Midwest Regional Meeting

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Conference Agenda

Wednesday, May 14, 2008

8:00 – 9:00 a.m.
Registration & Breakfast
Sponsored by

9:00 – 9:05 a.m.
Welcome Remarks

Theresa Hamacher, CFA, President
NICSA

9:05 – 10:15 a.m.
Regulatory Compliance Issues for Transfer Agents

James F. Dowling, CFS, Director, Forensics
KPMG LLP

Mark A. Hunter, Compliance Manager
Janus Capital Group

Peter Marsiglia, Manager, Regulatory & Capital Markets Consulting
Deloitte & Touche LLP

Tané T. Tyler, General Counsel
ALPS Fund Services, Inc.

The panel will focus on the regulatory environment affecting transfer agents and ways that firms are achieving compliance with the regulations. Subjects discussed will include AML, Rule 22c-2, privacy, and other topical issues.

10:15 – 10:30 a.m.
Coffee Break

10:30 – 11:45 a.m.
Strategies to Migrate Your Clients to Self-Servicing

Sanya Maerschalk, Vice President
OppenheimerFunds, Inc.

Mark Schultze, Director eC Operations
American Century Investments

John Vachalek, Chief Executive Officer
Webolutions

This panel will explore various firms’ strategies to migrate their clients to self- servicing options as well as give insight into human behavior trends and preferred communication mediums. The panelists will review their strategies from a financial service, marketing and operational perspective and highlight what works, what doesn't work, client demographics and tools.

11:45 a.m. – 1:00 p.m.
Networking Luncheon

1:00 – 1:30 p.m.
Navigating Conflicts of Interest

Kevin W. Goodman, Associate Regional Director
U.S. Securities & Exchange Commission

The session will address conflicts of interest and other regulatory considerations that arise when a service provider in the mutual fund industry is negotiating contracts.

1:30 – 2:30 p.m.
Keynote Address
An Introduction to Self Mastery

Mark Hanson, consultant and teacher
The Abundant Mind

We have entered a new era in human capital management where value is derived from boosting the productivity of individuals and taking performance to the next level. By raising the game of individual performance, organizations can find a lasting source of competitive advantage. One of the most effective ways to raise the bar of the individual and organizational performance is to focus on attitudinal changes that create the most leverage in performance enhancement.

An Introduction to Self Mastery is “The difference that makes the difference,” a set of tools which allows the leader and their people to perform at their best.

The audience will learn how to:

• Expand the way they think
• Quiet self-criticism and self-sabotage
• Develop resilience and resolve
• Get transformational performance improvement
• Develop personal strategies for success
• Apply the theories discussed

2:30 – 2:45 p.m.
Break

2:45 – 3:45 p.m.
Alternative Investments: A Growing Strategy for '40 Act' Fund Managers
presented by NICSA’s Alternative Investments Committee

Matthew Anderson, CPA, Principal
Rothstein Kass

Paul Garvey, Director of Hedge Fund Administration
ALPS Fund Services, Inc.

Reid A. Godbolt, Esq., President and CEO
Jones & Keller, P.C.

Adam Goldman, Co-founder and Managing Director
Red Rocks Capital LLC

The use of Alternative Investment strategies is becoming more common among traditional investment managers, delivered as registered hedge funds, 130/30 funds and through other creative offerings. This session will describe and evaluate this trend, from the perspectives of panelists involved in developing and supporting these funds.

3:50 – 4:20 p.m.
Mutual Fund Regulatory Observations: FINRA Perspective

Joseph P. Savage, Vice President, Investment Companies Regulation
Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA oversees over 5,000 brokerage firms, about 172,000 branch offices and more than 674,000 registered securities representatives.

Created in July 2007, through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.

Joe Savage will discuss regulatory issues that FINRA's Investment Companies Regulation Department encounters on a regular basis.

4:20 – 4:30 p.m.
Closing Remarks

4:30 – 5:30 p.m.
Reception
Sponsored by

Thursday, May 15, 2008

7:30– 8:15 a.m.
Registration & Breakfast

8:15 – 8:45 a.m.
Keynote Address
Mastering the Organization: New Management Paradigms from the Science of Change

Cheryl White, Executive Partner
Change Delivery Group
and author of Change on Demand

In recent years, science has begun to address the subject of organization change and change resistance. The result is that new theories from many scientific disciplines offer us better insight into the mechanism of change resistance and its role in organization operation. These theories are known collectively as the Science of Change.

Although the Science of Change is still in its infancy, emerging management paradigms promise executives more mastery over their organizations and more control over their corporate cultures. Of great interest are techniques for minimizing change resistance and increasing the speed and effectiveness of organization change.

This session will introduce the audience to ground-breaking ideas from science that are revolutionizing the way we think about how organizations work and how organizations can be changed. Attendees will walk away from the session with tips to increase mastery over teams, cultures, and corporations.

8:45– 9:00 a.m.
Break

9:00 – 10:00 a.m.
Anticipating Gen Y’s Retirement Needs
presented by NICSA’s Retirement Committee

Stefani Tygar Barnes, Manager, Deloitte Consulting Retirement Services Provider Practice
Deloitte Consulting LLP

Jennifer Chmel, Assistant Vice President
FASCore

Carolyn Richardson, Sales Director
Rollover Systems

Bess Twyman, Vice President, Communications
Prudential Retirement

The Millennial Generation, also known as Gen Y and Gen I, is vastly different from their Baby Boomer and Gen X predecessors. This group of 25 to 35 year-olds represents the fastest growing asset group, presenting us with new opportunities and challenges. Extremely tech-savvy, they are characterized by frequent job-hopping and multi-tasking, and demand constant stimulation and instant gratification. Our panelists will discuss their views on products, features, and services to help us understand how to effectively reach this rapidly growing marketplace.

10:00 – 11:00 a.m.
Industry Roundtable Discussions

If two heads are better than one, think of the value you'll get in participating in one of three Industry Roundtables! Select from one of three roundtables – Call Centers, Operations or Human Resource Management – and join industry peers and professionals in discussing the pressing issues affecting your work environment.

The Call Centers and Operations roundtables will center on some of your daily challenges, including:

• Handling Volumes in a Volatile Market
• Incorporating Current Technology in the Workflow
• Planning Work Needs in a Business Contingency Situation
• Operating in a Virtual (Multi-Site) Environment
• Challenges in Communication, Cross-Functional Responsibilities, Collaborative Teamwork and Cultural Differences

The Human Resource Management roundtable will prompt discussion on the following topics:

• Handling the Generational Impact on Your Work Culture
• Recruitment Strategies for Identifying the Best Fits for the Job
• Balancing the Establishment and Enforcement of Work Norms
• Obtaining and Responding to Constructive Feedback from your Employees

CPE Information

NICSA is pleased to offer this group-live learning activity to attendees who are seeking CPE credits. Up to 6 CPE units may be available for attendees of this conference. The conference sessions require no advanced preparation, no pre-requisite study and are appropriate for all who have a basic understanding of the investment management industry.

NICSA is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses of CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org