East Coast Regional Meeting

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Conference Agenda

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

9:00 – 9:05 a.m.
Opening Remarks

9:05 – 10:15 a.m.
Compliance Update and Service Provider Trends

Alan E. Fish, Partner, National Asset Management Advisory Services Practice Leader
Ernst & Young LLP
New York, NY

Jeff Naylor, Vice President, Investar*ONE Distribution Services & Regulatory Reporting
SunGard
Wayne, PA

Dorothy Sanders, Senior Vice President, Chief Compliance Officer, Nationwide Fund Advisors
Nationwide Mutual Funds
Conshohocken, PA

Pauline C. Scalvino, Chief Compliance Officer, The Vanguard Funds
The Vanguard Group, Inc.
Valley Forge, PA

This session is designed to provide an overview of industry trends and leading practices being deployed to continue to meet the recent regulatory reporting requirements. This panel of industry service providers and advisors will share their insight on what is working and what areas of compliance programs are still seeing challenges.

10:15 –10:30 a.m.
Break

10:30 – 11:45 a.m.
Trends in Treasurer’s Office and Accounting

Brenda Lyons, Senior Vice President, Director of Operations
State Street Corporation
Boston, MA

Peter E. Poulin, Managing Director, Global Funds Administration
Brown Brothers Harriman & Co.
Boston, MA

Richard Salus, CPA, Senior Vice President, Controller, and Treasurer
Delaware Investments
Philadelphia, PA

This session will focus on trends and leading practices in mutual fund administration and reporting. Our panel of experienced professionals will provide an overview on current technical accounting and financial reporting requirements, board communications and regulatory challenges that are impacting fund accounting and administration organizations.

12:00 – 1:30 p.m.
Luncheon Keynote
The Evolution of Distribution

Peter Cieszko, President of Global Distribution
Evergreen Investments
Charlotte, NC

Peter will discuss how the distribution model in the financial services industry has evolved over the past several years as increased product availability, market volatility and risk management and compliance requirements have created a challenging and complex environment for financial intermediaries. Peter will focus on the move towards collaborative, consultative relationships with intermediaries, rather than the historical 'product push' mentality. He will highlight how the emergence of various product vehicles -- separately managed accounts, alternative investments, and others -- has increased the need for sales personnel to understand and convey the risks, objectives, and suitability of each product to clients.

1:45 – 3:00 p.m.
Fund Governance and Operational Oversight

Linda J. Hoard, Managing Director, Senior Vice President and Senior Counsel
PFPC Inc.
Boston, MA

Joe Malone, Treasurer and Chief Financial Officer
Aberdeen Funds
West Conshohocken, PA

Jim Volk, Chief Compliance Officer
SEI Investment Manager Services
Oaks, PA

The panel will focus on current issues facing mutual fund Directors, particularly over their fiduciary oversight responsibilities surrounding internal controls and SEC compliance. As guardians of a mutual fund, Directors should be intimately familiar with third-party service arrangements, have defined views about the role of the Chief Risk Officer, demonstrate awareness about the forensic testing activity applied to compliance programs and possess capabilities at managing potential conflicts of interest. Each of these current issues has a corresponding impact to the service providers who play a significant role in the day to day operations of the mutual fund industry. The panel will share its views on the impact of these issues to service providers as well.

The session will also address the role of the service provider in assisting Directors with SEC examinations, in addition to highlighting the key areas of interest for SEC examiners in 2008.

3:00 – 3:15 p.m.
Break

3:15 – 4:30 p.m.
Operational Issues Affecting Hedge Fund Advisors

Cathy Beckett, Chief Financial Officer
BNP Paribas Financial Services LLC

Michael Dunlap, Senior Managing Director, Middle Office Operations
IFS - State Street
New York, NY

David W. Lang, Managing Director, Asset Management Division
Goldman Sachs & Co.
Jersey City, NJ

This panel will highlight the critical operational issues faced by hedge fund advisors and their service providers. As financial instruments and strategies grow increasingly complex, valuation and trade processing implications are straining the ability of all parties to achieve timely reporting; diversification efforts leading to multiple prime brokerage relationships are stretching resources at each associated entity; and hedge fund advisors continue to demand more diverse and immediate investor reporting capabilities. The session will highlight the results of processes designed to address these developments (and other issues), as instituted by key members of the alternative investment industry.

In addition, the panel will share its views on forthcoming complexities that service providers of hedge funds should be planning for in the future.

4:30 – 5:30 p.m.
Reception

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