Investment Solutions Conference
 
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Download the first annual conference brochure:
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Agenda for first annual conference:
Monday, November 8, 2004
7:30-8:30 Continental Breakfast, Registration and Exhibits
8:30-8:35 Welcome Lac An Vuong
Managing Director
Informa Investment Solutions, Inc.
8:35-9:35 Keynote Address
Changes in the Legal and Legislative Landscape

In the wake of corporate scandals, terrorist events and an ever- changing world, modifications to regulations and standards plus new rules in compliance have occurred to adjust to this shifting landscape. This keynote address will update you on the latest information regarding these modifications.
Speaker: Lawrence A. Friend
Pricewaterhousecoopers, LLP
Partner
Through June, 2004, Larry Friend was a Partner in the Regulatory Consulting Group in Boston and Washington D.C. Since June, 2004, he continued in a similar role as a regulatory consultant with PwC. He joined PwC in January 1998 after serving for 20 years at the Division of Investment Management of the Securities and Exchange Commission.
9:35-10:00 Coffee Break and Exhibits
10:00-11:00 Breakout Sessions I (Attend either Session A, B or C)
A. Revisions to the Global Investment Performance Standards (GIPSŪ)

Learn specifics about the redrafting of GIPSŪ, the relationship between GIPSŪ and the AIMR (Association for Investment Management and Research) Performance Presentation Standards (AIMR-PPSŪ), and significant proposed changes. Receive an update on these proposed revisions and learn how your firm can prepare for the redrafted standards.
Speaker: Karyn D. Vincent, CFA
Vincent Performance Services, LLC
Chairwoman, AIMR-PPSŪ Standards Committee
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B. What's Coming Next: Future Trends in Investment Technology

Technology enhancements and modifications happen quickly. Knowing what technology trends and updates are forthcoming gives you an edge over your competition and enables you to better service your clients. In this session, receive an update on new, enhanced and modified technologies, how they will apply to you, and the benefits of this technology to the investment services world.
Speaker: Jim M. Kearney
Vice President
Worldwide Product Management
Northern Trust Company
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C. Product Demo: Exhibitor
11:00-12:00 Breakout Sessions II (Attend either Session A, B or C)
A. Investment Benchmarks: A Useful Tool or Broken Gadget?
Investment benchmarks have been used as a tool in determining asset allocation policy, implementing portfolio decisions and evaluating performance. However, there has been criticism among some investment professionals regarding investment benchmarks. Hear from this expert as he discusses:
  • The practicality of investment benchmarking,
  • How to apply benchmarking to investment decisions
  • How benchmarking can be beneficial to your investment strategy
    • Speaker: C. Michael Carty
    Principal
    New Millennium Advisors LLC
    --------------------
    B. Delivering Investment Advice: At the Crossroads
    Acquire this roadmap and be better equipped for the future of delivering investment advice. The changes in delivering investment advice have occurred as a result of many factors such as the growth of the Internet and other technological advances (e.g. email, wireless, CRM), the changes in legal aspects of delivering advice, and forces within the market itself. This session will reveal:
  • How these changes have impacted the delivery of advice
  • The legislative boundaries involved in this delivery
  • Trends that are affecting you or your competition.
    • Speaker: John Lloyd
    Director of Manager Research and Due Diligence
    Credit Suisse First Boston, LLC
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    C. Product Demo: Exhibitor
    12:00-1:30 Luncheon and Exhibits
    1:30-2:30 Case Studies (Attend either Session A, B or C)
    A. Outsourcing Your Performance Reporting Operations:
    A case Study Reporting, data collection, back office procedures - tasks that are prone to outsourcing. The decision to outsource can be a difficult one to make. Through this case study you will hear from Evaluation Associates and how they decided to outsource part of its operations. More specifically:
  • What decision-makers took into account when deciding to outsource
  • The benefits and pitfalls of outsourcing performance reporting procedures
  • Unexpected post-outsourcing issues
    • Speaker: Steve Formanek
    Director of Operations
    Evaluation Associates LLC
    A Milliman Company
    ------------------------------------
    B. The Psychology of Delivering Financial Advice - A Case Study
    How well do you deliver financial advice to clients? How do clients make decisions based on your advice? Dr. Langlois has had much success training numerous financial advisors. Through this interactive session, Dr. Langlois will present a better understanding of the psychology behind delivering financial advice.
    Speaker: Harold Langlois, Ph.D.
    Director, Advest Institute
    Member, Harvard Faculty
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    C. Product Demo: Exhibitor
    2:30-3:00 Coffee Break and Exhibits
    3:00-4:00 Panel Discussions I (Attend either Session A, B or C)
    A. The Insurance Company As Financial Advisor
    Numerous insurance companies are now engaged in the role of financial advisor. Many agents are now adding financial planning skills to their resumes. In addition, several insurance companies are re-branding themselves within the financial planning community. Through this panel, hear from these experts as they discuss:
  • Training their agents to become certified financial planners
  • Presenting the financial planning offering to clients
  • Overcoming the insurance agent stereotype and being seen as financial planners
    • Moderator: Don Sikora, CLU, ChFC, FLMI
    Executive Administrative Assistant
    State Farm
    Panelists: Frank Moore, CFP, CPA, JD
    Senior Analyst
    State Farm
    James Dake
    Director of Financial Planning Advisory Services
    MetLife
    Jeff Harrison, CFP
    Consulting Partner
    National Advanced Planning Group
    Carolyn Ounan
    Director, Marketing Management - Life Insurance Division
    Prudential Financial
    ------------------------------------
    B. Multi Style Portfolios (MSPs) and Unified Managed Accounts (UMAs) - The Evolution of Separately Managed Accounts
    Separately managed accounts continue to be a vital portfolio instrument. Getting a clear picture of these accounts is crucial. Hear from these panelists as they share their experiences with MSPs and UMAs and discuss:
  • How you construct, evaluate and offer MSPs and UMAs
  • The benefits of these 3rd and 4th generation SMAs in managing accounts as compared to
         previous SMA generations
  • The differences between these two SMAs as valuable parts of portfolios
    • Moderator: Margaret Doherty
    Vice President - Investment and Manager Relations
    Prudential Investments Managed Accounts Group
    Prudential Financial
    Panelists: Steven C. Semple
    Vice President
    JP Morgan Fleming Asset Management
    Jennifer D. Hartmann, CIMA
    Senior Vice President - Investments
    Senior Investment Management Consultant
    Smith Barney
    Stuart Parker
    Head of Third Party Distribution
    Citigroup Asset Management
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    C. Product Demo: Exhibitor
    4:00-5:00 Panel Discussion II (Attend either Session A, B or C)
    A. Returns-Based Style Analysis v. Holdings-Based Style Analysis
    Explore each type of style analysis with these panelists as they share their views on their preferred style analysis, the reasons why they possess those views, the benefits and pitfalls of each style and how they apply their particular style analysis in estimating an asset mix.
    Moderator: Jeff Schwartz
    Director of Sales and Marketing
    Markov Processes Intl Corp.
    Panelists: Martin Vostry
    Research Analyst
    Lipper - A Reuters Company
    Mark R. Grotte, CIMA
    Senior Vice President
    Wells Fargo Investment Consulting Group
    Dr. Russ Wermers
    Associate Professor of Finance
    Director, Netcentric Financial Markets Lab
    University of Maryland at College Park
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    B. Building Platforms: A Look at Banking Architecture
    The investment and financial products that banks offer its clients have evolved into an open architecture. Currently banks can offer advanced third-party products on an equal footing to proprietary products. These offerings sometimes come in the form of wrap funds that blend proprietary products and third party products. Banks, however, have more control over their proprietary products in comparison to third party products. This panel will debate and discuss this open architecture, the advantages and disadvantages and what lies ahead for the future.
    Moderator: Bob Grieb
    Managing Director
    Bank Insurance & Securities Association
    Panelists: Joan Burns
    Vice President, Program Manager
    HSBC Insurance Agency (USA) Inc.
    Ash Bhatnagar
    Vice President, Wealth Management
    JP Morgan Chase
    Halvard Kvaale
    Managing Director
    Head of Global Manager Research and Fee-Based Advisory Solutions
    Private Wealth Management
    Deutsche Bank
    Wendy O’Brien
    Director of Sales and Small Business
    PNC Regional Community Bank
    --------------------------
    C. Product Demo: Exhibitor
    5:00-7:00 Cocktail Reception and Exhibits
    Join us this evening for cocktails and meet the exhibitors. Win a raffle prize given away by the sponsors of this event. You must be present to win!
    Tuesday, November 9, 2004
    8:00-9:00 Continental Breakfast and Exhibits
    9:00-9:05 Recap Leno Toich
    Managing Director
    Informa Investment Solutions, Inc.
    9:05-10:05 Keynote Address
    The Economic Outlook of the Investment World
    Look into the crystal ball with Barry R. James and glance into the future. Mr. James will discuss the current economic conditions of the finance and investment industry, the short- and long-term future for the business, and what issues you need to keep in mind as you create future strategies.
    Speaker: Barry R. James, CFA, CIC
    Executive Vice President and Portfolio Manager
    James Investment Research
    Barry R. James conducts extensive research in both the stock and bond markets. Barry is President of the mutual fund family, the James Advantage Funds. Mr. James has appeared on both Bloomberg TV and CNNFN.
    10:05-10:30 Coffee Break and Exhibits
    10:30-11:30 Breakout Sessions III (Attend either Session A, B or C)
    A. Competitive Analysis & Product Positioning: Solutions for Your Business
    What are the benefits of using competitive analysis to help win business? How do you effectively use market research to position your product? What do style and historical performance factors determine and how do you apply these factors to both competitive analysis and product positioning? This expert will share his experience in using these tools to enhance his business.
    Speaker: Christopher Meuser, CFA
    Research Analyst
    Hartford Investment Management
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    B. Hedge Funds: An Alternate Source of Funds
    The attention given to alternative investments has certainly increased since the early 1990s. These high-yield funds have boomed as a result of public acceptance and demand. Through this session you will:
  • Learn to evaluate hedge funds and identify the attributes of a hedge fund
  • Discover the benefits of incorporating hedge funds into a portfolio
  • Ascertain how to apply hedge funds as part of an overall business strategy
    • Speaker: Ron Surz
    President
    PPCA, Inc.
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    C. Product Demo: Exhibitor
    11:30-12:30 Panel Discussion III (Attend either Session A, B or C)
    A. Acquiring The Right Sales Force for Managed Account Platforms
    Gaining the sale - one of the most important steps of the investment business. Hiring the right sales people and driving them to perform is essential to the sale process. Hear these success stories as these panelists discuss:
  • Approaches to hiring the right sales personnel
  • Effectively training the sales force
  • Enabling that sales force to meet designated quotas
    • Moderator: Ashley Rabun
    Managing Director
    InvestorReach
    Panelists: Steve Figliozzi
    Executive Director
    Morgan Stanley
    C. Brooks Englehardt
    Managing Director
    Investment Products Group
    Bank of America
    Mark Elzweig
    President
    Mark Elzweig Company, Ltd.
    ------------------------------------
    B. Rating Separate Account Managers
    There has been much conversation in the investment world about the feasibility of adopting a rating system for separate account managers. Join this discussion as representatives from rating agencies debate this intense issue.
    Moderator: Christopher L. Davis
    Executive Director
    The Money Management Institute
    Panelists: Henry Shilling
    Senior Vice President
    Moody's Investor Service
    Philip Edwards
    Managing Director
    Standard & Poor's Investment Services
    Said Rafat
    Senior Director
    Operational Risk Group - Credit Products
    FitchRatings
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    C. Product Demo: Exhibitor
    12:30 Conference Ends