Financial Services Technology Leaders Forum
June 14-16, 2011
Hilton New York
Download the SIFMA Tech Leaders Forum and Expo Mobile App and get updates and information for an entire year!
Program
| Time | Description |
|---|---|
7:30 a.m. - 8:20 a.m. Mercury Ballroom, 3rd Floor
|
Leaders Forum Breakfast |
9:00 a.m. - 6:00 p.m. |
Exhibit Hall |
8:20 a.m. - 10:30 a.m. Mercury Ballroom, 3rd Floor
|
General Session |
Welcome President & CEO SIFMA
Keynote Speaker"The Future of Finance"
After the crash of 1929, the size of finance as a proportion of the economy shrank sharply, as did financial sector pay levels in relation to those in the non-financial sectors. This was partly because finance became more utile in nature, amidst regulation. However, the process of "financial repression" after WWII also played a role. In the 1970s, these post-war trends started to reverse, leading to a rapid expansion of finance. Now that we are experiencing another post market crash era, what will happen to the financial sector in the twenty first century? Will it repeat the pattern shown in the 1950s, or is finance now on a completely different track? And what role should regulatory policies play? Opening Remarks Executive Vice President SIFMA
Featured SpeakersChange, Opportunities and Technology
From trillion dollar trade settlements to innovative breakthroughs in data management and communications, Mr. Daly will share his views on how Broadridge is transforming itself from niche proxy processor to global provider of technology solutions to the financial services industry.
DTCC 3.0 -- The Infrastructure as "Cloud" -- How Managing Risk, Meeting Regulatory Demands and Evolving 21st Century Financial Markets Will Reshape the Industry's Relationship With Core Infrastructures
President and Chief Executive Officer
Final Jeopardy!: and the Future of Watson
Lead Researcher and Principal Investigator IBM
Jeopardy! The IBM Challenge explored an important question with very real business implications: Can a computer system be designed to apply and extend advanced analytics to a disparate array of structured data and natural language content in order to discover and accurately evaluate a single, reliable insight - in just seconds? IBM Watson answered that question passing its first test on Jeopardy!, but the real test will be in applying the underlying data management and analytics technology in business and across different industries.
|
|
10:30 a.m. - 11:00 a.m. Rendezvous Trianon Foyer, 3rd Floor
|
Refreshment Break |
11:00 a.m. - 12:00 p.m. Rendezvous Trianon Foyer, 3rd Floor |
General SessionRequirements For A New Global Legal Entity IdentifierModerator:
Panelists:
Chief Operating Officer Fidelity ActionXchange
Senior Vice President CFO for Corporate Risk J.P. Morgan Chase
Managing Director, Enterprise Client Data Program Global Lead UBS
The creation of the Office of Financial Research (OFR) in Dodd-Frank will drive major changes in reporting requirements, data standards such as legal entity and instrument identifiers, and new ways of managing systemic risk. This panel of industry experts will share insights on what the OFR's new mandates will mean for firms, technology, and infrastructure. |
11:00 a.m. - 12:00 p.m. Rendezvous Trianon Foyer, 3rd Floor
|
Breakout Sessions |
Panel I - Madison Suite, 2nd FloorOutsourcing and Off Shoring - New RegulationsModerator:
Panelists:
Executive Director Morgan Stanley
Outsourcing has become a critical part of nearly every financial institution’s business model. In March 2011, FINRA published proposed rules governing firms’ obligations for outsourcing arrangements with third party service providers. This panel of industry experts will discuss the details of the proposal, SIFMA’s response, and the potential impact on the industry.
|
|
Panel II - Nassau Suite, 2nd FloorBeyond Jeopardy!: The Business Implications of IBM Watson on Financial Services Research Director of the Institutional Securities Practice Aite Group
Lead Researcher and Principal Investigator IBM
Managing Director, Institutional Securities Group Technology Division Morgan Stanley
Senior Research Scientist Thomson Reuters
Computers can't predict the markets, but systems like IBM Watson are poised to take analytics to a whole new level of power and sophistication – far beyond traditional data warehousing and data mining. Join Dr. Ferrucci and key industry executives as they discuss how this new computing paradigm could allow for the simultaneous comprehension of financial research, financial news, market news and economic information – in effect logically piecing many disparate forms and repositories of information and providing candidate answers - each with a specific level of confidence to the given question. |
|
Panel III - Petite Trianon, 3rd FloorKey Data Elements to Achieve Dodd Frank Compliance - A Practical ApproachModerator:
Executive Director
Panelists:
Executive Director, Enterprise Data Group Morgan Stanley
Executive Director, Worldwide Securities Services
Senior Manager
Director - Capital Markets Technology Bank of Tokyo-Mitsubishi UFJ Ltd.
A number of clients have raised queries over the reporting and data requirements likely to result from Dodd Frank and the impact on their environments. Panelists will discuss a tool that captures over 126 reporting requirements and their associated data requirements across the Act, which can all be filtered and used to derive data and reporting impacts by a number of dimensions. The presentation and panel discussion will demonstrate how to use the tool, and various scenarios for which it can be applied.
|
|
12:00 p.m. - 1:30 p.m. Trianon Ballroom, 3rd Floor |
Luncheon Speaker
Counselor to the Secretary U.S. Department of the Treasury
Luncheon Hosted by Citrix Systems |
1:30 p.m. - 2:30 p.m. Rendezvous Trianon, 3rd Floor |
General Session - Panel IEquity Market Structure – Evolution or RevolutionModerator:
Panelists:
Vice President, Transaction Services US The NASDAQ OMX Group
Head of U.S. Liquidity Strategy - GS Electronic Trading Goldman Sachs
This panel of industry experts will explore the paradigm shift taking place in market structure regulation and its impacts on trading, infrastructure, and technology. |
1:30 p.m. - 2:30 p.m. Clinton Suite, 2nd Floor
|
General Session - Panel IIMoving a Community to a New Standard generation: A ChallengeModerator:
Principal Advisor - T2S Program Manager European Central Bank
Panelists:
Director, Market Practice, Standards and SWIFT Citi
Vice President, Asset Services The Depository Trust and Clearing Corporation
Chair, ISO TC68, Financial Services Director, Market Practice and Standards Citi
This panel of global industry experts will discuss shifting to ISO 20022 as an entire community including an overview of the T2S project. The panel will review methodology and business justification of the effort and will discuss an all encompassing approach, which will include the importance of dialogue between communities.
|
1:30 p.m. - 2:30 p.m.
|
Solution CentersMorgan Suite, 2nd Floor
Event Driven Trading: What is all the Hype and How do I Get Some of the Pie?Moderator:
Analyst A-Team Group
Panelists:
CEO CFN Services
President RTT News
COO Need to Know News
CEO Selerity
How do you know if you should enter Event Trading? Once you decide you want to take the plunge, how do you pick the best sources and infrastructure to provide the lowest cost of entry while optimizing execution success? Who are the players and what are the top successes in this trading arena?
Come hear from experts on News and Event Trading to learn more about this emerging trading strategy.
SIFMA Vendor Solution Centers are open to all Leaders Forum and Expo attendees Hilton New York, Avenue of the Americas Room: Morgan Suite, 2nd Floor June 14, 2011 1:30 - 2:30 p.m.
Madison Suite, 2nd Floor
Building a High-Performance Trading Fabric…No Compromise!
Senior Director, Global Financial Services, Marketing and Solution Development Cisco Systems
Director, Solutions Architecture Cisco Systems
Founder and Chief Technology Officer Tervela
Today, financial firms need to execute with the highest performance, while processing more and more complex information, handling complexity and spikes - in a search for Alpha. Winning firms realize that they cannot afford to compromise in order to establish and maintain competitive advantage. To deliver this advantage, firms need a high-performance trading fabric to gain peak performance with an integrated architecture that includes features and capabilities designed to ensure ongoing performance as markets evolve.
This panel session will discuss key components of a High-Performance Trading Fabric, including: ultra-low-latency, high throughput, fast recovery, scalability, deterministic behavior, and granular visibility based on precision timing.
|
2:30 p.m. - 3:00 p.m. Rendezvous Trianon Foyer, 2nd Floor
|
Refreshment Break |
General Session
|
|
3:00 p.m. 4:00 p.m. Rendezvous Trianon, 3rd Floor |
Market Data PanelModerator:
Panelists:
Managing Director, Market Data Services Morgan Keegan
Senior Vice President, MarketMap SunGard
Global Head of Thomson ONE Product Management Thomson Reuters
The transparency of securities pricing is evolving into new territory at an accelerated pace. Almost half of equity volume is executed away from listed exchanges (e.g. dark pools, etc.). New regulations are calling for price transparency of specific securities (e.g. credit default swaps). In addition, proposals are being made to further standardize stock tickers. How are market data providers meeting these challenges for the future?
|
3:00 p.m. - 4:00 p.m.
|
Solution Centers
Madison Suite, 2nd Floor Compliant? Transparent? Flexible & Nimble? Are You Really Ready for What’s Coming?
Senior Account Executive Alfresco
Vice President, Business Solutions Micro Strategies
Join the leading provider in Enterprise Content Management, Alfresco Software, to learn about their award winning solutions that insure financial institutions are compliant, audit-proof and prepared and ready for all of today’s industry regulations and business challenges around content management.
This interactive session will give you a glimpse of the integrated capital market and compliance solutions you need to be ready for what’s coming. We will discuss new account openings, trade documentation, contracts management, advanced auditing, management dashboards and electronic signatures and workflow. Alfresco designs and implements high-value Enterprise Content Management solutions on an open platform offering flexible, low-cost alternatives to typical, proprietary systems that can lock your content down. Alfresco is transforming the way more than 1,700 companies in 55 countries manage their content.
Clinton Suite, 2nd Floor
Performance and Security in a Changing World: 3 Stories from a China-based Outsourcing Company CIO Bleum, Inc.
The solution center will discuss the evolution of outsourcing and how China, and financial service institutions, are shaping the new reality. It will also highlight three dynamic instances where performance, security and adaptation were dramatically increased for some of the world's largest financial firms. In particular, the solution center will cover issues around latency, intellectual property and security, as well as upgrading legacy systems. Bleum's clients understand how our industry-recognized capabilities speed time to market and our SIFMA solution center will share this coveted information.
Nassau Suite, 2nd Floor
Building the New Trading Floor: High Performance Data Analytics and Next Generation Transaction Processing
VP, Market Development, Messaging Business Unit Informatica
Principal, Financial Services Industry EMC Data Computing Division
Director, Capital Markets & Banking Practice EMC Consulting
Managing Director EMC Consulting
Global Architect VMware
Implementing "big data" analytics on a publish/subscribe messaging infrastructure aligned with a virtualized transaction processing platform to streamline transaction lifecycle, trade surveillance, and enterprise risk.
Investools from TD Ameritrade Holding Corp. Morgan Suite, 2nd Floor
Trading at the next level with powerful tools and investing education
Instructor Investools from TD Ameritrade Holding Corp.
Join us to learn more about our Investools® Training System, which teaches you how to spot opportunities whichever way the market is moving and gives you access to unparalleled support from experienced traders. Come see how our Investor Toolbox® can make it easy for you to set up a portfolio that meets your personal objectives and conduct in-depth fundamental and technical analyses on thousands of stocks and options. There's too much at stake to be an emotional investor. Especially when Investools® from TD Ameritrade can help you become a more educated one.
Bryant Suite, 2nd Floor Integrated Client On-Boarding: Turning obligation into opportunity
Senior Analyst Aite Group
Vice President of Finance Solutions NexJ Systems Inc.
Vice President, Product Management NexJ Systems Inc.
An integrated client on-boarding process is critical to both the client experience and the quality and cost of internal operations. Traditional, paper-based or stand-alone processes are time consuming, repetitive, and prone to error. Join Aite Group Senior Analyst Sophie Schmitt and NexJ Systems to discuss how an integrated account opening process can facilitate the client onboarding process and:
Increase advisor productivity Enable integrated up-sell processes On-boarding best practices and technology requirements for automation and tracking Increase the speed of account opening, asset transfer, and time to trade activity Eliminate paper-based processes and data re-entry Ensure all compliance and business rules are followed across the organization Reduce the client on-boarding timeframe from days to hours |
4:00 p.m. - 6:00 p.m. |
Exhibit Hall ReceptionHosted by Alfresco Software |
5:00 p.m. Exhibit Hall, 3rd Floor
|
Expo Theater Speaker |
T. Timothy Ryan, Jr. 
Gillian Tett
Randy Snook 
Richard J. Daly 
Donald F. Donahue 
Dr. David Ferrucci 
Thomas F. Price 
John Bottega
Deborah A. Culhane 
Robin A. Doyle 
Daniel Maury 
Lucille Mayer
Melissa MacGregor
John V. Ayanian
Jeffrey R. Stern 
Grace Vogel
R. Madhavan 
Alan Paris 
Norman Brower 
Ludwig D'Angelo 
Peter Norman .png "blank speaker"){kind=small}
Marty Ross-Trevor 
Richard Berner 
Rich Repetto 
Alfred Berkeley 
Joe Mecane
Marc Bayle 
Brian Crabtree 
Karla K. McKenna 
Pete Harris 
Mark Casey 
Paul Jameson 
Dave Malik 
J. Barry Thompson 
Robert Thielmann
Michael Burnette 
Janet Crowley 
Bill Goldsmith 
Goran Skoko
Bobby Duley 
Adam Storch 
Jim Venglarik 
Matt Meinel 
Richard Reichgut 
Gary Sanborn 
Larry Scott 
Mike Stolz 
Mark Sikich 
Sophie Louvel Schmitt 
Jason McDermott 
Tom Wieczorek 
Art Cashin| Time | Description |
|---|---|
8:30 a.m. - 11:00 a.m.
|
General Session |
7:45a.m. - 8:15 a.m. Mercury Ballroom, 3rd Floor
|
Leaders Forum Breakfast |
9:00 a.m. - 6:00 p.m. Mercury Ballroom, 3rd Floor |
Exhibit Hall Open |
8:15 a.m. - 9:15 a.m. |
Dodd-Frank Impact On The Financial Services Industry
Moderator:
Partner Davis Polk Former Commissioner, and Director of Market Regulation U.S. Securities and Exchange Commission
Panelists:
Managing Director
Nomura Professor of International Financial Systems at Harvard Law School Director of the Committee on Capital Markets Regulation
This session will examine the broad range of issues coming out of the Dodd Frank rulemaking process and their impact on the industry and its technologists. This will include SIFMA's approach and implementation strategy to the issues and their prioritization. |
9:15 a.m. – 10:00 a.m. Mercury Ballroom, 3rd Floor
|
Panel ASwap Execution Facilities, Clearing and OTC Derivatives: Getting to the Bottom of the Technology Impact of OTC Derivatives ReformModerator:
Panelists:
Senior Director Intercontinental Exchange (ICE)
Global Head of Fixed Income Trading Bloomberg
Chief Executive Officer and Chairman MarketAxess
Senior Analyst Aite Group
OTC Derivatives reform is reshaping the fabric of global banking. The forced migration of the OTC Derivatives business from bilaterally cleared to centrally cleared and from OTC to Swap Execution Facilities (SEF)-traded has very significant impacts on technology groups and their budgets. This panel will analyze what the firms, SEFs, and clearing houses are doing to prepare for this migration (which is scheduled to commence next month), where they are in the process, and will the industry be prepared for this historic migration. |
9:15 a.m. - 10:00 a.m. Rendezvous Trianon, 3rd Floor |
Panel BConcurrent Session Achieving Compliance and Creating Value on Social MediaModerator:
CEO and Founder Hearsay Social Best Selling Author, The Facebook Era
Panelists:
Former Senior Vice President of Social Enterprise Innovation Bank of America
Vice President Financial Services Hearsay Social
Senior Account Executive, Financial Services Sector LinkedIn Corporation
LinkedIn’s successful IPO underscored the importance and pervasiveness of social media for business. Especially in a heavily relationship-driven business such as financial services, firms are increasingly recognizing the opportunity to connect and stay top-of-mind with clients through sites like LinkedIn, Facebook, and Twitter.
At the same time, there are tremendous regulatory hurdles which must be first addressed. Firms are required by the SEC/FINRA to approve, monitor, archive, and supervise the electronic communications of their registered reps and investment advisers. Featuring leading experts in technology, legal, compliance, and banking, this session explores both the regulatory landscape as well as immense business opportunity for social media across PR, marketing, sales, customer service, and recruiting.
|
10:00 a.m. - 10:15 a.m. Rendezvous Trianon Foyer, 3rd Floor |
Refreshment Break |
10:15 a.m. - 10:35 a.m. Exhibit Hall, 3rd Floor
|
Expo TheaterSocial Media and the Consumer
Twitter? Facebook? Smartphones? Mr. Cramer will discuss how technology and social media are changing Consumers' behavior today. |
10:40 a.m. - 11:15 a.m. Mercury Ballroom, 3rd Floor
|
General SessionSocial Media and the Client
Moderator:
Panelists:
CEO Socialware
Managing Vice President Gartner Research
CEO and Founder Hearsay Social Best Selling Author, The Facebook Era
Mr. Cramer will moderate a panel of Industry leaders and discuss how the use of advancing technology and social media are changing the way financial services firms interact with their clients. In addition, the panel will look at the challenges faced in adopting these within financial services firms.
|
| 11:15 a.m. - 11:20 a.m. |
Get Smart
Executive Director
Move over textbooks and chalk boards. Make way for smart phones and white boards. The digital age has transformed the young mind and revolutionized education. Teaching and learning must adapt. Find out how the SIFMA Foundation has tapped technology solutions to evolve financial education through The Stock Market Game program, improving learning outcomes for millions of 4th-12th grade students poised to be the future workforce, consumers, and decision-makers. |
11:20 a.m. - 12:00 p.m. Mercury Ballroom, 3rd Floor
|
The Practice of Enterprise Data ManagementModerator:
Managing Director EDM Council
Panelists:
Managing Director Kingland Systems Corporation
Vice President, Enterprise Data Management, Governance and Process Executive Chartis Inc.
Senior Associate, Enterprise Data Architect Booz Allen Hamilton
Data Governance Director Citi
Senior Member of the Technical Staff, Software Engineering Institute Carnegie Mellon University
Global regulators and market authorities clearly understand the interdependence between formal “risk appetite frameworks” and highly developed data/IT infrastructures. This elevates the practice of enterprise-wide data management as an operational requirement and compels firms to both prove and measure EDM capabilities. This session will introduce the new Data Management Maturity Model (developed by the EDM Council and the Software Engineering Institute of Carnegie Mellon) and provide insight into how it can be used to demonstrate a financial institutions capacity to monitor risk through reliable access to “accurate, comprehensive and timely quantitative information.” |
12:00 p.m. - 1:45 p.m. Trianon Ballroom, 3rd Floor |
Leaders Forum Attendee Lunch
|
2:00 p.m. - 3:00 p.m. Rendezvous Trianon, 3rd Floor |
General SessionThe Consumerization of Information Technology and Social NetworkingModerator:
Panelists:
Head of Platform Research Salesforce.com
Director of U.S./Canada Theater Cisco
Director of Product Management Google Apps
Social Networking has changed the way we communicate not only on a personal level, but also from a corporate perspective. No longer are email and the phone the primary communication tool to complete our work. Join this session for a discussion on the challenges of tools such as Linkedin, Twitter, and FaceBook in regulated financial services environments.
Breakout SessionsPanel I - Morgan Suite, 2nd FloorCyber-Security - The Botnet ThreatModerator:
Panelists:
Security Consultant iSEC Partners
Security Practice Director Savvis, Inc.
Botnets are currently the most significant threat to Internet security. Because of their numbers, individual hacks can now be conducted on multiple targets simultaneously on a grand scale. Because of their distributed architecture, they are difficult to completely eradicate. Because they are available for hire, malicious use of botnets does not require technical skill. This panel will explore the impact of the Botnet on the financial services industry, and provide guidance on improving resiliency to these types of attacks.
Panel II - Madison Suite, 2nd FloorSmart Devices – The New Business ToolModerators:
Managing Director, Chief Technology Officer Keefe, Bruyette and Woods President, SIFMA DMS
Managing Director, Chief Information Officer Leerink Swann, LLC
Panelists:
Chief Information Officer TheStreet
Senior Vice President
Devices such as Smart Phones, iPads, Tablets, etc. are certainly impacting the way professionals conduct business and, as a result, present new technological challenges. Join this session for a candid discussion of the perks and pitfalls for regulated financial firms trying to navigate the use of these products, particularly where they blur the line between corporate and personal use. The panel will include representatives from financial service firms as well as vendors with mobile device management products.
Panel III - Clinton Suite, 2nd FloorGoing Green – What To Do With Old EquipmentModerator:
Director, Customer Technology Solutions Delivery
Panelists:
Vice President Morgan Stanley Smith Barney
Vice President, Office of Media Management Bank of New York Mellon
More than 50% of the Fortune 500 companies are leveraging the capabilities of the secondary hardware market to maximize the efficiency of their Green IT infrastructure strategy. Taking advantage of the secondary hardware market minimizes lead times, creates a 30-40% higher return on the value of decommissioned assets, reduces maintenance costs up to 40% and significantly lowers IT spend, all while responsibly and securely disposing of used IT assets. Join this session for a discussion on how to realize the advantages of this opportunity. The panel will include representatives from the industry as well as the vendor community. |
3:00 p.m. - 3:15 p.m. Trianon, Rendezvous Foyer, 3rd Floor |
Refreshment Break |
3:15 p.m. - 4:15 p.m. Rendezvous Trianon, 3rd Floor
|
General SessionFuture Technology Trends in the Financial Services Arena
Information Management Director, InfoSphere Streams Research Scientist: Computer Science IBM Software Group
Program Director, Infrastructure Systems, and Associate Professor Stevens Institute of Technology
Mr. Burrus and a panel of distinguished industry thought leaders will discuss future technology trends for the financial services industry and beyond.
|
3:00 p.m. - 3:15 p.m. Trianon Rendezvous Foyer, 2nd Floor |
Solution Center Refreshment Breaks
|
|
Solution CentersCognizant Technology Solutions Clinton Suite, 2nd Floor The Future of Work in Securities Operations
Vice President, Banking and Financial Services Business and Innovation Consulting Cognizant Technology Solutions
The use of social media and collaboration tools is receiving growing attention from financial institutions as a potential means of improving both the relationship depth and satisfaction of its client base. In contrast, a recent survey conducted by Cognizant suggests that these institutions are only beginning to consider how these same tools can be used to increase the productivity and job satisfaction of operations staff. Although workflow automation solutions have increased efficiencies in managing more routine tasks they do little to help information workers to deal with resolution of issues where data is non-standardized, unstructured, and/or undocumented. Prime examples of this situation can be found today in areas such as corporate actions and OTC clearing. In response to this situation, this presentation proposes a roadmap for identifying and piloting the use of these tools in financial services operations environments which addresses current obstacles such as facilitating adoption, measuring effectiveness, and ensuring security.
|
Investools from TD Ameritrade Holding Corp. Morgan Suite, 2nd Floor
Trading at the next level with powerful tools and investing education
Instructor Investools from TD Ameritrade Holding Corp.
Join us to learn more about our Investools® Training System, which teaches you how to spot opportunities whichever way the market is moving and gives you access to unparalleled support from experienced traders. Come see how our Investor Toolbox® can make it easy for you to set up a portfolio that meets your personal objectives and conduct in-depth fundamental and technical analyses on thousands of stocks and options. There's too much at stake to be an emotional investor. Especially when Investools® from TD Ameritrade can help you become a more educated one.
|
|
Madison Suite, 2nd Floor
Risk Management Thought Leaders Panel: Improving Risk Management and Transparency for Structured Products, Exchange Traded and OTC Derivatives through Effective Data Management and Innovative Analytic Models
Senior Vice President of Business Development Thomson Reuters
Managing Director, Banking & Capital Markets Microsoft
Numerix
Even before the financial crisis, enterprise-wide risk management was among the next big initiatives for Financial Services firms. But as companies start these projects they are finding a major challenge in the data management component. The lack of relevant and/or timely data is hampering the approach to a holistic and, in some instances, real time view of the firms' risk profile. Join Thomson Reuters, Numerix and Microsoft for a discussion around the different dimensions of data management and data analysis and the business and technology trends that will enable companies to implement solutions that will help embed risk management in the companies' culture.
|
|
| Sage Software, Inc. Bryant Suite, 2nd Floor Relationship Equity: Securing a Scalable Client Relationship Management Strategy
Director, Key Accounts Sage SalesLogix
The intricate nature of the financial services sector presents unique requirements from a client relationship management standpoint. It’s more imperative than ever that financial advisors and brokers provide new levels of knowledge, personalization, transparency, and communication. Progressive investment advisors have an opportunity to distance themselves from the pack. By incorporating relationship management tools into their businesses, advisors can improve their ability to maintain loyal client relationships and increase the flow of new referrals that lead to new clients and increased assets. Come hear an introduction to Sage SalesLogix, a CRM solution that allows flexible customization to help financial firms implement, pay for, and use CRM in ways customized to their specific needs. Experience a key highlight of the session as Sage SalesLogix customer Bob Thielmann, CIO of Janney Montgomery Scott, and his team walk through benefits of and best practices for CRM; provide helpful insights into planning for, implementing, and getting teams to use CRM; and share some of their preliminary results. |
|
4:30 p.m. - 6:00 p.m. |
Exhibit Hall Reception |
5:00 p.m. Exhibit Hall, 3rd Floor |
Expo Theater SpeakerSocial Media and Smart Devices - What are the new opportunities?
Mr. Burrus will share his views on what's to come in social media, the internet and smart devices. |
John Bovenzi
Amy Friend 
Hal S. Scott 
Larry Tabb.png "blank speaker")
Chris Crowley 
Richard M. McVey 
Paul Zubulake 
Clara Shih 
Robert Ellis 
Kristin Shevis 
Brian Tietje 
Jim Cramer - Host of CNBC's Mad Money/Founder and Markets Commentator, TheStreet, Inc. 
Chad Bockius 
Vincent A. Oliva 
Melanie Mortimer 
Michael Atkin 
Jeff Gorball 
John Housen 
Melanie Mecca 
Richard White 
Gian Wemyss 
Joseph Lanza 
Lee Congdon
Peter Coffee 
James Robshaw 
Jonathan Rochelle 
Jennifer L. Bayuk
Dr. Edward Amoroso
Mark Clancy
Daniel Guido 
Lenny Zeltser 
Linda M. Orlando 
Jeff Gerson 
Daniel Flax 
Reginald Zamora 
John Lauria 
Brian Glahn
Leslie Knotts 
Henry Malkin 
Daniel Burrus
Nagui Halim 
Edward Merchant 
Tim Lind 
Ben Narey 
Ted Pendleton
Jeff Woods | Time | Description |
|---|---|
8:00 a.m. - 9:00 a.m. Mercury Ballroom, 3rd Floor |
Leaders Forum Attendee Breakfast |
General SessionThe Changing Business Model of TradingBreakfast with Speaker
|
|
9:00 a.m. - 12 noon |
Exhibit Hall |
9:00 a.m. - 10:00 a.m. Mercury Ballroom, 3rd Floor
|
Implementing the new oats specificationsModerator:
Vice President, Regulatory Operations Goldman Sachs
Panelists:
Director and Managing Counsel Pershing
Executive Director Compliance Application Development JP Morgan Securities
Associate Director, OATS Operations FINRA
On May 3, 2011, FINRA released a new edition of the OATS Reporting Technical Specifications that includes changes related to FINRA’s rule changes expanding the OATS Rules to all NMS stocks (SR-FINRA-2010-44) along with other technical enhancements. Firms must be ready to submit OATS reports according to the new specifications on October 3, 2011. It is critical that firms fully understand the new requirements and adjust their systems by the October implementation date. In this session, Paul McKenney from FINRA will explain the new reporting requirements and the logic behind them. Representatives from securities firms will discuss the implementation challenges. Session attendees will have an opportunity to ask questions related to the implementation of the new OATS rules.
|
10:00 a.m.- 11:00 a.m. Mercury Ballroom, 3rd Floor
|
The New Cloud Paradigm for Financial ApplicationsHow Financial Firms are and Should be Leveraging the Cloud
Moderator:
CMO, Cloud Blogger at Chaotic-Flow Xignite Inc.
Panelists:
President & CEO Xignite Inc.
CEO NYSE Technologies
Co-Founder & CEO Pico Quantitative Trading
This panel combines a group of top financial services and cloud computing technologists for a frank conversation on the opportunities and realities of the cloud. Subjects covered will be real world cloud initiatives and results, the potential of the cloud to address big market data challenges, how the cloud changes financial application development and deployment, and just how far the cloud can go in financial services given its unique security, reliability and compliance concerns.
|
*Program Subject to Change* |
|
12:00 p.m. |
Leaders Forum and Expo ConcludesSIFMA wishes to thank the following sponsors for supporting the 2011 Financial Services Technology Expo
Broadridge Financial Solutions, Inc. - Electronic Charging Stations & CyberCafé Internet Hot Spot Cisco Systems - VIP Sky Box Suite Coffee Distributing Corporation - Cyber Cafe` Refreshments Davidsohn Global Technologies, Inc. - Attendee Lanyard, Attendee Tote Bag & Hotel Room Key Card Dow Jones - Wall Street Journal Presidio, Inc. - Regional Firms Technology Roundtable Dinner Sybase, an SAP Company - Official Exhibit Guide VMware, Inc. - Escalator Banner
|
Brad Hintz 
David Emero 
Jesse Lawrence .jpg "Mike Lurie2")
Michael S. Lurie 
Paul McKenney 
Joel York 
Stephane Dubois 
Stanley Young 
Jarrod Yuster
