CONFERENCE SPONSORS DRINKS RECEPTION EXHIBITORS SPONSOR ALTUS Barclays moves, lends, invests and protects money for customers and NAVIGANT Altus is a business and systems solutions company founded in 2005 to meet the clients worldwide. With over 300 years of history and expertise in unique needs of the Financial Services industry. From shaping a detailed outsource Navigant ‘s team of Financial Services professionals banking, we operate in over 50 countries and employ over 140,000 people. deal to automating transfers across the investments sector, our mission is to be at the apply experience, clear thinking and teamwork forefront of the networked financial services business of the future. It is our practical Our customers and clients benefit from access to the breadth of to deliver pragmatic solutions to complex experience of both the business of Financial Services and the IT systems which expertise across Barclays. We’re one of the largest financial services problems across the global banking, insurance, support it which enable us to solve the right problems with the right technology. providers in the world, engaged in retail banking, credit cards, and investment management sectors. corporate and investment banking, and wealth management. Contact us on 01225 472830 or e-mail [email protected] for more information today. As a recognized and respected advisor to many leading organizations, our professionals provide FUNDSNETWORK consulting, benchmarking and resourcing FUSIONEXPERIENCE TM solutions to a number of leading financial FundsNetwork is the UK’s online investment platform from FusionExperience works across the financial services and complementary services organizations. Areas of specialty Fidelity Worldwide Investment, administering £38.35bn in assets vertical markets delivering a broad range of outcome based services to an include operations strategy and transformation, (as at 30/09/2012). Fidelity is one of the UK’s largest investment international client base. We provide innovative solutions which add value to distribution strategy and transformation, and companies and provides advisers and clients with the reassurance of our clients, delivering against their business and technology needs. knowing that investments are administered by an independent and regulatory strategy, risk and compliance. financially strong organisation that they can trust for the long term. To deliver maximum benefit, the company has four strategic divisions: FundsNetwork offers: REFRESHMENTS • Investment management: We partner with our clients in the Investment Management sector to drive down costs and increase operational efficiency by focusing on proven A wide ranging choice of product wrappers - Collectives, ISAs SPONSOR business reference models, repeatable processes and service excellence; (with Phasing and Cash Park facilities), Bonds (Investment and International), SIPP (with Drawdown) and a library of multi-asset trusts. KINETIC PARTNERS • Cloud: We enable our clients to become more adaptive by taking advantage of Global reach, one team, unique focus. the Cloud through ready developed apps, advice and guidance, best practice and A comprehensive fund range - over 1,250 funds, including ETFs and proven methodologies. These Apps include Enterprise Value Management for Unbundled funds, offered by more than 80 leading fund providers. Kinetic Partners is an award winning global Asset Managers and Enterprise Value Management for Project Governance. A choice in how to submit business - advisers and clients alike have the professional services firm focused exclusively on the asset management, investment banking and • SDLC: We provide a range of high quality and effective services across the full SDLC choice to conduct their business with us by either post, phone or online, (systems development life cycle) that reduce timescale and costs for clients; with a strong service offering provided to underpin these channels. broking industries. Our comprehensive range of consulting and advisory services includes • Resourcing: We help our clients to respond to the peaks and troughs of project and An extensive reporting suite - access to a wide range of client audit & assurance, regulation & compliance, business life cycles through comprehensive and flexible Resourcing services. reports and adviser based Management Information reports consulting, risk, corporate recovery, tax, and In each area of the business we are passionate about results, maximising the value that including re-registration status, income distributions, ongoing forensic services. Established in 2005, the our clients achieve from our expertise in financial services, technology and consultancy. commission and fees, now complemented by our electronic Firm has grown rapidly, bringing together a delivery service which retains online client documentation. multidisciplinary team of industry experts, drawn Our consultants are seasoned practitioners delivering services and outcome A fully diversified service - Capital Gains Tax Reporting, from regulators, financial institutions and asset based propositions with an unrivalled level of skill and business innovation. Bulk Switching, Adviser Fees, Consolidation and management firms around the world. We advise The combination of our deep domain expertise and delivery track record is a much more in our Client Management area. over 1,300 clients across eight offices in London, powerful catalyst, that helps clients take the high ground in their sector. Dublin, Grand Cayman, New York, Geneva, Hong Investment Modelling Tools - providing advisers with access to a wide Kong, Luxembourg and the Channel Islands. range of tools (Portfolio Evaluator, NavigatorTM, Tax Wrapper Analyser, MDM CONSULTANTS LTD CGT Reporting) to make it easier to choose investments and wrappers, Kinetic Partners’ clients value our global so they can focus on developing portfolios for their client’s needs. approach and expert advice, and rely on our MDM Consultants Ltd is a specialist recruiter of risk, regulation and compliance ability to operate across borders, which is crucial professionals to the Financial Services industry. We deliver retained search assignments, LEGAL & GENERAL given the global nature of the industries we permanent recruitment and interim consultants. Our clients include investment firms, service. Our unique industry focus makes the brokerages, banks, consultancies and insurers. We provide the highest quality of people Legal & General has the clear vision of being the UK’s Firm less susceptible to conflicts of interest, sourced through our network developed and maintained over the past 15 years. It is the most outstanding risk, savings and protection business; allowing us to deploy highly experienced strength of our network, credibility and industry knowledge that differentiates us from which we believe is achieved via the following: professionals in a targeted yet flexible manner our competitors enabling MDM to access and deliver the rare talent in the market. 1. Sustained financial strength, as demonstrated by our AA- rating. across the investment management industry. MDM Compliance Systems Ltd is a specialist provider of scalable and tailored solutions to manage 2. Multi-distribution strategy giving a comprehensive www.kinetic-partners.com the large shareholding, aggregation and disclosure process. Challenging market conditions, understanding of the UK financial market place. an unprecedented regulatory agenda, restrictive budgets and higher levels of monitoring are stretching compliance departments to the limits. With complicated global organisational 3. Extensive fund management expertise within AUDITORIUM structures, multi faceted products and evolving international disclosure rules making the issue Legal & General Investment Management SPONSOR of large shareholding a real challenge for firms. MDM can deliver a complimentary service to annual conference support current internal processes or provide an entirely new solution on regional or global basis. 4. Service and support provision, with a number of industry BRAVURA SOLUTIONS awards relating to the quality of our support Bravura Solutions is a global supplier of wealth Legal & General Group THE NATIONAL SKILLS ACADEMY FOR management and transfer agency applications. Wednesday 14th November 2012 Legal & General Group has a worldwide multi distribution strategy, We specialise in administration and management FINANCIAL SERVICES (NSAFS) with an Insurance Groups Directive (IGD) capital surplus of £4 billion, solutions for pensions, life insurance, investment, The Academy is an independent, employer-led, educational charity that supports firms of all The Plaisterers’ Hall, London EC2Y 5JU equal to 238% of the FSA’s minimum requirement (as at 30th June transfer agency and financial messaging. sizes within Financial Services in the skills development of their workforce. We have developed 2011). We are highly rated on the Dow Jones Sustainability Index and Our applications support over £900bn in assets with employers a suite of products and services from regulatory online modules to soft skills three of the world’s leading independent rating agencies, Standard & under management with a client base that workshops. We also act as a quality gateway to our network of approved training providers. registration from 12.45pm Poor’s, Moody’s and A.M. Best recognise us for our financial strength. includes some of the world’s leading financial We coordinate national corporate social responsibility projects on behalf of employers to help On average over 55,000 new customers join us each month. In 2010 conference presentations starting at 1.30pm institutions. Software can be implemented on them make their social contribution to the industry and we also provide a new talent programme we were responsible for over eight million policies for over seven an installed or managed service basis and is to help prospective and non-traditional entrants find an access route into financial services. million customers. We paid out over £92 million a month in pension maintained by more than 700 professionals payments in 2011, as one of the largest pension managers in the UK. across the UK, Continental Europe, South www.nsafs.co.uk • 0845 618 2353 Dowgate Hill House, 14-16 Dowgate Hill, London EC4R 2SU Legal & General Investment Management Africa, Asia, Australia and New Zealand. Legal & General Investment Management (LGIM) is one of the leading For more information about how Bravura Solutions fund management groups in the UK with £362 billion (as at 30th June can help your business increase operational SWIFT 2011) of funds under management. LGIM manage investments for the and cost efficiency, improve speed to market, SWIFT is a member-owned cooperative that provides the communications platform, products pension funds of almost half of the companies in the FTSE 100 Index and minimise risk and provide better service to the end and services to connect more than 10,000 banking organisations, securities institutions is one of the biggest and most successful providers of Index-Tracking customer, visit www.bravurasolutions.com. You and corporate customers in 212 countries and territories. SWIFT enables its users to Investments in the UK managing £232 billion as at 30th June 2011. can also follow us on Twitter @BravuraFinTech exchange automated, standardised financial information securely and reliably, thereby Our expertise and range of products enables us to make a positive lowering costs, reducing operational risk and eliminating operational inefficiencies. contribution towards a broad range of societal and public policy SWIFT has a strong presence in the investment funds industry and provides comprehensive issues: for example increasing longevity, health and retirement coverage throughout the funds transactional lifecycle facilitating straight-through-processing planning and pensions. Legal & General has worked with TISA for (STP) in funds as well as securities, treasury and payments. SWIFT’s value proposition many years to help achieve the right policy outcomes for UK savers. to the funds industry includes the launch of comprehensive fund messaging standards, allowing investment managers, distributors, and administrators to reduce operational costs and risks, whilst enhancing scalability and service levels. www.swift.com/funds

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The Board of TISA would like to thank the Sponsors and Exhibitors for their generosity and support in making this annual event such a success. annual conference SPEAKERS Wednesday 14th November 2012 OPENING REMARKS of the Board of Directors of the Covent Garden, with in the UK and across a wide range of other TONY SOLWAY, CHAIRMAN, TISA particular responsibility for the Royal Ballet and jurisdictions including Monaco, Geneva, Cyprus, The Plaisterers’ Hall, London EC2Y 5JU the Governor of Royal Ballet School. Lord Eatwell Bermuda and Africa, where he interacts with also served as the Chairman of Commercial Radio private banking and intermediary clients. Companies Association from 2000 to 2004. In 1997, Registration from 12.45pm. The conference presentations THE CONFERENCE Henk is very well known in the media and regularly he joined the Board of the Securities and Futures WILL BE CHAIRED BY appears on , BBC, Bloomberg, CNBC, will start at 1.30pm and finish by 6.00pm. Authority (SFA), serving on the Enforcement Committee JUSTIN URQUHART STEWART and CNN. In addition to television and the Capital Committee. In this position Lord appearances, Henk has numerous radio A drinks reception will follow the conclusion of the conference. Having trained as a barrister, Justin took up Eatwell developed his interest in securities regulation commitments as in-house stock market expert, corporate finance, working in both Africa and particularly with respect to risk management in with regular slots on Talksport, LBC, Riviera Singapore. He then returned to the UK and helped financial institutions. He was a Member of the Radio (Monaco) and World Radio Switzerland. in the developments towards Big Bang in 1986 in Regulatory Decisions Committee of the Financial He also writes regular columns for national UK London which led to him helping to found Broker Services Authority untill 2006. In 1992, Lord Eatwell newspapers and personal finance magazines. Services in 1986. Broker Services went on to become entered the House of Lords and from 1993 to 1997 was Barclays Stockbrokers, where Justin was Corporate the Principal Opposition Spokesman on Treasury and Henk will offer analysis, predictions and Development Director. In early 2001, he co-founded Economic Affairs. From 1985 to 1992, he served as an investment strategy on the following subjects: Seven Investment Management, an investment Economic Adviser to Neil Kinnock. In that post Lord • Recent financial market malaise management business that innovated the UK Eatwell was responsible for much of the work that led • US Economy • Euro zone Economy • UK Economy investment market with the introduction of the first to a substantial re-alignment of the Labour Party’s • Emerging Markets • Asset Allocation Sterling Investment Wrap Account. Seven Investment economic policies. His latest publications are Global • Banking sector • Foreign Exchange Markets Management now manages and administers Finance at Risk: The Case for International Regulation • Oil • Commodities around £4.1 billion on behalf of professional (New Press, New York), International Capital Markets, • Key themes that are likely to influence financial financial wealth managers and intermediaries. (2002), Financial Supervision and Risk Management market performance over the next 12 months. Justin has a keen interest in developing the investment in the EU (2007), and Global Governance of Financial market to break down as many of the traditional Systems: The Legal and Economic Regulation of STEVE WEBB MP barriers as possible for both private investors and Systemic Risk (Oxford University Press, New York). smaller companies. As part of this he was involved Lord Eatwell was educated at Cambridge and Harvard. In 1997, Steve Webb became the Liberal Democrat in the original development of the AIM market MP for Northavon. Boundary changes in May and the investor educational company, Proshare. LAWRENCE GOSLING 2010 created a new constituency of Thornbury He writes regularly for national magazines and and Yate. At the last election, Steve became the Lawrence Gosling has been a professional journalist newspapers, and is a frequent commentator on first MP for this new area, which includes most for 25 years working across a range of national and television and radio, both in the UK and abroad. of his former Northavon constituency, and is trade media. He is currently editorial director of where he lives with his wife and two children. In March, Justin won the ‘Best Industry Commentator Incisive Media, publishers of a range of business- 2012’ from the City of London Wealth Management to-business in areas such as pensions, asset Steve was appointed Minister of State for Pensions in awards, as voted for by professionals and consumers. management, mortgages, and risk management. May 2010, in the new Coalition Government. Prior to that, Steve was the Liberal Democrat spokesperson He is married with one daughter, two cats and a He writes a weekly column for one of those on Work and Pensions (1999 to 2005), Health (2005), motorcycle, with an interest in archaeology and magazines Investment Week, called Gosling’s Environment, Energy, Food and Rural Affairs (2007), writes short stories on the Roman Empire. Grouse, and is regular newspaper review for Energy and Climate Change (2008), before returning BBC Worldwide TV’s World Business Report. to Work and Pensions in 2009. Steve also chaired LORD JOHN EATWELL the Liberal Democrat Manifesto Group in 2006. EDWARD HARLEY CONFERENCE THEME Lord John Eatwell is the President at Queens’ College, Before being elected, Steve studied Philosophy, Politics Cambridge since 1997. In 1988, together with Mr. Ed is Head of the Asset Management Department in & Economics at Hertford College, Oxford. Between We are delighted to invite you to our Annual Conference. The Clive Hollick, he founded the Institute for Public the FSA. The Department currently supervises Asset 1986 and 1995, Steve worked as an economist at the Policy Research. Lord Eatwell is a Senior Advisor and Managers, Hedge Funds, Platforms and Administrators afternoon is designed to bring attendees up to date with the Institute for Fiscal Studies before being appointed a Member of European Advisory Board at Warburg and Wealth Managers, and also many Intermediary Professor of Social Policy at Bath University. current thinking, issues and concerns of the government, Pincus LLC and an Economic Advisor at Palamon firms. It also leads on risk analysis of the Asset Aside from his parliamentary duties, Steve is actively regulator, media and industry thought leaders – all of whom are Capital Partners. He is a Non-Executive Director Management Sector for the FSA. Ed previously led of Cambridge Econometrics and Rontech Ltd. Lord Policy departments at the FSA, and had a range of involved in the Parliamentary Christian Fellowship and likely to have an influence on our future, daily business lives. Eatwell served as a Non-Executive Director of Anglia roles in risk and research. These included producing cites his hobbies as information technology, music, and Television Ltd. from 1994 to 2001. From 1997 to 2000, the first editions of the FSA’s Financial Risk Outlook. being an armchair supporter of West Bromwich Albion. The Annual Conference is always a popular and much he chaired the British Screen group of companies Prior to joining the FSA, Ed worked as an economist talked about event and given the excellent speakers which included British Screen Finance, British Screen in the Civil Service. He is married with two children. Rights, and the National Film Trustee Company. Lord THE CONFERENCE WILL making themselves available I am very confident that Eatwell has been a Visiting Professor at Columbia HENK POTTS INCLUDE A PANEL SESSION University, New York; the University of Massachusetts, WHICH WILL BE CHAIRED BY: this year will once again be a first class affair. Director, Global Research & Investments, London. Amherst; and the University of Amsterdam. He has RAY NULTY - MD (FINANCIAL SERVICES), NAVIGANT Henk joined Barclays Bank in 1998 as a graduate taught Economics at Cambridge since 1970 and also The day, including the drinks reception afterwards, will give you and worked as a Stock Market Analyst for Barclays serves as a Professor of Financial Policy in the Judge Panel Speakers include: Stockbrokers, focusing on UK equities. In 2009 the opportunity to meet with friends and colleagues and to build Institute of Management, University of Cambridge. AMANDA BROWN - ALTERRA BUSINESS CONSULTING LTD he was appointed Director of Global Research & From 1980 to 1996, Lord Eatwell was a Professor in new relationships and contacts and also to discuss the latest Investments for Barclays Wealth, where he works the Graduate Faculty of the New School for Social PHIL BOWKLEY - BARCLAYS offerings and developments from our sponsors and exhibitors. as part of a team formulating and communicating Research, New York. He is the Trustee of Institute ANDY HAMILTON - IFDS investment strategy to internal and external clients. for Public Policy Research and was its Chairman CARLTON HOOD - OLD MUTUAL We look forward to seeing you all once again at the Plaisterers Hall. from 1997 to 2000. Lord Eatwell is the Director of In his current role, Henk analyses a wide variety the Cambridge Endowment for Research in Finance. of asset classes, including equities, currencies He was a Board Member of the Royal Opera House TONY VINE-LOTT, DIRECTOR GENERAL, TISA and commodities, as well as ascertaining and CLOSING REMARKS from 1998 to 2006 and the Chairman of the British explaining the effects of macro economic changes TONY VINE-LOTT, DIRECTOR GENERAL, TISA Library from 2001 to 2006. Lord Eatwell is a Member on financial markets. Based in London, he works

JUSTIN URQUHART LORD JOHN TONY SOLWAY STEWART EATWELL LAWRENCE GOSLING EDWARD HARLEY HENK POTTS STEVE WEBB MP