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Network with peers across the industry

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“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.”

End Users Service Providers

$1225 $1995

Member Pricing (USD):

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 Opening Remarks

9:20am 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, BlackRock

10:00am Keynote Address

10:30am Networking Break

11:00am 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.Panelists: Eric Smith, Director, Enterprise Data

Management, ProShares Advisors

Christopher Elias, Vice President Service Delivery Manager, Reconciliation & Analysis,

BBH

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.

11:45am Sponsored Presentation Sponsored Presentation

12:30pm Lunch

1:30pm 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.

Panelists: Kevin Carter, Chief Technology Officer, Dialectic Capital Management, LP

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

US RegulationsFirms with business in the US deal with a wide variety

of regulations from a large number of regulators, including Dodd-Frank, Volcker Rule, Glass-Steagall,

FATCA and more. This session will give an overview of the major US regulations that cause the most

headaches in 2016 and what to watch out for in 2017.Panelists: Dana Pasricha, Vice President, US Tax and

Client Service, BBHEdina Cavalli, Enterprise Dodd-Frank and Regulatory

Reform Officer, TD Financial GroupTentative: Jermand Hagan, Regulatory Affairs Director,

Freddie Mac

2:15pm 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 CapitalPanelists: Lisa Carletta-Vieites, Director, UBS

Investment Bank

Alex Strekel, Investment Solutions Specialist, Clearwater Analytics

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

European RegulationsFirms based in Europe or doing business in Europe

face another set of regulations, some of which require much more reporting than the US regulations so far. This panel will go over a few of the key regulations

such as EMIR, MiFID, MiFIR, and BCBS IOSCO as well as best practices for keeping track of regulatory

requirements and staying up-to-date on regulations.

3:00pm Networking Break

3:30pm 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. (For more in-depth discussions of derivative ops, check out our DerivOps

North America conference in April 2016 at www.ftfnews.com).

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

BBHAaron Unterman, Senior Legal Counsel, Derivatives,

Ontario Securities Commission

Canadian RegulationsWith prudential securities oversight reigning supreme in Canada, national harmonization can be as much of a headache as global harmonization. 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.

4:20pm 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: Melanie Pickett, COO, Emory Investment Management

Panelists: Guillaume Detrait, Chief Operating Officer, Chief Enterprise Risk Officer, Welton Investment Partners LLC

Mark Hannoush, CPA, CA, CFA, Director, Due Diligence, Ontario Teachers' Pension PlanStuart Chapman, CIA, CFSA, CRMA, Senior Associate - Operational Due Dilligence, Strategic Investment

Group

Day Two

9:00am The Disruptor: What Blockchain Means for Your Operations Blockchain and its shared ledger technology has many implications for operations teams. This session will give a refresher course on blockchain technology and answer questions such as: how soon will it infiltrate mainstream

ops processes, what kind of extra security concerns does it add, and what can you expect in terms of regulations? The discussion will also touch on other disruptive technologies and how innovation and

digitalization affect securities operations.

9:45am Keynote Address

10:30am Networking Break

11:00am 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?

.

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 session will give an update on the status of GLEIF and

what initiatives to expect in the rest of 2016. Panelists: Karla K. McKenna, Director, Market Practice

and Standards, Citi Securities and Fund Services

11:45am Sponsored Presentation Sponsored Presentation

12:30pm Lunch

1:30pm Activating Corporate Actions

This 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.Panelists: William Dolan, Head of Fidelity ActionsXchange, Fidelity ActionsXchange

Michael Finck, Managing Director, GlobeTaxLawrence Conover, Vice President, National Financial

Services, Fidelity Investments

Update on ISDA’s Initiative to Name Derivatives

In the fall of 2015, ISDA announced a committee that will work to create globally standardized symbols for credit, rates and equity derivatives. This initiative is intended to help firms meet the reporting rules to

come from the revised Markets in Financial Instruments Directive/Regulation (MIFID II/MIFIR) and SEC reporting

rules. This panel will gather members of that committee to discuss where they are in creating this standard, how it is beneficial to the entire financial

services community, and what your firm needs to know in order to adapt the ID standard.

2:15pm 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 Mellon

3:00pm Closing Remarks

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