

About The Media Partners .............................10

The Solutions Zone ........................................11

Conference Pricing & Team Discounts ............11

Hotel Information ..........................................11

Registration Form ..........................................12

Table Of Contents:

Already in attendance as speakers at FIMA2011 are more than 35 leading reference datamanagement professionals, all covering topicsthat are of fundamental importance to yourenterprise-wide data management initiatives.This point alone ensures that the difficultquestion to answer at this event is ‘who’s nothere?’ rather than who is.

If you are a Vice President, Director orManager of:• Product & Pricing Data• Reference Data Management• Client/Counterparty/Entity Data• Corporate Actions• Market Data• Data Operations• Data Services• Enterprise Data• Data Architecture• Credit Risk• Data Quality• Data Governance

You do not want to miss this advantageousnetworking opportunity!

Who Will You MeetAt Fima 2011?

• New Content: It is increasingly importantthat data managers understand andleverage the knowledge of dataconsumers – enabling them to better alignwith the business, risk and compliance.

• New Format: You can’t put a price on thevalue of networking and brainstorming.The roundtable discussions at FIMA are aprogram highlight – but you can’t miss ourfirst ever data quality workshop hosted byRBC Capital Markets. See page 5 fordetails!

• New Speakers: Over 17 brand newparticipants on the agenda means even ifyou’ve attended the show before, you’lltake away brand new perspectives andfresh ideas.

You Asked And WeDelivered:

FIMA Attendees – Some Insight:

The number one reasonFIMA attendees comeback each year

■ 78% To Learn AboutNew trends

■ 18% To Network

■ 4% To Benchmark

Annual budget ofattendees for externaldata managementsolutions/services

■ 41% Over $1.5 million

■ 15% Over $750K

■ 26% $250K-$750K

■ 18% Under $250K

Over the next 12-18 months FIMAattendees are planning to spendbudget in the following areas

■ 33% Security Master Solutions

■ 63% Data Integration

■ 26% Market Data

■ 19% Entity Data Solutions

■ 48% Risk and Compliance

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Dear Colleague,

Data is critical to everything financial institutions do. But for years, data organizations havebeen stuck in the back office, under funded and underappreciated. Now that the financialcrises exposed financial institutions to unprecedented levels of risk, data has emerged to theforefront of corporate strategy initiatives.

“FIMA delivers a uniquely clear focus on reference data challenges.”John Bottega, Chief Data Officer – Markets Division, Federal Reserve Bank of New YorkFIMA represents a singular point where the underlying symptoms that contributed to thefailure of the financial system meet – transparency, timeliness, and comprehensiveness ofdata. In order to better manage and reduce risk, financial institutions will need to improve thequality of their data, and improve the tools and processes that they use to manage it.One place for financial institutions to start is FIMA 2011. FIMA focuses on the operational,risk and business issues surrounding reference data management. Attend the event, andyou’ll have access to the brains of over 40 market leaders – as they deliver case studies,participate on panels, and engage audience members during the interactive roundtables.You’ll walk-away with usable strategies to better manage critical functions such as:• Reference data integration• Establishing data quality metrics• Legal entity exposure• Regulatory restructuring, compliance and reporting• Emerging market, outsourcing and off-shoring opportunities• Data governance modeling • Metadata management

As a data management professional, FIMA 2011 is critical to helping you create yourroadmap for future success. Join us and spend the most productive 3 days, networkingand sharing best practices with key strategists from the world’s leading financial institutions. We look forward to seeing you in New York!Best Regards,

Jarrett SpagnoliProgram DirectorFIMA 2011

- Collecting data quality business rules- Reviewing data quality results and managing exceptions

• Creating metrics and reports that business information ownerscan use to improve data quality across the enterprise


10:35 Supercharged Analytics

Rick MillerVice President, Credit Risk Data SolutionsCIBC

Success in managing risk depends upon predicting futurescenarios well enough to:• Take actions to mitigate risk• Recognize opportunities in the market

This topic focuses on the key enablers in the process in order tospeed overall time to value. In particular, Rick will discuss the roleof data warehouse “appliances” to accelerate the datapreparation, data exploration, and analytics portions of thebusiness process. This will be illustrated through a case study byCIBC, one of North America’s leading banks.

11:10 Kickoff of Interactive Roundtables (First 2 Tables)

The Data Quality & Risk Roundtables:Each 25 minute session will be focused on a specific theme withindata quality and risk. Only here will you brainstorm with yourindustry peers in a closed-door setting; taking away new ideas toimprove your data quality program.

Table 1: Creating Financial Information Certainty For BaselComplianceHosted by: Rick Wilson, VP of Sales, Trillium Software

Table 2: Trends In Data Convergence; Reference Data,Market Data, Time-Series DataHosted by: Dale Richards, President, North America, FirstDerivatives

Table 3: Preparing For The Reference Data Impacts OfRegulatory ReformHosted by: Fred M. Cohen, Group Vice President, Global Head –Capital Markets & Investment Banking, Patni Computer Systems

*There are 4 total tables.

For more information on hosting a roundtable, call JarrettSpagnoli at 646.200.7463 or email him [email protected].

*Check www.fima2011.com for updates on Moderators and tablethemes.

8:15 Continental Breakfast & Registration


9:00 Creating A Security Reference Data Quality Program -Where Do I Start?

Nick HeltonGlobal Head of Security Reference DataNorthern Trust

• Building organizational support • Evaluating organizational needs • Alternative solutions • Creating actionable data quality measures

9:35 Panel Discussion: Effectively Managing Data QualityAcross The Enterprise

Brian LaneSenior Vice President, PME – Product & PricingBank of America – Merrill Lynch

Thomas C. CrimminsManaging Director, Risk InformationJP Morgan Chase

Yekaterina SheremetyevVice President, Head of Data Quality OfficeBNY Mellon

Your company’s customer, product, financial, and supply chain dataare not managed by your IT organization alone. Business informationowners, such as data analysts and data stewards, need to collaboratewith the IT organization to make sure these critical data assets arecomplete, accurate, consistent, and current across the entire company.This panel will discuss the challenges and lessons learned associatedwith effectively managing reference data quality within theirorganizations.

• Monitoring the capabilities that you need to manage to increasedata quality

- Data analysis- Data cleansing- Data matching- Exception handling- Financial reporting

• Ensuring that you have the IT infrastructure to support data qualityprocesses throughout your organization

• Fostering collaboration with business information owners and IT - Defining data quality dimensions- Building data quality scorecards

Without a holistic approach to data management across the enterprise,financial institutions will continue to struggle to obtain an accurate picture oftheir investments and their true risk exposure in the market. They’ll also havetrouble fulfilling the requirements of regulatory compliance, especially as theindustry is now coping with tighter regulatory scrutiny.

How do you establish an effective data quality program? How do you measurehigh quality data? How can you overcome governance and implementationchallenges?

All these questions and more will be posed, discussed, and debated during theData Quality and Risk Workshop Day at FIMA.

With a full day consisting of roundtables, panels and case-studies, you areguaranteed to walk away with actionable insights into improving yourown data quality program.

The roundtables are designed to be a continuation of the day’s content –providing you with an informal opportunity to brainstorm about what you’velearned and to chat “off the record” with your peers. Each 25 minute sessionwill be focused on a specific theme within data quality, risk and metrics.

Sample roundtable themes include (but are not limited to):• Managing Data Quality Across The Enterprise• Getting Metrics Right – Evaluating Data Quality Measurements To Enhance

Business Operations• Using Metrics To Verify, Validate And Prioritize Your Business Objectives• Evaluating Vendor Performance To Reduce Costs And Increase Data Quality• Establishing An Integrated Data Framework For Managing Risk • Taking A Risk-Based Approach To Establishing Customer Data Integration

With Table Moderators from:


DAY 1: MONDAY, MARCH 21DATA QUALITY & RISK WORKSHOP DAY


12:50 Continuation of Interactive Roundtables (Final 2Tables)

1:40 Exploring Business And Technical Aspects Of GoingFrom A Legacy Hierarchy System To An EnterpriseMDM Solution

Levert JamesDirector, Counterparty Risk Information ManagementFannie Mae

Rong HuaMDM Team LeadFannie Mae

Data quality and availability is critical to operational efficiency, timelycompliance, client service and controlling risk. To achieve this, dataneeds to be available across business and technology silos, and bemanaged as an enterprise resource. Levert and Rong will discuss thebusiness and technical challenges involved in migrating from a legacyenvironment to an enterprise-wide platform.

• Creating a close relationship between business and technology toensure optimal funding and architectural usability

• Identifying the challenges associated with converting a legacy riskmanagement system into a fully functional enterprise MDM

• Determining the solutions that delivers the business need and fitinto technology architecture

• Examining the lessons learned and critical next steps


2:35 Data Quality Workshop: Operationalizing Your DataQuality Program – Getting To Day One

Paul ChilderhoseAssociate Director, Securities Data ServicesRBC Capital Markets

Ryan KoershuisPartnerHelios Group

RBC Capital Markets’ Securities Data Services group is comprised ofalmost 50 Operations people working in 5 geographical locationsresponsible for stewardship of the firm’s reference data assets. In2010, four years after their establishment, a new mandate wasestablished for Manager of Data Quality & Controls. This dynamic,hands-on workshop will provide your team with first-hand insightsand take-away tools on how to effectively ‘Operationalize’ a DataQuality Program within your existing Reference Data operations.

There has been much discussion on data management objectives andthe software solutions available to support a capability. These aspectsare important, but represent a portion of a comprehensive plan.Operational planning is a critical aspect of an implementation –activities, roles, interdependencies and tools must be defined toensure a data quality program manages what matters, leveragesexisting operational capabilities and is valued by internal clients. Toooften, challenges quickly emerge when it comes time to “turn thekey” on a new data management function or group. This result isEDM projects – already complex and highly visible – become morecostly and risky than need be or not delivering on the objectivesoutlined at the start of the initiative.

Join Paul and Ryan in this 3-hour, interactiveworkshop to find out how RBC Capital Marketsis ensuring operational readiness as theycontinue to rollout a global EDM capability.

Addressing this issue requires taking anoperational perspective by looking at theoutcomes and supporting processesrequired to achieve the desired endstate. Understanding what and howstaff are going to “work the data”through the resolution life cycle is an important consideration of anydata management program.

Classic organizational design questions will be addressed,including:• What activities will contribute to desired outcomes?• What are the core activities of the group?• Who will the group need to work with, rely

upon, and deliver to?• What are the inputs and outputs?

Firms already have well defined operationsprocesses to support manual datamanagement such as security setups,corporate actions updates and datarepair. As a data managementprogram is implemented, new activities will be created such asreconciliations or the detection of “suspect data” – often in largevolumes requiring bulk repair.

The process of “Getting To Day 1”, takes data management outcomesand to drive the activities, tools and relationships to be integrated intoan operations function. This requires planning and decisions whichare unique to each firm. However, the questions that need to beanswered are common, and they’ll be outlined in this workshop.

5:35 End of Data Quality & Risk Workshop Day

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Outcomes

Processes

Resources

Vision

Clients

ITDQ

Ops

“I got a lot of value out of the informaldiscussions during the roundtable day atFIMA. People seemed a lot more candid

about the challenges they were facing and we all shared ideas for how to address

them.”Tracey Plantier, Managing Director, Babson

Capital Management

“Useful and informative when seeking information on how

companies are approaching centralizationof reference data”

Natalie Williams, Business Analyst, HSBC


10:45 Refreshment Break & Opportunity To View TheSolutions Zone

11:25 Panel Discussion: Exploring The Current State OfData Management

John BottegaChief Data Officer – Markets DivisionFederal Reserve Bank of New York

Amy G. HarkinsSenior Vice President, BNY Mellon Asset ServicingBNY Mellon

Nick HeltonGlobal Head of Security Reference DataNorthern Trust

Rick WilsonVP of SalesTrillium Software

The financial industry has been shaken by the credit and mortgagefallout. Behind the scenes, data management executives couldhave predicted this. So where do we go from here? Right nowno one has great, clean data. But it is all about “staying thecourse”. Being committed, remaining tactical, continuing to buildsupport and educating, internally and externally. This panel takesa look at where we’ve come from and where we should be going.

• How have data management priorities shifted as a result of theheightened focus on risk?

• Are budgets still being scrutinized? - 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 yourregulatory 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 ordoes the trading (business) side drive improvement?

• Examining the evolving role of data governance and stewardship - Who owns the data and why?- How can data executives assert their governance priorities?

• Looking at potential cost reductions with outsourcing andoffshoring

• Data management predictions: Where will we be in 3 years?

12:00 The Data Management Regulatory State Of Affairs

Mike AtkinManaging DirectorEDM Council

The newly created Office of Financial Research has crafted legislationthat will fundamentally change the practice of data management inthe financial industry. As this legislation shifts from framework toimplementation, financial institutions and solution/service providerswill need to evolve. Join Mike Atkin as he’ll unveil the datamanagement “State of Affairs” at FIMA 2011. He’ll discuss wherewe are, how we got here, and where we’re heading.

12:35 Morning Roundtable Discussions

These tables are designed to be a continuation of the day’scontent – we’ll break the tables into specific topic areas – you canparticipate in the table that seems most relevant to yourchallenges.

Please visit www.fima2011.com for updates on table themes andhosts.

8:05 Continental Breakfast, Conference Registration &Opportunity To View The Solutions Zone

8:40 Welcoming Remarks

Jarrett SpagnoliExecutive DirectorFIMA 2011


9:00 Improving Reference Data Quality Through Six Sigma

Sean HowellVice President, Data Management ServicesFidelity Investments

Enterprise data quality programs are inherently risky because they arelong running and span several business functions. Applying Six Sigmamethodologies can help you better manage your EDM environment byusing techniques to identify root cause and focus on end-to-endprocess to determine the highest priorities for improvement. Sean willoutline how his team applies Six Sigma methodologies and tools toincrease data quality and improve processes across their business.

• Removing waste and increasing efficiencies• Managing through facts (Providing evidentiary proof)• Utilizing objective tools to help set priorities• Establish ongoing success measures• Creating a common language across your firm

9:35 New Consumer-Centric Business Models; GettingClients The Data They Need

Dale RichardsPresident, North AmericaFirst Derivatives

This session will focus on global trends in data management toconsumer-centric “business models” from leadership skills, productorientation, architecture, organizational issues, philosophy, technology/ delivery methods, data transformation, agility and key drivers.

• Data needs of consumers are divergent and specialized• One-size fits all is not an option, it never was• Use of data as competitive business differentiator means that needs

differ by function, content, biz rules, format, source, level ofenrichment, timeliness, purpose, quality, etc

• Data management is not about forcing clients to use “approved”data, it’s about getting them the data they want

10:10 Establishing An Integrated Data Framework ForManaging Risk

Duane C. GoodHead of Risk Systems & ProjectsHSBC

Most financial institutions are heightening their focus on managingrisk. HSBC has created an integrated organization for managing risk,responsible for the data infrastructure that supports risk. Duane isfocused on creating an enterprise level function for managing dataand risk. In this session, he’ll discuss how they are going aboutachieving that single, consolidated view of risk.

• Defining your problem – what are the challenges to data integrationwithin your firm?

• Building a roadmap for getting a single, consolidated view of riskacross your firm

• Creating a data infrastructure as your key first step to managing riskon an enterprise level

• Bringing customer data together into an integrated data warehouse

DAY 2: TUESDAY, MARCH 22OPERATIONAL, RISK & BUSINESS ISSUES (PART 1)

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Table themes include (but are not limited to):• Getting Metrics Right – Evaluating Data Quality Measurements To

Enhance Business Operations• Managing The Funding Process For Data Management In A

Turbulent Financial Market• Optimizing Data Management Through Strategic Alignment Of

Business, IT And Operations• 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• EDM And The Roadmap Ahead• Integrating Data Across A Global Organization


2:00 Chairperson’s Afternoon Address

2:10 Transforming Data Into Valuable Enterprise BusinessIntelligence

Timothy RyanVice President, Head of Performance MeasurementHartford Investment Management Company

This session covers the following universal points and makes themtangible by using an investment management firm as an example.

• Focus on a holistic view of your company, its stakeholders, corefunctions, critical duties and required insights

• Match your professional purpose to a sustainable value addedproposition to clients, your firm, its stakeholders and its purpose

• Strategic insights to your firm from you: Competing on Analytics &other writings

• Turning investments in (industry standards, etc.) compliance intostrategic advantage

2:45 Co-Presentation: Effective Data Strategies To ManageEnterprise Risk

Ravi VaidyanathanVice President, Asset Management & Capital MarketsHexaware Technologies

Ravi VaradachariGlobal Head, RiskTechHexaware Technologies

• Significance of Data Management in Managing Risk• Data management - Best Practices • Data Strategies Roadmap • Success Stories

3:20 Afternoon Roundtable Discussions


4:15 Panel Discussion: Building A Strategy For ManagingGlobal Legal Entity Data That Meets Your Risk AndCompliance Standards

John BottegaChief Data Officer – Markets DivisionFederal Reserve Bank of New York

Vik DeloryVice President, Enterprise DataMorgan Stanley

John PlacePoduct Marketing ManagerStandard & Poor’s

Understanding your client’s solvency and reliability are the keys tounderstanding exposure and market risks. But for most financialinstitutions, client data is held in a siloed environment and indatabases across the organization. So how are you meeting thechallenges of the changing regulatory landscape that require accurateand timely counterparty data? Our panelists discuss best practices formanaging global 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 the challenges to integrating 3rd party counterparty datainto your systems

• Overcoming the barriers of working with your legacy client databases• Ensuring the entity information is accurate, auditable and from

credible sources• Continually updating your data for corporate actions and other changes

4:50 Taking A Risk-Based Approach To EstablishingCustomer Data Integration

Richard LivesleyHead of Governance, Quality and MetadataBMO Financial

Richard’s responsibility is to generate an enterprise view of datagovernance and quality within his firm. His end goal is on gainingthat 360 degree view of the customer. In this session, Richard willfocus on how his firm has taken a risk-based approach to their datamanagement program. He’ll discuss the work they’ve done aroundcontrols, and how they’ve created an information assurance programand the impact that it has had on data integration.

• Going beyond data quality through an operational risk lens• Linking data quality to your business objectives• Understanding the controls you need in place to effectively monitor

and measure data quality

5:25 FIMA 2011 Happy Hour

After a day filled with constructive discussion, case studies and criticalinformation for your data management operations, RELAX, UNWIND andmake new friends and contacts at the Networking Cocktail Party! Takeadvantage of this opportunity to network with the industry’s brightestand most forward thinking leaders in a relaxed and informal atmosphere.Bring plenty of business cards and expand your reference data network!

“Great speakers from highprofile companies giving short,

succinct presentations”Rebecca Barnes, Information Systems,

M&G LtdEnjoy The Informal Evening Function At FIMA


11:15 Panel Discussion: Lessons Learned – Reducing Risk,Increasing Transparency, And Improving The UserExperience In Data Management

Larry ScottPresident North AmericaNess Technologies

Reference data has traditionally been the domain of the back office. Butin today’s environment of increased regulatory scrutiny, enhanced riskmanagement practices, and an intensified focus on transparency, abrighter light is shining on reference data. Risk and data managementare now interwoven. With the impact on information mandates of BaselIII still not fully determined and costs for non-compliance deemed to besubstantial, it is likely that reference data management will remain inforefront for financial services organizations. This panel will discusslessons learned in enterprise information and reference datamanagement and how they can be applied to address future challenges.

11:50 Data Governance – The Next Generation & TheIncreased Expectations

Tom LlanezaVP Data Governance Operations & ProgramsGE Asset Management

The data governance philosophy has evolved considerably over the past5-10 years. But have data governance organizations made a difference?In this session, Tom will walk you through the journey that data governorshave taken over the past 5 years. He’ll highlight the progress that’s beenmade, identify what he believes are the industries “new” challenges, andlay the foundation for the next group of “data” universes which need tobe developed. Tom will address some tough questions, such as:

• Are you comfortable with our current position in the investmentprocess?

• Are we making a difference?• Have we developed past the “PROJECT” stage and into the

“OPERATIONAL” stage?• Have business expectations changed, and are we meeting the

expectations?• What challenges does the industry face, and do they impact Data

Governance operations?• Are we willing to take on the next challenge and increased

expectations?

12:25 Panel Discussion: The Convergence Of Data &Emerging Technology

Olivier RoseHead of Projects and International Data ManagementSociete Generale Securities Services

Peter FeverVice President, Investment SystemsWellington Management

Data quality and governance programs have greatly matured over thepast 10 years. Now data management technologies are evolving too.Data architects are leveraging their technical backgrounds andapplying them to large-scale data storage models. Data virtualizationand cloud computing are impacting the way applications need toaccess data. This panel will address the impact that new technologiesare having on traditional data management models.

• Assessing the future state of technology for data management:What technologies do you need to prepare for (short and long term)

• Cloud meta data: How open source technologies will enable andchange your business model

• Next generation architectures: Evolving the way that informationand supporting infrastructure is managed

• Utilizing technology to transform your data into business intelligence

8:15 Continental Breakfast & Opportunity To View TheSolutions Zone


9:00 Pulling Your Reference Data Strategy Together

Guillaume ComplainvilleDirector, Global COO for Shared Services and Head of Strategy& Change for Reference DataBarclays Capital

• Assessing current state of reference data through different lenses• Defining the various facets of a successful Reference Data Strategy• Organizing your teams • Setting up the right governance model to face off with stakeholders• Syndicating vision and securing funding• Managing reference data projects in an effective manner

9:35 Panel Discussion: Creating A Five Year RoadmapTowards EDM

Kenneth M. BradySenior Vice President, Chief Data OfficerMF Global

Peter FeverVice President, Investment SystemsWellington Management

John MulhollandGlobal Head of Reference DataRBC Capital Markets

High-performance organizations depend on reliable enterprise-widedata. But there are numerous challenges that can interrupt thesuccess of these multi-year programs. Our panel will walk youthrough every stage of an enterprise-wide data managementprogram, from forming a strategy to implementing technology andenhancing processes.

• Mapping your business priorities- Realizing EDM is a longer-term initiative - Getting away from trying to be all things to all people

• Making process more of the issue than data- Ensuring your data is where it needs to be at the right time

• Confronting the obstacles to achieving enterprise-wide views of dataacross different lines of business

• Examining how to create uniform workflows that go across businesslines

• Looking closely at gaps in technology, risk and organizational buy-in- Is EDM important to your CIO, CTO and CRO?

10:10 Market Transparency & Standards In Reference Data

Francis GrossHead of Division, External StatisticsEuropean Central Bank

Francis examines the current and future plans for developing a registerof instrument data and entity data, which together would provide theframe of a data utility infrastructure. Join this interactive presentationand give your views on how data can be most effectively standardizedacross all securities and asset classes.


DAY 3: WEDNESDAY, MARCH 23OPERATIONAL, RISK & BUSINESS ISSUES (PART 2)

9


1:50 Panel Discussion: Integrating Your Data Post-Deployment Of Your Securities Master

John SimeoneDirector, Product & Pricing Information SystemsBank of America – Merrill Lynch

Ross BrightmanManager, Data OperationsWellington Management Company

Implementing a security master will solve all of your problems, right?Not exactly. Once your security master is integrated and deployed,you’ll still be faced with integration challenges. Our panel examinesstrategies for identifying and linking information about your securities,creating an accurate, integrated view of your information.

• Ensuring that your data is properly cleansed• Integrating information from various data sources into one master

record• Strategies for getting beyond deployment and integrating your data

to downstream applications• Overcoming your own internal politics when creating your rules of

survivorship• Re-mapping your applications to point at your securities master –

not directly to the data vendor• Overcoming structural differences in the data formats• Feeding that information back to your applications to create a

consistent view of your enterprise data• Utilizing that information as the impetus for gaining new

opportunities and more immediate signs of potential risks

2:25 Panel Discussion: Assessing The Cost Vs. PerformanceModel Of Off-Shoring/Outsourcing Data Operations

David GoldbergManaging DirectorBNY Mellon

Mark JanuszkaVP – EDM Regional Head – AmericasHSBC

Olivier RoseHead of Projects and International Data ManagementSociete Generale Securities Services

Financial institutions vary in what they believe they can outsourceand/or off-shore. Some believe that certain functions are too integralto their organizations profitability and reputation to outsource or

offshore. Others believe that they can appropriately manage offshoreoperations, and outsource with effectiveness (and at the right cost).Our panel will discuss where to outsource, where to offshore, andwhere to exercise caution.

• Evaluating off-shoring as an alternative to outsourcing: efficiency,cost reduction and maintaining data security

• Dealing with common problems that arise- Client confidentiality- Employee retention – have you lost the ability to retain an

outsourced resource?- Cultural challenges

• What makes sense to offshore and what doesn’t?• What makes sense to outsource and what doesn’t?• How can you incentivize the resources that you have hired to work

with passion and dedication? • How will off-shoring and outsourcing impact your EDM strategy?

3:00 Data 2021: Opportunities And Challenges Over TheNext Decade

Thomas C. Redman, PhD“the Data Doc”Navesink Consulting Group

The “data business” is changing so rapidly that it is hard to see to theend of the month, never mind a decade ahead. But unless one givessome thought to the future, one cannot possibly be prepared. It iseasy to see the big trends, particularly the continuing deluge ofincreasing:

• Regulator demands• Volume of data• Complexity, and so forth

It is more difficult to spot the nascent trends and ideas (many of whichare outside financial services) that could fundamentally alter thelandscape. As one example, the notion that “data are assets” isgaining currency in some sectors.

This session summarizes these ideas and trends. It speculates howthey will unfold, the challenges and opportunities they bring, and howthey will shape the data organization of the year 2021. Finally, sometimeless fundamentals will not change. These remain the foundationfor getting from here to there.

3:35 Final Refreshment Break & Final Opportunity To ViewThe Solutions Zone

4:00 End of FIMA 2011

“FIMA 2010 was a solid industry event. There were a wide rangeof speakers who spoke about many of the issues I face in datamanagement. I definitely took away a lot from the conference

that will help with our data initiatives.”Sheila Tully, Vice President, Market Information, Brown Brothers Harriman


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Team discounts will automatically be applied when youregister online. If you have any further queries pleasecontact Bill Penney for more information at416.597.4777, or call our customer service line at1.888.482.6012. Please note that these discounts only

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Venue Information

The FIMA 2011 Solutions Zone

Bridgewaters11 Fulton StreetAtop the Fulton Market BuildingAt the South Street SeaportNew York City, NY 10038www.theglaziergroup.com/restaurants/bridgewaters/index.html

For every registrationreceived for FIMA 2011,WBR will donate a portionof the registration fee toSmile Train. For moreinformation about WBR’sinvolvement with Smile

Train, please visit www.fima2011.com.

11

Conference Pricing for Register By Register By Register By Full Financial Institutions 12/25/2010 To 1/31/2011 To 2/28/2011 To Conference

Get $600 Off Get $200 Off Get $100 Off Price

Conference PackageMarch 21-23, 2011 $1,799.00 $2,199.00 $2,299.00 $2,399.00

• Optimize your time at the FIMA 2011conference by visiting The Solutions Zone.The Solutions Zone features companies thatprovide technologies and services to help youmanage reference data. For yourconvenience, the networking activities atFIMA 2011, including breakfasts, roundtables,coffee breaks and receptions are nowcentrally located in The Solutions Zone.

• The Solutions Zone supplies you withcomplete solutions for acquiring, validating,cleansing and integrating all of your clientand product reference data. All of theparticipants in The Solutions Zone offer thelatest advances in reference data solutions,management and implementation. Keysolution areas include: legal entity data,corporate actions, compliance & reporting,risk management, data quality, outsourcing,centralization and much more!

• There is a vast array of solution providersavailable out there…the key is finding theright one for you. Today, more than everbefore, it is critical for you to make smartinvestment decisions that will produceimmediate results. We’ve taken some of theguesswork out of the process. Onlycompanies leading the way in reference datamanagement will be allowed into TheSolutions Zone.

Do you have a product, solution or servicethat helps optimize data operations?Would you like to network with over 150Heads of Reference Data from the world’slargest financial institutions? Call JarrettSpagnoli at 646.200.7463 for marketingopportunities at FIMA 2011.

Conference Pricing for Others

Conference Package March 22-23, 2011 $2,498.00

Group Pricing (Financial Institutions)

3+ Attendees *$100 off theprevailing tier

VIP Package

(Select any package above and for an additional $250 gain access to select audio presentations to this event) $250

CD-ROM Only $580

REGISTRATION INFO

Situated in the heart of the historic South Street Seaport and minutes from the financialdistrict, Bridgewaters boasts some of Manhattan’s finest views; from the majestic expanseof the Brooklyn Bridge, to the tall ships of the New York Harbor and the Wall Street skyline.For recommended hotels, visit our website www.fima2011.com

Nearby Hotels:Please find a list of suggested hotels below. Note that WBR has no affiliation or discounts in placewith any hotels.

WALL STREET INN9 South William StreetNew York NY 10004Phone - 212 - 747-1500

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NEW YORK MARRIOTT FINANCIAL CENTER HOTEL85 West StreetNew York, New York 10006Phone – 212-385-4900Fax – 212-385-9174

HILTON MILLENIUM55 Church StreetNew York, New York 10007Phone – 212-693-2001

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all: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535

Email: fim

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Visit: w

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anagersunderstand and leverage the know

ledge of data consumers – enabling them

tobetter align w

ith the business, risk and compliance.

Interactive Fo

rmat:You can’t put a price on the value of netw

orking andbrainstorm

ing. Our roundtable discussions allow

the attendees to be more

candid about the challenges they face, and give them the opportunity to w

alkaw

ay with fresh ideas.

New

Speakers:O

ver 17 brand new participants on the agenda m

eans even ifyou’ve attended FIM

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ay brand new perspectives.

Wo

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ata Qu

ality: How

are you improving your data if you don’t

have the means to m

easure improvem

ents? And w

hat are the keys toestablishing an effective data quality program

? Join our first ever Data Q

ualityw

orkshop hosted by RBC C

apital Markets. See page 5 for details!

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A 2011…

Reaso

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FIMA

represents a singular point where the underlying sym

ptoms

that contributed to the failure of the financial system m

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