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Monday, October 29 |
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8:00 – 8:30 a.m. |
Registration and Continental Breakfast Westside Ballroom Foyer, 5th Floor |
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8:30 – 10:20 a.m. |
General Session Westside Ballroom, 5th Floor |
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Opening Comments |
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Kenneth Silverstein Senior Managing Director Bear Stearns & Co. www.bear.com |
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Vendor BCP Evaluation, Testing and Maintenance |
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Michael L. Curry Principal, Business Contingency Services Vanguard Group Inc. www.vanguard.com |
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Experience of disasters like September 11th and Katrina have motivated organizations to focus on business contingency planning (BCP) for their "mission critical" vendors, third party service providers and external dependencies. This presentation will explore some approaches to evaluating, developing, testing and maintaining vendor BCP. The topic will address establishing business resiliency practices with external business partners, and provide examples of how "readiness" can be measured and reported to the management team. |
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False Alarm: The Truth About the Epidemic of Fear |
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Marc K. Siegel MD Associate Professor of Medicine NYU School of Medicine www.med.nyu.edu |
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Almost every time we check the news, it seems we are
faced with another impending catastrophe, whether from terrorism, pandemic
flu, natural disasters or man-made problems. Business continuity and
emergency management professionals are especially vulnerable since they must
consider these potential threats every day. In his presentation, Dr.
Siegel, a practicing New York physician and author of False Alarm,
offers some different and fascinating observations on this situation.
Dr. Siegel addresses the primary catalysts of the “culture of fear” in
today’s society. He shows us how to
look behind the hype and hysteria and helps us to develop the emotional and
intellectual skills needed to take back our lives from fear mongers. |
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10:20 – 11:00 a.m. |
Refreshment Break Westside Ballroom Foyer, 5th Floor |
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11:00 a.m. – 12:00 p.m. |
General Session Westside Ballroom, 5th Floor |
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An Insider’s Look at the Changing Global Terror Threat |
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Peter Bergen Author and Terrorism Analyst for CNN Schwartz Senior Fellow New America Foundation www.newamerica.net |
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Peter Bergen is the author of Holy War, Inc.,
about Osama bin Laden and Islamist militant groups around world, which has
been translated into fifteen languages and was a New York Times
best-seller. Bergen has written for a
variety of publications including The New Republic, Vanity Fair, the Washington
Post and the Washington Times and, in the U.K., The Times, The
Guardian and the Daily Telegraph. He is presently a fellow at the
New America Foundation in Washington D.C. and works as a terrorism analyst
for CNN. A documentary based on Holy
War Inc., which aired on National Geographic's Explorer program, was
nominated for an Emmy. Bergen also wrote and produced Al Qaeda 2.0,
which currently airs on the Discovery Times Channel and examines the
terrorist group’s move to the Internet.
In this conference presentation, Mr. Bergen, who interviewed Osama Bin
Laden, offers his assessment of the current terror threat and provides
fascinating perspectives on the individual behind it. |
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12:15 – 1:15 p.m. |
Luncheon Westside Ballroom, 5th Floor |
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1:15 – 2:15 p.m. |
Individual Sessions – Round 1 The following 60-minute workshops will be conducted
once. |
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· Strategies for Disaster Recovery Sites and Remote Data Centers ― Imperial Room, 5th Floor |
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Sponsored and Presented by Time Warner Cable www.twcbc.com/nyc |
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Bhupender Kaul Vice President, Business Services Time Warner Cable www.twcable.com |
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Given these times of inherent uncertainty and the need faced by all enterprises with mission critical business information in protecting their data, it is critical that businesses protect their information by utilizing a secure network that is entirely independent of their primary data network. In this session, the Time Warner Cable network and remote data center services are explored as a case study that highlights innovative end-to-end network connectivity solutions. |
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· 2007 BCP Survey ― O’Neill Room, 4th Floor |
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Blaise D'Ambrosio VP Business Continuity Manager T. Rowe Price www.troweprice.com |
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Vincent Barbuto Vice President, Business Continuity Planning Citigroup Private Bank www.citigroup.com |
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Daniel Gordillo Global Business Continuity UBS www.ubs.com |
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Vincent Orrico Contingency Planning Exchange www.cpeworld.org |
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Geoffrey Saul Business Continuity Manager Bank of America Securities www.bankofamerica.com |
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The SIFMA’s Business
Continuity Planning Survey for 2007 covers firms of all sizes. Attendees will gain an understanding of
what firms are doing with their BC programs, such as: "How are people
and technology recovered?", "What are their top priority
initiatives?", “Are businesses spending more for BCP in 2007?”, and
“What is the extent of their Pandemic Planning.” The findings will be compared to trends identified in past BCP
surveys and to recent events. The
session is also designed to be interactive, as the presenters intend to
initiate a group dialogue regarding issues identified from the survey in the
hopes of soliciting solution examples from session attendees as well as
providing solution examples of their own. |
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Business Continuity Planning: Protect
Your Company and Shield Your Officers and Directors from Liability ― Belasco Room,
5th Floor |
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Scott
Louis Weber Partner Patton Boggs LLP www.pattonboggs.com |
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Recent standards and best
practices issued by the U.S. Department of Homeland Security and federal
court decisions make clear that directors and officers must take an
active and substantive involvement in business continuity planning, testing
and exercising. The presentation will analyze this burgeoning area of
the law and ways in which directors and officers can satisfy their "duty
of care" as it relates to business continuity planning and testing and,
thereby, shield themselves from personal liability. |
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The following 60-minute workshop will be conducted
twice, enabling Conference registrants to attend both. |
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BCP Best Practices Roundtable ― Ziegfeld Room, 4th Floor A Roundtable Discussion for SIFMA Member Firms Only |
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Robert Kaiser Director of Business Readiness Merrill Lynch & Co. www.ml.com |
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Melvyn Musson Business Continuity Planning Manager Edward Jones www.edwardjones.com |
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Laura Osgoodby Director, Citigroup Global Capital Markets Operations Citigroup www.citigroup.com |
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This session features an interactive “roundtable” audience discussion of strategies, issues, problems and successes experienced when developing and maintaining business continuity plans. Special focus will be on experiences in complying with BCP rules and on issues, such as pandemic planning, encountered by firms of different sizes. The workshop will be presented as two 1-hour sessions in which attendees may decide the topics to be discussed. The open exchange of questions, ideas and experiences by attendees is encouraged. This session is open only to employees of securities firms and not to media, regulators and other conference attendees. Attendees may also submit questions and issues at anytime prior to the workshop. Forms are available at the registration desk for that purpose. |
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2:15 – 3:00 p.m. |
Refreshment Break Westside Ballroom Foyer, 5th Floor |
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3:00 – 4:00 p.m. |
Individual Sessions - Round 2 The following workshop is a repeat of Round 1 |
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· BCP Best Practices Roundtable ― Ziegfeld Room, 4th Floor A Roundtable Discussion for SIFMA Member Firms Only |
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Robert Kaiser Director of Business Readiness Merrill Lynch & Co. www.ml.com |
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Melvyn Musson Business Continuity Planning Manager Edward Jones www.edwardjones.com |
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The following 60-minute workshops will be conducted
once. |
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·
Executing the Strategic Crisis Management Plan in
Real Time ― Imperial Room, 5th Floor |
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Roseanne Rostron President Crisis Team Inc www.crisisteaminc.com |
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This session will focus on
using crisis management plan protocols during actual events. Why do we
write a crisis management plan? What will work in the real world?
How do you use the plan most effectively during crisis? The
session will focus on these questions and will look at plan maintenance and
how the plan morphs over time through organization and regulatory change. |
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· Understanding Electric Power for Office Facilities and Data Centers: A Guide for Business Continuity Professionals ― O’Neill Room, 4th Floor |
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Moderator Daoud A. Awad Executive Managing DirectorNew York Region Corporate Services The Staubach Company www.staubach.com |
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Michael Byrnes Executive Vice President and General Manager New York Operations SourceOne, Inc. www.source1inc.com |
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Brian Doricko Director of Sales - Northeast Region Digital Realty Trust www.digitaltrust.com |
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Bruce Edwards President, Chief Executive Officer CCG Facilities Integration Inc. www.ccgfacilities.com |
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Drew Hiltz Chief Technology Officer Natixis Capital Markets www.cm.natixis.com |
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Electric power is one of the
most critical infrastructure support components to be considered when
designing, maintaining and backing up corporate facilities. This session explores the current
state-of-the-art thinking on facility power requirements, input feeds, backup
power sources and vulnerabilities.
Panel members represent facility design, engineering, and facilities
operation disciplines. BCP
professionals need to understand more than just the basic concepts of this
issue. This session offers enough
specifics to help you deal effectively with this issue within your
organization. |
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· Operational Risk and Pandemic Planning Strategic Approach for Business Operations ― Belasco Room, 5th floor Sponsored and Presented by IBM |
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Steven W. Smeltzer Associate Partner IBM www.ibm.com |
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Dharmashankar Subramanian Research Scientist IBM www.ibm.com |
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Pandemics pose a unique Societal and Operational Risk to the global economy and individual businesses around the world. The increasing potential for a pandemic event requires companies to understand the potentially wide spread and significant impacts to business strategies, including disruptions to the supply chain, availability of commodities, and skilled resources to name a few. Add in degradation to critical infrastructure and government services, companies will face a new stressed environment. Is your company prepared for these challenges? IBM believes that Pandemic Planning is not just a disaster recovery or crisis management approach; rather it is a holistic process and strategy to support the long-term health and survivability of the enterprise. This workshop explores how IBM's Pandemic Business Impact Modeling tool can be utilized to help organizations better understand and address the potential impacts of a Pandemic Event on their individual organization, customers, and supply chain. |
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4:00 – 5:00 p.m. |
General Session Westside Ballroom, 5th Floor |
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Orphans in the War on Terrorism: Societal Preparedness
and Enterprise Resilience |
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Stephen E. Flynn Jeane J. Kirkpatrick Senior Fellow for National Security
Studies Council on Foreign Relations www.cfr.org |
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The biggest threat to the United States is not what terrorists
can do to us by attacking the American homeland, but the harm that we can do
to ourselves when we are spooked.” So argues homeland security expert
Stephen Flynn, who maintains that the most clear and present danger to our
way of life and quality of life lies in the political overreaction to
catastrophic events. Dr. Flynn recommends stepped-up investments in
emergency preparedness, infrastructure protection, and enterprise resiliency
as the best antidote to this risk of overreaction. As the destructive
and disruptive risk of man-made and natural events rises, the case for
building societal resiliency becomes more urgent. Dr. Flynn provides
specific recommendations on how best to capitalize on the ingenuity and
resources of the private sector and civil society to advance this vital
agenda. |
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Tuesday, October 30 |
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8:00 – 8:30 a.m. |
Continental Breakfast Westside Ballroom Foyer, 5th Floor |
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8:30 – 9:15 a.m. |
General Session Westside Ballroom, 5th Floor |
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BCP Case Study |
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Teresa Ressel Chief Executive Officer UBS Securities LLC www.ubs.com |
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Teresa Ressel has a unique perspective on Business Continuity and Emergency Preparedness stemming from her own experiences with real events as an executive in the public, private, non-profit, and financial services industries. Business continuity planning is never a completely smooth process and firms will encounter pitfalls as they prepare for inevitable disasters. Ms. Ressel provides a candid view of the lessons she has learned that span the full spectrum from individual survivability to firm reputational risks. |
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9:15 – 10:15 a.m. |
Individual Sessions The following 60-minute workshops will be conducted once. |
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·
BCP Regulatory Update ― Imperial Room, 5th Floor |
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Alton Harvey Chief - Office of Contingency Planning Division of Market Regulation Securities and Exchange Commission www.sec.gov |
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Julie Hoffman Director, Office of Emerging Regulatory Issues Financial Industry Regulatory Authority (FINRA) www.finra.org |
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This session will look at the current US BCP
regulations, regulatory examination findings and future BCP regulatory
trends. The panelists will review the new Financial Industry
Regulatory Authority (FINRA) and what it means to business continuity from a
rule book perspective. |
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Process Virtualization and the Distributed Operations
Configuration Model (DOCM) ― Ziegfeld Room, 4th Floor |
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Moderator Juan M. Allongo Business Resiliency Lead Treasury Services - Technology Office JPMorgan CHASE www.jpmchase.com |
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Chris Bernhardt Senior Practice Manager EMC www.emc.com |
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Steven J. Ross Firm Director, AERS/Security & Privacy Services Deloitte & Touche www.deloitte.com |
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Mornay Van Der Walt Senior Solutions Architect, Enterprise & Technical Marketing Vmware, Inc. www.vmware.com |
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In the workshop, panel members will explore the
benefits and possible regulatory and functional caveats of distributed and
dispersed business processes across regions and countries, the current "state" of business and
technology virtualization and the opportunities that lie ahead. |
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Plans on the Go ―
O’Neill Room, 5th Floor Sponsored and Presented by Office-Shadow Inc. |
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Paul Grigg Regional Sales Manager Office Shadow, Inc. www.office-shadow.com |
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Roland Johnson President Office Shadow, Inc. www.office-shadow.com |
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The value of continuity planning isn’t just knowing
what to do when the power fails or the hurricane strikes. It’s just as
much about having procedures in place to accommodate all sorts of minor
disruptions to business as usual; supplier failures, liquidity events, bad
press, lawsuits, security events etc. But to exploit this, your plans
have got to be accessible, clear and actionable to managers throughout the
organization. A web-based planning
tool is perhaps the starting point, providing clear scenario
checklists. Unfortunately when incidents happen we might not be sitting
at our desktop. More likely we are in meetings, at the airport, or in a
conference; but we probably do have our cell phone and Blackberry. How
can you integrate the best of the web-based planning with your hip-based
communication technology? Office
Shadow’s “Plans on the Go” workshop will present the integration of such
plans with Blackberry-based incident tools and mass notification
engines. Develop plans on a centralized web-based system, browse
scenarios on the Blackberry, and fire off mass notifications from within the
Blackberry or desktop plan. |
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· Business Continuity and Operational Risk Panel Discussion ― Belasco Room, 5th Floor |
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Moderator: John Ogando Director, Head of Business Continuity NATIXIS Capital Markets www.cmnatixis.com. |
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Adam Levinson Vice President Citigroup, Inc. www.citi.com |
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David Stern Senior Manager Grant Thornton LLP www.grantthornton.com |
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This session explores the
ever evolving relationship between the Business Continuity and Operational
Risk functions in the financial services industry. Special focus will
be placed upon regulatory responses such as Basel II, but will the panelists
will cover other important issues including risk assessment and
identification, organizational structures, opportunities for mutual
initiatives and other topics. |
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10:15 – 10:30 a.m. |
Refreshment Break Westside Ballroom Foyer, 5th Floor |
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10:30 a.m. – 12:15 p.m. |
General Session Westside Ballroom, 5th Floor |
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Pandemic Influenza Impact on Communications Networks: A
study by Department of Homeland Security |
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Gary D. Amato Director, Technology and Programs Division National Communications System U.S. Department of Homeland Security www.dhs.gov |
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Justin W. Darkoch Senior Network
Engineer MITRE Corporation www.mitre.org |
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National and private sector plans identify telecommuting
as a key component of the national response to a pandemic influenza. Despite increasing adoption of
telecommuting as a normal method of business, the technical feasibility of
extensive telecommuting during a pandemic, given the existing infrastructure,
is not well established. In
particular, businesses may not be prepared to handle a surge in telecommuting
traffic and telecommuters may face congestion when competing for network
resources with recreational users and children home from school. The Pandemic Communications Study was
undertaken to address the questions: Will the telecommuting strategy work
during a pandemic influenza? What
measures can be implemented to better prepare for telecommuting during a
pandemic influenza? This
presentation explains the results of the DHS study. |
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Pandemic Exercise Results |
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Valerie Abend Deputy Assistant Secretary for US Department of The Treasury www.ustreas.gov |
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George Hender Vice Chairman The Options Clearing Corporation (OCC) www.theocc.com |
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Howard Sprow Vice President, Business Continuity Securities Industry and Financial Markets Association www.sifma.org |
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From September 24 through October 12, 2007, the
Financial Banking Information Infrastructure Committee (FBIIC) and the
Financial Services Sector Coordinating Council (FSSCC) will conduct a
pandemic flu exercise for the financial services sector in the United States.
The exercise is sponsored by the U.S. Department of the Treasury and the
Securities Industry and Financial Markets Association. Over 2700
organizations are participating. This panel will present one of
the earliest after-action reviews of the exercise and the
results. |
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12:15 p.m. |
Conference Adjournment |
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Special Note: The Business Continuity Conference & Exhibit has been organized by the Securities Industry and Financial Markets Association as a service to the industry. Presentations, findings and opinions of speakers and exhibitors and their representatives do not constitute the expressed or implied endorsement by SIFMA of any product, service, presentation or technology; nor does SIFMA take responsibility for the content presented by speakers and exhibitors. |
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SIFMA's Business Continuity Planning
Committee would also like to thank the following for their support of the
Business Continuity Planning Conference & Exhibit: |
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2007 Business Continuity Planning Committee |
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SIFMA Staff Advisers Howard Sprow John Panchery |
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Tote Bags Provided by The Davidsohn Group www.davidsohn.com Wall Street Journals Provided Dow Jones Newswires www.dowjones.com |
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