eDISCOVERY FOR FINANCIAL SERVICES CONFERENCE

NEW YORK, NYFEBRUARY 6-7, 2012

Desmond Tutu Conference Center

Commercial Banks, Investment Firms, and Insurance companies have unique regu-latory requirements and processes that impact how they conduct internal inves-tigations caused by regulatory inquiries, litigation, antitrust and whistleblowers. The industry uses a variety of resources to conduct the investigation, including inter-nal response teams and outside counsel consultants. With the scope of these inves-tigations often ranging beyond simply re-viewing email and created user accounts, extending to enterprise applications for financial & HR information, file-shares, document management systems, collabo-ration tools, and structured databases for sales, marketing, trading and investments, the manner in which these internal investi-gations are conducted and the tools used requires a tremendous amount of technol-ogy and resources, which is where eDiscov-ery becomes an important asset. eDiscovery has become an essential tool in the arsenal of general counselors and liti-gation experts, as they wade through enor-mous amounts of electronic data stored on their computers, PDAs and company serv-ers. As techniques for obtaining data have become increasingly sophisticated, and in parallel, technology continues to enable ex-ecutives anytime access to all of their files via multiple devices, eDiscovery becomes even more critical, as do data storage and management capabilities. Through an insightful examination of the strategies that leading organizations are utilizing to best manage their data in advance of any litigation, as well as discussions focused on recent cases impacting the life science in-dustry, this program will provide counselors and litigators with answers to their pressing eDiscovery challenges.

PROGRAM OVERVIEW

Examining Cost-Effective and Strategic eDiscovery Procedures Specific to Financial Institutions through Exploring New Methods of Data Preservation and Records

Management, Addressing the Latest Federal Regulations and Agency Investigations, and Progressive Opportunities when Transitioning to Cloud Computing

500 N. DEARBORN, SUITE 500 CHICAGO, IL 60654 (P) 312.822.8100 (F) 312.602.3834 www.q1productions.com

Honorable Craig ShafferMagistrate JudgeU.S. DISTRICT COURT, DISTRICT OF COLORADO

Tom SteinLitigation CounselAMERICAN EXPRESS

Marla BergmanVice President, Legal & Internal AuditGOLDMAN SACHS

Seth EichenholtzVice President, eDiscovery Case ManagerSWISS REINSURANCE AMERICA

Ryan McCarthySenior Vice President, Global Information SecurityBANK OF AMERICA

Edsel David Senior Director, Knowledge Management - Deal & Pricing IntelligenceSODEXO

Aaron CrewseDiscovery CounselLITTLER MENDELSON P.C.

Maura R. GrossmanCounsel, LitigationWACHTELL, LIPTON, ROSEN & KATZ

Honorable Frank MaasMagistrate JudgeU.S. DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK

Kathrin FischerLegal, Risk & Capital Management DEUTSCHE BANK

Lisa MarkeyDirector, Information Risk Mgmt.BARCLAYS CAPITAL

Frank Badalamenti Managing Director PRICEWATERHOUSECOOPERS LLP

John LovelandManaging Director PRICEWATERHOUSECOOPERS LLP

Lynn MolfettaGlobal Head of Records Mgmt.CITIGROUP

Katie WinseckDiscovery Services ConsultantKROLL ONTRACK

Eric Robinson, J.D., PMP Discovery Services Consultant KROLL ONTRACK

Tiffany FergusonPartnerPUGH, JONES & JOHNSON

John A. StenShareholderGREENBERG TRAURIG LLP

Honorable Robert CollingsMagistrate JudgeU.S. DISTRICT COURT, DISTRICT OF MASSACHUSETTS

Russel D. Francisco, Esq.Assistant General Counsel,Bank of AmericaMERRILL LYNCH

Jennifer SheaeDiscovery Product Manage-ment, Legal TechnologyBANK OF AMERICA

Shari Markowitz Savitt General Counsel EISNERAMPER LLP

David CohenPartnerREED SMITH LLP

Craig L. SmithManaging DirectorHURON LEGAL

Patricia E. AlbertseDiscovery Career AssociateORRICK, HERRINGTON & SUTCLIFFE

Colleen E. Freeman, Esq.Client Relationship Manager, Discovery ServicesDOCUMENT TECHNOLOGIES, INC.

Gabriela P. Baron, Esq.Vice President of Business DevelopmentXEROX LITIGATION SERVICES

DISTINGUISHED PRESENTERS INCLUDE:

Conference Sponsors: Media Partners:

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DAY ONE / MONDAY, FEBRUARY 67:30 REGISTRATION & COFFEE

8:20 CHAIRPERSON OPENING REMARKS & CONFERENCE WELCOME

8:30 MANAGING eDISCOVERY DEMANDS COST-EFFECTIVELY DURING COMPLEX LITIGATION In today’s technologically advanced workplace, increasing amounts of data are stored in an increasing number of ways. Compliance with eDiscovery require-ments can eat up a large share of the litigation budget, especially if eDiscovery is not managed in an optimal manner. Those who are involved in litigation, as well as SEC and other governmental investigations are subject to immense volumes of information that may be demanded. This session will highlight cost-saving strate-gies for slashing eDiscovery costs without incurring substantial liability risks. • Targeted collection methods• Steps undertaken in-house vs. steps better left to outside eDiscovery service providers and outside counsel • Using technology to reduce time and expense of data processing and review• The best cost-saving strategies and their defensibility in courtDavid CohenPartnerREED SMITH LLP

9:20 EXAMINING FEDERAL REGULATIONS, GOVT. INVESTIGATIONS AND THEIR IMPACT ON EDISCOVERY FOR FINANCIAL SERVICESThe regulatory environment surrounding financial institutions creates a whole new realm of challenges when it comes to eDiscovery. Financial institutions are subject to a host of regulations that govern the amounts and type of infor-mation they must create and retain. Customer privacy and security concerns also come into play for them. With new regulations being implemented under the Dodd-Frank Act, and with other new legislation being passed, the com-plexities of eDiscovery for financial institutions will only increase. • Understanding regulatory framework for eDiscovery retention & compliance• Creating and documenting compliance• Developing retention, extraction and documentation strategies• Dealing with privacy & security concerns for government investigationsMODERATOR:Colleen E. Freeman, Esq.Client Relationship Manager, Discovery ServicesDOCUMENT TECHNOLOGIES, INC.

PANELISTS:John A. StenShareholderGREENBERG TRAURIG LLP

10:10 COFFEE & NETWORKING BREAK

10:30 CASE STUDY: MANAGING RISK THROUGH MAKING IMPORTANT eDISCOVERY DECISIONS DURING EARLY CASE ASSESSMENTMany financial firms struggle with analyzing case information and making eDiscovery process decisions during the early stages of litigation. A case is filed and the issues associated with it are unclear, causing litigation profes-sionals to have a vague direction of the eDiscovery process associated with the particular case. This case study session will address how to effectively analyze the information given to make eDiscovery decisions, manage the fi-nancial risks associated with these decisions, and understand the importance of the eDiscovery expert during this stage of litigation.• Making effective decisions with limited information• eDiscovery and risk mitigation• Understanding the value of the eDiscovery expert during early case assessmentSeth Eichenholtz, Vice President, eDiscovery Case ManagerSWISS REINSURANCE AMERICA

11:20 OVERCOMING UNIQUE CHALLENGES OF STRUCTURED DATA ANALYSIS AS PART OF EDISCOVERY FOR FINANCIAL SERVICESMuch of the focus around eDiscovery has traditionally centered on the analy-sis and production of unstructured data such as corporate email, common files such as word processing documents, and the contents of network shares drives, despite the fact that structured data sources, such as database sys-tems, frequently contain evidence that is critical to a particular matter. This session will discuss the unique challenges of identifying, accessing, analyz-ing, and producing structured data found within financial accounting systems, transactional systems of record (such as trading systems), risk management systems, financial/regulatory reporting systems, reference data sources, and other repositories, which are often overlooked in the context of eDiscovery. • What is structured data and how is it important to eDiscovery?• Managing structured data at each stage of the discovery process.• Potential risks and complications associated with structured data.Frank BadalamentiManaging DirectorPRICEWATERHOUSECOOPERS LLP

12:10 LUNCHEON FOR ALL ATTENDEES, SPEAKERS & SPONSORS

1:30 EXAMINING PROGRESSIVE eDISCOVERY OPPORTUNITIES WHEN TRANSITIONING TO CLOUD COMPUTINGThe movement to cloud computing is on the rise for financial services firms around the world, allowing users to have greater flexibility, mobility and stor-age space at a fraction of the cost of traditional software. For eDiscovery professionals, cloud computing is a somewhat complex and novel issue as many of the operational and eDiscovery opportunities remain unfamiliar. This session will examine important steps to be taken as financial organizations transition to the cloud. Key eDiscovery focused opportunities and challenges to be addressed include:• Placement and retrieval of data from cloud• Litigation matters associated with cloud computing• Steps eDiscovery can take to improve operations • Risks associated with shifting to cloud computingAaron CrewseDiscovery CounselLITTLER MENDELSON, P.C.

2:20 TAKING A CONSULTATIVE APPROACH: SUCCESSFULLY EDUCATING EMPLOYEES ON DATA STORAGE AND eDISCOVERY BEST PRACTICESThe role of the eDiscovery team is of utmost importance in financial institu-tions. However, it is essential that employees throughout the company are educated on eDiscovery best practices, and particularly on understanding where to store their emails, documents and other company information. This discussion will focus on using a consultative approach, rather than scare tactics, when teaching the importance of electronic discovery, managing the technological process, and educating the entire company on appropriate data storage policies.• Ensuring all employees have a complete understanding of data storage and retention policies• Taking a proactive approach to eDiscovery when educating employees• In-house technology as a process to be learnedEdsel DavidSenior Director, Knowledge Management - Deal & Pricing IntelligenceSODEXO

3:10 COFFEE & NETWORKING BREAK

3:30 THE GLOBAL DATA DICHOTOMY: AN INTERNATIONAL VIEW OF DISCOVERYThe world in which we live is rapidly becoming globalized. No longer do oceans create boundaries over which communication is impractical, and to-day’s lawyers and corporations are responsible for litigation without borders and discovery without language barriers. Cross-border discovery disputes can create painful headaches, and must be approached in an educated and dili-gent manner. This presentation is a must for any corporation operating on a global scale and will explore the following:• Global discovery/disclosure rules and developments• Disclosure vs. data privacy• Cutting-edge case law and themes you need to knowEric Robinson, J.D., PMPDiscovery Services ConsultantKROLL ONTRACK

4:20 CONQUERING THE eDISCOVERY SOCIAL MEDIA DILEMMA FOR FINANCIAL SERVICESAs financial companies increasingly utilize social media sites such as Twit-ter and Facebook to promote their businesses, the volume of data that needs to be collected for eDiscovery is rapidly mounting. Considering that social media is an exploding mode of communication that will only con-tinue to grow, financial firms must consider steps to overcome the risks involved and develop a successful strategy. Through discussion, this ses-sion will evaluate:• The use of social media research in the defense of litigation• eDiscovery steps taken during litigation when working with social media• Overview of the legal and regulatory impact• Current laws surrounding social media networkingTiffany FergusonPartnerPUGH, JONES & JOHNSON

5:10 DAY ONE OF CONFERENCE CONCLUDES

Russel D. Francisco, Esq.Asst. General Counsel, Bank of AmericaMERRILL LYNCH

DAY TWO / TUESDAY, FEBRUARY 7

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8:00 REGISTRATION & COFFEE

8:25 CHAIRPERSON OPENING REMARKS

8:30 BEST PRACTISES IN ALIGNING eDISCOVERY AND RECORDS MANAGEMENT TO INCREASE RETENTION EFFICIENCY The regulatory environment of the financial industry creates an abundance of challenges for eDiscovery and litigation professionals when determining successful retention strategies and objectives. It is imperative for litigation executives to coordinate their strategies with records management in order to create policies and pro¬cedures for accurate record retention. This session will outline best practices for financial firms when examining current reten-tion schedules and the regulatory changes that will impact those schedules, including the recent issue of back-up tapes. • Overcoming retention difficulties in the financial market• Development of a global documentation strategy• Restoring large amounts of information from back-up tapesLynn MolfettaGlobal Head of Records ManagementCITIGROUP

9:20 JUDICIAL PANEL DISCUSSION: EVALUATION, ASSESMENT AND OUTCOMES OF CURRENT CASES INVOLVING eDISCOVERY With federal regulations constantly evolving, and technology rapidly transform-ing, it is imperative to take a deeper look into recent case law involving eDiscov-ery. This judicial panel will review recent case rulings and decisions surrounding important eDiscovery issues, as well as outline future expectations for rules sur-rounding eDiscovery as a result of new regulatory developments, social media networking and metadata fields for public records. MODERATOR:Maura R. Grossman, Counsel, LitigationWACHTELL, LIPTON, ROSEN & KATZPANELISTS:Frank Maas, Magistrate JudgeUS DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORKRobert Collings, Magistrate JudgeUS DISTRICT COURT, DISTRICT OF MASSACHUSETTSCraig Shaffer, Magistrate JudgeUS DISTRICT COURT, DISTRICT OF COLORADO

10:10 COFFEE & NETWORKING BREAK

10:30 IN HOUSE V. OUTSIDE COUNSEL: DETERMINING THE MOST EFFECTIVE eDISCOVERY PROCESSWhen it comes to eDiscovery, one end of the continuum is handling all in-house matters, while the other end involves outsourcing efforts to outside counsel and consultants. Financial institutions know that an effective eDiscovery strategy is not concentrated to either absolute. It is important to evaluate the continuum by examining combinations of in-house processes and outside consulting, and de-termining which proves most effective for the organization’s eDiscovery needs. • Evaluating current eDiscovery people, process & technology within an organization• Pros/cons of different combinations of in-house methods & outside consulting• Cost savings opportunities Patricia E. AlbertseDiscovery Career AssociateORRICK, HERRINGTON & SUTCLIFFEJohn LovelandManaging Director PRICEWATERHOUSECOOPERS LLP

11:20 PANEL DISCUSSION: PROACTIVELY PREPARING FOR eDISCOVERY IN THE FINANCIAL INDUSTRYJust as risk management professionals perform stress tests prepare for an-other financial crisis, eDiscovery specialists and in-house legal teams should proactively prepare for litigation. Taking steps to develop a self-supporting sys-tem, and having the tools ready to ensure successful implementation of an eDiscovery process are only a few of the many ways companies can prepare for litigation. This round-table panel discussion will share perspectives from multiple financial organizations. Best practices, lessons learned and real-time scenario analysis will be discussed. Jennifer Shea, eDiscovery Product Management, Legal TechnologyBANK OF AMERICA

Lisa Markey, Director, Information Risk ManagementBARCLAYS CAPITAL

Craig L. Smith, Managing DirectorHURON LEGAL

12:10 LUNCHEON FOR ALL ATTENDEES, SPEAKERS & SPONSORS

1:10 MANAGING EDISCOVERY VENDOR RELATIONSHIPS, CAPABILITIES AND OFFERINGS With increased regulations, such as the Dodd-Frank, and SEC investigations creating more litigation, it is crucial for financial institutions to understand a true vendor vetting process to determine what company is the perfect fit for their eDiscovery needs. The cost of eDiscovery is increasing, but it is impor-tant to look at factors beyond the price offering; such as technical capabilities, capacities along the EDRM model, and the specifics of the current case. This discussion outlines exactly what financial service firms should be looking for in order to find the right fit with an eDiscovery vendor. • Matching the needs of a specific case with the correct vendor offerings• Examining capacities through the EDRM process- end-to-end versus one-phase specialist• Establishing a positive vendor-client relationship to form a long-term partnershipMarla Bergman, Vice President, Legal and Internal AuditGOLDMAN SACHSGabriela P. Baron, Esq., Vice President of Business DevelopmentXEROX LITIGATION SERVICES

2:00 ROUND TABLE DISCUSSION: CREATING HARMONY BETWEEN LEGAL, IT, OUTSIDE COUNSEL AND CONSULTANTS Considering the eDiscovery process involves professionals from within a finan-cial organization, outside law firms, vendors and consultants it is imperative that each member involved has the same understanding of the expectations for litigation and the basic regulatory precepts. Regardless of whether a com-pany has one eDiscovery specialist or a seasoned eDiscovery team, all parties involved in the process must be concurrent, particularly for financial firms who are not as involved in constant litigation. This round table discussion will share insight and perspectives from multiple organizations and parties involved. • Improving lines of communication to decrease the chance of information being lost in translation• Sharing expertise so each professional has a complete understanding of the other party’s responsibilities• Implementing project management techniques to improve large, complex eDiscovery effortsAaron CrewseDiscovery CounselLITTLER MENDELSON, P.C.Marla BergmanVice President, Legal and Internal AuditGOLDMAN SACHS

2:50 COFFEE & NETWORKING BREAK

3:00 USING ADVANCED SEARCH TECHNOLOGY IN eDISCOVERY: ARE WE READY FOR WATSON?As the volume of ESI continues to proliferate, the ability to timely identify, re-view and produce information in response to a litigation or regulatory requests has become increasingly challenging for the financial industry. This session will address the use of relevance-ranking, machine-learning and other state-of-the-art tools that are revolutionizing the practice of eDiscovery by enabling more cost-effective, defensible, non-linear approaches to document review. We will discuss the latest developments in search and review including research in sup-port of the use of technology-assisted processes.• What is “Technology-Assisted Review”?• How does it compare to Exhaustive Manual Review?• Is it defensible?Maura R. Grossman, Counsel, LitigationWACHTELL, LIPTON, ROSEN & KATZ

3:50 TECHNIQUES FOR CREATING A CONFLUENCE BETWEEN eDISCOVERY AND INFORMATION SECURITYEnsuring harmony between information protection requirements and electronic discovery systems and processes is extremely important for financial firms who are responsible for the safety of their clients’ information. Ensuring that data is secured throughout the entire corporation allows legal teams to confidently pro-vide defense during litigation. Ensuring the same data is secured during the en-tire eDiscovery process protects the corporation from regulatory and legal action resulting from a data breach. This session will discuss the challenges in merging eDiscovery and information security practices as well as methods to accomplish it.• Top 10 ways to maintain a positive relationship with the security team• Best practices for integrating information security and eDiscovery throughout a financial organization• Analysis of common scenarios surrounding eDiscovery & information securityJennifer Shea, eDiscovery Product Management, Legal TechnologyRyan McCarthy, Senior Vice President, Global Information Security BANK OF AMERICA

4:40 CLOSING REMARKS & CONFERENCE CONCLUDES

David CohenPartnerREED SMITH LLP

Shari Markowitz SavittGeneral CounselEISNERAMPER LLP

Tom SteinLitigation CounselAMERICAN EXPRESSKatie WinseckDiscovery Services ConsultantKROLL ONTRACK

Robert B. Collings was first appointed to the bench of the United States District Court for the District of Massachusetts in March, 1982 and was re-appointed for three additional eight-year terms by the twelve U.S. district judges in Massachusetts in 1990, 1998 and 2006. He began his fourth term on March 15, 2006. He was Chief Magistrate Judge for the District of Massachusetts from 1999 until his term expired at the end of 2001.

Judge Collings has been an instructor at seminars given by the Federal Judicial Center as well as Massachusetts Continuing Legal Education, the Mas-sachusetts Bar Association and the Boston Bar Association. He was a Lecturer at Law at Harvard Law School from 1988 to 1992 and a Lecturer at Law at Northeastern Law School during the winter term 1989-90. He is also a Visiting Lecturer at Law at Stanford Law School in Palo Alto, California. In March, 2001, the Judicial Conference of the United States elected him to a four-year term on the Federal Judicial Center Board; that term expired in March, 2005. In September, 2007, Chief Justice Roberts appointed Judge Collings to a two-year term as the Magistrate Judge representative to the Judicial Conference of the United States, the governing body of the federal courts.

He currently serves a Legislative Chairman of the Federal Magistrate Judges Association. On August 7, 2005, he became the Chair of the National Confer-ence of Federal Trial Judges, Judicial Division, American Bar Association, and served as Chair until August, 2006. In August, 2008, he was elected as the Conference’s delegate to the ABA’s House of Delegates. In August, 2008, he was appointed to the ABA’s Standing Committee on Gun Violence, and in August, 2009, he was appointed to a two-year term of that Committee.

Judge Shaffer is a United States Magistrate Judge for the District of Colorado. Judge Shaffer was previ-ously a partner at Moye, Giles, O’Keefe, Vermeire & Gorrell, LLP, and a director/shareholder at Dufford & Brown, P.C, where he focused on litigation, both civil and criminal, with particular emphasis in the areas of environmental law, criminal law and complex commercial litigation. He has also worked as part of both the

Civil Rights Division and the Environment and Natural Resources Division of the U.S. Department of Justice.

As a United States Magistrate Judge for the District of Colorado, Judge Shaffer is responsible for case management and the resolution of pretrial matters in civil cases, and conducts hearings and issues recommendations or final decisions on contested dispositive motions. He may exercise the full range of authority as trial judge where the parties consent pursuant to 28 U.S.C. § 636.

Judge Maas is a United States Magistrate Judge for the Southern District of New York. Before his ap-pointment, Judge Maas was a federal prosecutor in the Southern District of New York, a partner in the New York City office of a large upstate firm, and First Deputy Commissioner of the New York City Depart-ment of Investigation. As First Deputy Commissioner, he was responsible for the day-to-day operations of an internal affairs agency with nearly 400 employees, including attorneys, police officers, and civilian

investigators, and oversaw the City’s internet security efforts. Judge Maas lectures frequently on topics related to eDiscovery.

Judge Maas is a member of the Federal Bar Council, the Federal Magistrate Judges Association, the Association of the Bar of the City of New York, and the New York State Bar Association. He has been a member of the Executive Committee of the New York State Bar Association Commercial and Federal Litigation Section since the founding of the Section.

WHO SHOULD ATTEND:

PRESENTING FINANCIAL INSTITUTIONS INCLUDE:

JOB TITLES AND FUNCTIONS OF PRESENTERS / ATTENDEES INCLUDE:

JUDICIAL PANEL HIGHLIGHT:

Participants in the Q1 eDiscovery for Financial Services Conference will in-clude a wide variety of company sizes, representing top financial institutions, as well as the most innovative banks, financial service firms and insurance companies in the U.S. With speakers that have dozens of years of combined eDiscovery and Litigation expertise, this conference will be a must attend for the forward-thinking eDiscovery, Legal and IT executive.

Senior Directors, Directors and Managers of:• eDiscovery/Electronic Discovery• Litigation• Litigation Support• Information Management/IT• Legal Technology• General Counsel• Assistant General Counsel• IT Liaison to the Legal Department• Compliance Officers• Directors and Heads of Records Management • Directors and Heads of Information Security• Legal Affairs Executives

Q1 Productions designs and develops webinars, training courses, conference programs and forums aimed at specifically targeted audiences in order to provide strategic and timely information. Through a rigid production process focused on end-user research and design, our team is able to understand the immediate business concerns of today’s leading executives. Whether focusing on new or pending legislative issues, enhanced business processes or technologies that will drive efficiency and customer service, our programs provide solutions to the urgent needs of our attendees.

500 N. DEARBORN, SUITE 500 CHICAGO, IL 60654 (P) 312.822.8100 (F) 312.602.3834 www.q1productions.com

HONORABLE FRANK MAASMagistrate JudgeUNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK

HONORABLE CRAIG SHAFFERMagistrate JudgeUNITED STATES DISTRICT COURT,

HONORABLE ROBERT COLLINGSMagistrate JudgeUNITED STATES DISTRICT COURT, DISTRICT OF MASSACHUSETTS