Driving Change for Capital Markets Growth

“Any intelligent fool can make things bigger and more complex … it takes a touch of genius - and a lot of courage to move in the opposite direction.” E. F. Schumacher

Over the past 50 years, financial institutions have created an enormous and uncontrollable amount of data. Today, data is created, collected, analyzed, shared, and stored in unprecedented ways - and at an extraordinary speed and volume. Much of the data stored, generated and consumed by firms is poorly managed and governed. Not only does this create operational inefficiencies and increase costs, it also poses a security risk while wasting precious time. The North American Financial Information Summit - NAFIS 2019 will allow you to think differently about how your data is stored, managed and distributed across the firm to drive change and enable efficient consumption.

At the 17th North American Financial Information Summit - NAFIS 2019, senior data, compliance and technology decision makers will gather together to address the most pressing current issues, including: - Changing structures and complexities due to exponential data volume increase - Optimising operating models and analytical capabilities while remaining compliant to ongoing regulatory changes and GDPR implementation - Enhancing data security systems, information governance and risk management strategy - Harnessing the power of AI to efficiently prepare and process market and reference data - Discussing the current wave of cloud computing, alternative and unstructured datasets: Improving business outcomes and reducing costs - Mitigating disruptive influences: Emerging technologies, new regulations, geo-political changes and innovations in the financial sector

Join the US’s most established community of data leaders and decision makers on May 20-21st to challenge your current data strategy and evaluate potential technology investments. Have your voice heard at interactive roundtables, learn from peers facing the same challenges at their respective firms, listen to the experts, hear their success stories, and meet 350+ senior decision makers over 5 networking breaks – all this for only one day out of the office!

KEY 2019 facts and figures:

- Running for the 17th year on behalf of Inside Market Data, Inside Reference Data, Inside Data Management and Waters Technology - New formats with the inaugural NAFIS Masterclass and an additional stream with a series of case studies to provide practical hands on advice into the Big data & analytics space - Backing of 16 Advisory Board members from leading financial firms including , Societe Generale, State Street, HSBC, Citadel, DB, Acadian Asset Management & Scotiabank - Top tier vendor firms and service providers in attendance to address your concerns - Highly interactive RegTech Evaluation Day created to showcase new thinking and out-of-the- box initiatives in the technology, innovation and regulation space

NAFIS 2019 Confirmed Speakers Include:

- Roman Regelman, Head of Digital, BNY MELLON NEW - Jose A. Murillo, Chief Analytics Officer, BANORTE NEW - Alex Golbin, Managing Director, Global Head of Data Services, BLACKROCK NEW - Alla Whitston, Chief Technology Officer, CIT - Julia Bardmesser, SVP, Head of Data, Architecture and Analytics, VOYA FINANCIAL - Edmund Flynn, Executive Director, Global Market Data Sourcing, MORGAN STANLEY - Hiroki Ishihara, Global Head of Operations Technology Audit, NEW - Steve Hansen, Vice President - Market Data, MORGAN STANLEY NEW - Andrew Foster, Deputy Chief Data Officer - Americas, DEUTSCHE - Sumanda Basu, Data Management Technology Leader, SOCIETE GENERALE - Jacklyn Osborne, CDO, HSBC NEW - Ellen Gentile, Assistant Vice President, Data Quality Manager & Data Steward, SUMITOMO MITSUI - Imrankhan Mulla, Head - GIA Data Analytics Americas, UBS NEW - Thomas Mavroudis, Global Head of Data Governance and Data Quality, HSBC - Peter Serenita, U.S. Chief Data Officer, SCOTIABANK - Sarah Biller, Founder & CEO, FINTECH SANDBOX - Ruth MacQuiddy, Technology Strategist, New York Lab - Global Innovation, - Shailesh Mathankar, Director, Data Management, AIG NEW - Jonathan Carroll, Managing Director Enterprise Risk Technology, BMO FINANCIAL GROUP - Michael F. McGovern, Managing Director, BROWN BROTHERS HARRIMAN - Carey LaVine, Finance Chief Data Officer, J.P. MORGAN CHASE & CO. NEW - Vijay Kasarabada, Managing Director and Global Head of Technology, NEW - Tarun Sood, Head of Data and Analytics, VANGUARD INSTITUTIONAL INVESTMENT GROUP - Kim Prado, Managing Director, Global Head of Client Insight, Banking & Digital Channel's Technology, RBC CAPITAL MARKETS - Ina Wanca, Professor, NEW YORK UNIVERSITY NEW - Sareena Dalla, Global Innovation and Strategy, VANGUARD NEW - Luis Valdich, Managing Director, Venture Capital Investing, CITI VENTURES - David Saul, SVP and Chief Scientist, STATE STREET - John Bottega, Executive Director, EDM COUNCIL - Peter Donnelly, Vice President, BLACKROCK NEW - Yann Coatanlem, Managing Director Head of Multi-Asset Quantitative Analysis, CITI GROUP NEW - Barry Raskin, Managing Director, JORDAN AND JORDAN - Dessa Glasser, Board Member, OPPENHEIMER HOLDINGS - Steve Listhaus, Head of Market Data Services, NEW - Risë Zaiser, US Chief Data Officer, SUMITOMO MITSUI BANKING CORPORATION NEW - Sri Atluri, Global Head of Enterprise Quality Engineering, BNY MELLON NEW

THE NORTH AMERICAN FINANCIAL INFORMATION SUMMIT 2019 May 21st – The Convene, 1 Liberty Place, New York 8:30 Registration and Continental Breakfast Executive Pre-conference Breakfast Round-table – Available for sponsorship 9:00 Chairperson’s Opening Remarks 9:10 Opening Keynote Address:

Digitization Strategies and Models to Drive Transformative Growth - Pro’s and con’s of most-often used digitization strategies - New ways of organizing and working to build a digital enterprise - The role of partnerships to build and scale value creation - How to use data to re-imagine client solutions and services - How to monetise and justify the ROI of emerging technologies like AI Roman Regelman, Head of Digital, BNY MELLON 9:40 Keynote Panel: Creating an Organizational Structure to Turn Data into a Valuable Asset - Transforming your data ecosystem to reduce costs and drive new business opportunities - Understanding the role of the CDO/CTO in a fast moving digital era - how should the organisational structure look? - Security risks and privacy concerns - what approach have you taken within your firm and how are you managing ongoing threats? - Identifying the biggest challenges to create a data driven organisation – people, process and technology Moderator: Peter Serenita, U.S. Chief Data Officer, SCOTIABANK Panellists: Andrew Foster, Deputy Chief Data Officer - Americas, DEUTSCHE BANK Alla Whitston, Chief Technology Officer, CIT Tarun Sood, Head of Data and Analytics, VANGUARD INSTITUTIONAL INVESTMENT GROUP Norman Niemer, Chief Data Scientist, UBS ASSET MANAGEMENT 10:25 Case Study Presentation: Leveraging Alternative Data for Financial Decision-making Processes - How to use alternative data as an input into your investment strategy? - Quickly identify, search, and process information to gather and analyze in a meaningful way - Scaling up with advanced analytics that track changes and improve forecasts - Using alternative and unconventional data to make timely and more informed decisions across a wide range of industries S&P GLOBAL MARKET INTELLIGENCE 10:45 Networking Morning Break

Stream 1: Stream 2: Stream 3: Risk, Regulation, and Data Data Architecture, Analytics for Improved Privacy Governance and Quality Decision Making NEW 20% of operating Driving further advancements This stream consists of a budgets going to compliance! into the data agenda – The series of case studies to Join these interactive current innovations, business provide practical hands on discussions to reduce internal culture, and processes trends advice into the Big data and costs and build a successful analytics space risk and compliance program 11:15 Chairperson’s remarks Chairperson’s remarks Chairperson’s remarks John Bottega, Executive Dessa Glasser, Board Barry Raskin, Managing Director, EDM COUNCIL Member, OPPENHEIMER Director, JORDAN AND HOLDINGS JORDAN 11.20 Keynote case study: Fireside Chat: Keynote case study:

Leveraging AI and Machine Next Generation Data Market Data Trends: What Learning Opportunities to Management Platforms: are the Current Challenges, Drive Transformative Growth Advances in Market and Regulatory Concerns and Reference Data Distribution Emerging Innovations? - Understanding how AI’s & Analysis capabilities can support - Leveraging data data management and - How to select the right management and data advance the business data management processing capabilities to - Enhancing the customer’s platform and successfully comply with a fast journey and driving plan its implementation? evolving regulatory- business value with - Providing a full data compliance landscape predictive analytics - Using emerging - Digitizing data governance lineage and robust data to increase volume, speed governance to deliver technology solutions to and reduce friction consistent and reliable help standardize global - Mining greater value from data across all functions market systems and make existing & cleansing data - Centralizing your data capital markets to increase trade hub to streamline the transactions faster, more prediction’s accuracy sourcing, scrubbing and secure, and highly efficient - Improving process validation of its security, - Discussing the efficiency and speed to pricing and corporate provide better customer tokenization challenge actions data service, comply with and the growing interest - regulations, and save cost Enhancing data in cryptocurrency trading - How to monetise and governance and agility to - Experimenting with new justify AI’s ROI? manage business change types of alternative and execute strategic datasets and AI SIX growth goals

AIM SOFTWARE

11.50 Panel discussion: Panel discussion: Panel discussion:

Accessing Accurate, Reliable Fostering an Organizational How will Advances in and Regulated Data Pricing Environment to Unleash Analytics and AI Impact the Information in Times of Employees Creativity and Way in Which we Process Uncertainty Process Innovation and Analyze Data - How to make market data - Driving digital innovation - Reviewing the current more transparent for processes: How to decide offerings to automate valuation and risk where to invest and your trade execution and processes across multiple prototype reduce the workload markets - Building and scaling an - Implementing data

- Proactively mitigating internal innovation lab visualization and visual against price changes to within a corporate analytics for effective meet regulatory and environment - What are understanding, reasoning compliance requirements and decision making - Enabling rapid pricing and the lessons to be learned? process impact analysis to make - Embedding technological - Identifying the main fast and smart decisions innovation to clients’ - Will Brexit and trade expectations and business challenges and risks tensions lead to further needs associated with AI and financial market volatility - Leveraging on emerging machine learning across the globe? technology to achieve integration – which areas of data management have Moderator: company’s organizational seen the most success? Steve Listhaus, Head of transformation - Envisioning new business Market Data Services, WELLS - Envisioning future models enabled by AI and FARGO possibilities and skills that DLT Panellists: finance leaders need to succeed in the upcoming Moderator: Vijay Kasarabada, Managing Ruth MacQuiddy, Technology years Director and Global Head of Strategist, New York Lab - Technology, LAZARD ASSET Moderator: Global Innovation, DEUTSCHE MANAGEMENT Victor Tewari, Senior BANK Hiroki Ishihara, Global Head Technology Officer, CM Panellists: of Operations Technology Institutional & Corp Banking Shailesh Mathankar, Director, Audit, GOLDMAN SACHS Technology, BMO FINANCIAL Data Management, AIG GROUP Steve Hansen, Vice President Michael F. McGovern, - Market Data, MORGAN Panellists: Managing Director, BROWN STANLEY Sareena Dalla, Global BROTHERS HARRIMAN Innovation and Strategy, Peter Donnelly, Vice VANGUARD Kim Prado, Managing Director, Global Head of President, BLACKROCK Imrankhan Mulla, Head - GIA Client Insight, Banking & Data Analytics Americas, UBS Digital Channel's Technology, Sri Atluri, Global Head of RBC CAPITAL MARKETS Enterprise Quality Engineering, BNY MELLON

12:30 Networking Lunch Break & Exhibition Visit Executive Luncheons by Invitation Only – Available for sponsorship Roundtables – in the exhibition space

Start-up Showcase – in the West Hub

Stream 1: Stream 2: Stream 3: Risk, Regulation, and Data Data Architecture, Analytics for Improved Privacy Governance and Quality Decision Making NEW

1:40 Chairperson’s remarks Chairperson’s remarks Chairperson’s remarks John Bottega, Executive Dessa Glasser, Board Barry Raskin, Managing Director, EDM COUNCIL Member, OPPENHEIMER Director, JORDAN AND HOLDINGS JORDAN 1:50 Interactive Fireside Chat: Case study: Case study:

Envisioning Future Market Migrating your Real-Time Optimizing the Use for Data Developments to Infrastructure to the Cloud: Reference Data to Maintain a Overcome Talent Challenges, Options, Challenges and Global Regulatory Oversight Opportunities Comply with New Regulations - Turning reference data and Quickly Adapt to - Benefits of the into meaningful business Emerging Innovations public cloud for real- information with Forward looking and time market data increased governance and interactive session where - Unique challenges management clarity delegates are welcome to use for larger financial - Effective methodology: institutions Sli.Do to ask their questions, How to best deal with a (scalability, share ideas and interact with large number of the speakers live migration, reliability, etc.) specialized tasks and wide Ina Wanca, Professor, NEW - Pros and cons of scope involved in YORK UNIVERSITY various deployment reference data Edmund Flynn, Executive approaches management - Avoiding duplication, Director, Global Market Data Stephane Dubois, Founder costly back-office Sourcing, MORGAN STANLEY and Chief Executive Officer, correcting and data XIGNITE quality issues with standardized reference data tables and effective communication across business units - Unlocking maximum value from your data to the extent of monetizing it Jonathan Carroll, Managing Director Enterprise Risk Technology, BMO FINANCIAL GROUP

2:15 Panel discussion: Panel discussion: Panel discussion: Improved Data Lineage and How Can Collaboration with Transforming Enterprise Metadata Management for Fintech Companies Drive Data Management with Regulatory Reporting and Innovation and Accelerate Data Driven Technologies Competitive Edge Change - Navigating AI and Big - Mapping data rivers to - How FinTech start-ups are data Analytics ensure ROI on your data leading the way in AI, RPA, implementation to and gain greater cloud computing, and DLT support and enable understanding of your to deliver innovation to business transformation companies data usage traditional players - How to Innovate - Investing in technology to - Enhancing operational Information processing create a holistic and flexibility and optimizing and reporting via mappable view of your business processes technology and data data through agile market driven analysis - Enabling the accurate entrants and reinvented - How can machine interconnecting of business models learning and AI validate regulatory and risk - How effective in-house metadata accuracy and reporting innovation labs, support overall data - How to turn metadata into accelerator programmes, quality new opportunities for and venture capital - Enabling further growth investments have proven business scalability and to be for enhanced flexibility of Big data Moderator: innovation strategy? Thomas Mavroudis, Global - The FinTech potential - Moderator: Head of Data Governance and from disruption to in- Brian Buzzelli, SVP, Head of Data Quality, HSBC house collaboration Data Governance, ACADIAN ASSET MANAGEMENT Panellists: - Determining how to best Carey LaVine, Finance Chief engage with FinTechs, Panellists: Data Officer, J.P. MORGAN given the contrasting Alex Golbin, Managing CHASE & CO. organization sizes and Director, Global Head of cultures Data Services, BLACKROCK Shailesh Mathankar, Director, Data Management, AIG Moderator: Yann Coatanlem, Managing Lauren Stevens, Vice President, Director Head of Multi-Asset Sumanda Basu, Data Senior Strategist, Content & Quantitative Analysis, CITI Management Technology Technology Solutions, FACTSET GROUP Leader, SOCIETE GENERALE Panellists: Sarah Biller, Founder & CEO, Tarun Sood, Head of Data SMARTSTREAM FINTECH SANDBOX and Analytics, VANGUARD Gerald Ledonne, Executive INSTITUTIONAL Director Application Delivery INVESTMENT GROUP , UBS Luis Valdich, Managing Director,

Venture Capital Investing, CITI VENTURES 3:00 Networking Afternoon Break

3:30 Drill Down Discussion Roundtables – Available for sponsorship You will have an opportunity to join two roundtables – 45 minutes each AI for Improved Market Data Management Cloud Infrastructure for Improved Data Discussing AI's potential to improve business Security performance and competitiveness demands What are you doing within your company to throughout the data lifecycle ensure that data breaches are prevented Alex Golbin, Managing Director, Global Head of and damage is minimized? Would you Data Services, BLACKROCK consider cloud computing as a secure Sjoerd Leemhuis, CEO and Co-founder, OWLIN solution? Methods to Ensure that your Data is Accurate Enhancing Data Quality Through AI and and Comes from a Trusted Source Automation To achieve success with data analytics: What How to gain predictive insights that help are the key steps you can take to ensure that embrace transparency and enhance trading your operational data is consistent, accessible, quality and complete?

ESG Data – Requirements and Quality Issues US Market Data Pricing Incorporating environmental, social and With the rise of electronic and automated governance factors such as gender diversity and trading, accurate and timely data pricing has low-carbon emissions on boards into business become more important than ever. investment analysis and decision-making Initiatives like MEMX to reduce trading costs processes and simplify the equity trading execution will be discussed Risë Zaiser, US Chief Data Officer, SUMITOMO MITSUI BANKING CORPORATION Josh Feldstein, Former VP, Market Data Sourcing, BANK OF AMERICA Building a Case for Data Standards Adoption Improved Data Lineage and Metadata Management Harmonizing standards to guide processes, effective use of data, and ultimately improve Sharing best-in-class practices to collaborate, performances establish an enterprise glossary and improve communication between teams 5:00 Afternoon Keynote: Coupling AI and Experimentation to Yield Massive Returns on Investment - Using AI and experimentation to enhance CRM and increase your conversion rates - The top five traits a successful CAO requires to help the business lines outpace competitors - How analytics can help you cut business risks, operational and financial costs - Unlocking data and using greater insight to create $2 billion value Jose A. Murillo, Chief Analytics Officer, BANORTE 5:30 Drink Reception – Available for sponsorship 6:30 End of the North American Financial Information Summit 2019 Please note: This agenda is a draft version – the content within the panels and conference sessions may change subject to additional industry input, sponsor suggestions and the findings from the advisory board meeting.