2015 2015

March 30 – April 1, 2015 Boston, MA Governance. Execution. Value. The GOVERNANCE of data requires EXECUTION strategies that will help achieve VALUE for your firm

Sponsored By: The Most Engaging Data Management Event Experience For Financial Services PAGE 2

FIMA is a solid industry event. There were a wide range of speakers who spoke about many of the issues I face in data management. I definitely took away a lot from the conference that will help with our data initiatives.

Sheila Tully Vice President Brown Brothers Harriman

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 3

FIMA 2015 Speakers Include:

Mike Atkin Genevy Dimitrion Colin M. Hall Managing Director Vice President Chief Data Officer, Managing EDM Council, Inc. State Street Corporation Director Credit Suisse Julia Bardmesser Alex Dixon Director, Business Data Global Head of Client Nick Helton Management Onboarding, Transitions & Global Reference Data Manager Citi Reviews Northern Trust UBS Sumanda Basu Hubert Holmes SVP – Head of Data Governance Anastasia Dokuchaeva Managing Director, Reference Risk Audit Sales Specialist, Content and Data Citigroup Technology Solutions Interactive Data FactSet Research Systems Inc. David M. Blaszkowsky Joe Ierace Senior Vice President, Head of Thomas Dunlap Senior Director Data Governance Managing Director FINRA State Street Corporation Goldman Sachs Raj Iyer John A. Bottega Joe Dunphy Vice President Global Markets Senior Advisor & Consultant Vice President of Product eCommerce EDM Council Management BNY Mellon Fenergo Tony Brownlee Amit Jhawar Partner, Data Solutions John Fleming Vice President, Investment Kingland Systems Head of Enterprise Data Management Data Operations Governance State Street Global Advisors Brian Buzzelli BNY Mellon Executive Director, Head of Preetham Kamesh Enterprise Data Management, Claire Frankel Head of Data Management Americas Executive Director, Enterprise Services Business Unit Nomura America Services Data Group IGATE Corporation JPMorgan Chase Saad Chafki Rick Kanungo Associate Vice President IT Jeff Gentry Senior Director, Enterprise Delivery Services Director, Data & Analytics Solutions Standard Life Canada Governance S&P Capital IQ TD Ameritrade Philippe Chambadal Jack Klinck CEO Richard Gibbons EVP and Head of Global SmartStream BFS-GRC SME & Practice-Leader Strategy and New Ventures for North America State Street Jennifer Courant Tech Mahindra Head of Risk Systems and Peter Ku Technology for Risk Architecture Bruno Giordano Senior Director, Global Industry Citigroup Vice President - Data Marketing Governance Systems Informatica Thomas Crimmins Brown Brothers Harriman Director of Corporate Credit Ashok Kumar Risk Reporting Steven Goldstein SVP of Business Data CIT Group Chief Executive Officer Management Alacra Citi Ludwig A. D’Angelo Executive Director, Corporate & Don Gray Manjeev Kumar Investment Bank Operations Global Head of Enterprise Data Global FATCA, Regulatory & JP Morgan Chase Management Compliance Program Cigna Deutsche Bank Adam Devine, VP Product Marketing, Daphne Guerci Mary Langevin WorkFusion Senior Director, Data Vice President, Head of Market Management Data Commercial, Americas Caisse de dépôt et placement Nomura America Services du Québec www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 4

Speakers Continued

Matthew Lewisman Scott Preiss Derek Strauss Director, Global Head of Client Vice President, Chief Operating Chief Data Officer Change Management Officer TD Ameritrade Credit Suisse CUSIP Global Services Tim Swan Daniel Maury Don Rosenberg Director, Data Management Group Finance Data Program, Lead Consultant, Banking and Office, Americas Risk Managing Director Financial Services, Management UBS IGATE Corporation MUFG Union Bank, N.A.

Michael Miller Tim Rourk Takayoshi Wiesner Global Finance Information Principal, Program Director Vice President Architect, Global Finance IT Kingland Systems Morgan Stanley, Capital HSBC Markets Sandip Sahota David Newman Executive Director, Program Martin J. Williams Strategic Planning Manager, Lead for the Enterprise Data Vice President, Reference Data Senior Vice President, Services CTO Product Development Enterprise Architecture and IT Morgan Stanley Interactive Data Strategy Wells Fargo David Saul Alexander Wissner-Gross Senior Vice President and Chief Institute Fellow Alan Paris Scientist Harvard University Institute Principal, Global Head of State Street for Applied Computational Financial Services Consulting Science & Global Account Manager Thomas Serven Financial Services Vice President, IT Governance Max Yankelevich eClerx State Street Corporation CEO WorkFusion Marcy Pike Anthony Sorrentino Senior Vice President Global Head of Instrument Fidelity Investments Reference Data Deutsche Bank

Don’t miss out on hearing from industry leading speakers at FIMA 2015.

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 5 2015

Networking Activities 2015

Networking App

Helping you to easily locate attendees, set up meetings & keep track of your schedule, without carrying around unnecessary of pieces of paper

Craft Beer Tasting Reception

With the growing trend of craft breweries in the Boston region, we are bringing them to you to sample for the second year in a row

Data Management Café

Optimize your time at the FIMA conference by visiting the Data Management Café featuring the technologies and services to help you better manage your data

New England Clam Bake

After a day filled with constructive discussion, case studies and critical information, RELAX, UNWIND and network face-to-face during FIMA’s New England Clam Bake! Join the attendees and speakers you met throughout the day and enjoy a New England staple!

FIMA 2015 will host more than 300 guests from over 124 companies with 3 days content and 12+ hours of networking. www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 6

Dear Colleague, Board Mark your calendar for FIMA 2015. The premier reference Members data, counterparty risk and data innovation conference is returning to Boston! to how to balance data demands Thomas Dunlap in a constrained budget environment. FIMA 2015 lifts the Managing Director veil on clearly identifying data requirements and gaining Goldman Sachs more intelligence from it.

We have a range of issues to tackle this year and we’ll  John Fleming explore the roles of data in the current environment, Head of Enterprise improving data quality, and extracting the value. Learn Data Governance how identifying the right individuals can advance your BNY Mellon data strategies as the office of the CDO continues evolve. We’ll shed light on how the maturation of technologies can provide greater transparency and ease regulatory Takayoshi Wiesner burdens. Vice President Morgan Stanley Capital Markets As an industry, it’s time to ensure our organizations understand that data is a part of the business and the amount of data we’re using is necessary. At FIMA we’ll examine how to take that data and actually leverage and utilize it as an asset.

If you’re like most data management professionals, you are interested in what data is being used internally, what the practitioners are doing and the kind of constraints being faced. Join your peers to discuss the outlook for the industry and what’s down the road 5-10 years from today. Share your insights, skills and experience, and contribute to the development of very specific data management solutions.

Attend FIMA 2015 and you’ll be amongst leading reference data management professionals who will cover topics that are of fundamental importance to your enterprise-wide data management initiatives.

See you in Boston!

The FIMA Advisory Board

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 7 Agenda At A Glance Monday, March 30, 2015 Data Quality & Value

8:30 Continental Breakfast & Registration 11:00 Kickoff of Interactive Roundtables

8:55 Welcome Remarks An Analysis of the Cloud Movement and the Associated Shamara Ray, Program Director, FIMA 2015 Data Management Activities Peter Ku, Senior Director, Global Industry Marketing, 9:00 Chairperson’s Opening Address Informatica

9:15 The Emergence Of Data Utilities And The iGate Roundtable Relevance In Today’s Reference Data Market Preetham Kamesh, Head of Data Management Services Ludwig A. D’Angelo, Executive Director, Corporate & Business Unit, IGATE Corporation Investment Bank Operations, JP Morgan Chase Interactive Data Roundtable 9:35 Disruptive Technology And Innovation In Martin J. Williams, Vice President, Reference Data Product Financial Services Development, Interactive Data Jack Klinck, EVP and Head of Global Strategy and New Ventures, State Street Establishing Enterprise Data Governance: What Does It Take To Execute? 9:55 Refreshment Break & Networking Opportunity Don Rosenberg, Lead Consultant, Banking and Financial Services, IGATE Corporation 10:20 Panel Discussion: Improving The Ability To Harmonize And Link Data Across The Organization Managing the Delta of Regulatory Data John Fleming, Head of Enterprise Data Governance, Joe Dunphy, Vice President of Product Management, BNY Mellon Fenergo Jeff Gentry, Director, Data & Analytics Governance, TD Ameritrade 12:40 Lunch For All Attendees Nick Helton, Global Reference Data Manager, Northern Trust 1:40 Continuation of Interactive Roundtables (Final 2 Tables) Ashok Kumar, SVP of Business Data Management, Citi Anthony Sorrentino, Global Head of Instrument 2:30 Refreshment Break & Networking Opportunity Reference Data, Deutsche Bank

Concurrent Workshops Begin Workshop A Workshop B 3.00 Viewing Data Holistically To Structure Your Data Strategy Identifying How Data Leaders Are Using And Finding Value In Data

4:00 10 Minute Stretch & Refreshment Break 5:00 Challenging Data Users To Comply With Higher Standards 4:10 FIMA 2014 Benchmarking Study – iGate Global David M. Blaszkowsky, Senior Vice President, Head Solutions of Data Governance, State Street Corporation

4:20 Panel Discussion: Establishing An Office Of The 5:20 FIMA 2015 Craft Beer Tasting CDO To Ensure Data Quality John A. Bottega, Senior Advisor & Consultant, EDM 6:30 End Of Day One Council Don Gray, Global Head of Enterprise Data Management, Cigna Colin M. Hall, Chief Data Officer, Managing Director, Credit Suisse Derek Strauss, Chief Data Officer, TD Ameritrade

Tuesday, March 31, 2015 Data Governance, Strategy & Execution

8:00 Continental Breakfast & Registration In The Data 8:55 Treating Data As An Asset And Managing It Effectively Management Café Daniel Maury, Group Finance Data Program, Managing Director, UBS 8:35 Welcome Remarks Shamara Ray, Program Director, FIMA 2015 9:15 Relevance Of Managed Reference Data Services For The New CDO In The New Data Paradigm 8:40 Chairperson’s Opening Address Preetham Kamesh, Head of Data Management Services Alan Paris, Global Head of Financial Services Business Unit, IGATE Corporation Consulting & Global Account Manager Financial Services, eClerx 9:35 Organizing The Reference Data Function At Medium- Sized And G-SIB Firms Claire Frankel, Executive Director, Enterprise Data Group, JPMorgan Chase

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9:55 Trends In Implementing Data Governance 12:15 Data Governance 2.0 - Moving From Tactical Data Operating Models Governance To Strategic Data Governance For Thomas Dunlap, Managing Director, Goldman Competitive Advantage Sachs Michael Miller, Global Finance Information Architect, Global Finance IT, HSBC 10:15 Morning Refreshment & Networking Break In The Data Management Café 12:35 Panel Discussion: Overcoming The Challenges of Client Data Issues 11:15 Panel Discussion: Implementing The Alex Dixon, Global Head of Client Onboarding, Transitions & Process For Applying Data Quality Reviews, UBS Bruno Giordano, Vice President - Data Governance Genevy Dimitrion, Vice President, State Street Corporation Systems, Brown Brothers Harriman Steven Goldstein, Chief Executive Officer, Alacra Amit Jhawar, Vice President, Investment Management Raj Iyer, Vice President Global Markets eCommerce, BNY Data Operations, State Street Global Advisors Mellon Scott Preiss, Vice President, Chief Operating Officer, Matthew Lewisman, Director, Global Head of Client Change CUSIP Global Services Management, Credit Suisse Tim Swan, Director, Data Management Office, Max Yankelevich, CEO, Workfusion Americas Risk Management, MUFG Union Bank, N.A. 1:15 Innovation Spotlight: The Data Health Check: Data Quality Diagnostics for Legal Entity and 11:55 Executive Presentation Hierarchy Data Trillium Software Tony Brownlee, Partner, Data Solutions, Kingland Systems 1:25 Luncheon For All Attendees

Concurrent Tracks Begin Track A: Data Architecture Track B: Data Strategy 2.25 Chairperson’s Afternoon Address Chairperson’s Afternoon Address Hubert Holmes, Managing Director, Reference Data, Interactive Data 2.35 Building Stress Testing Models Using Internal Or External Establishing A Process To Keep Data Governance Alive Data Daphne Guerci, Senior Director, Data Management, Takayoshi Wiesner, Vice President, Morgan Stanley, Capital Caisse de dépôt et placement du Québec Markets 2.55 Innovation Spotlight: The Data Factory in a Box: Innovation Spotlight Automating Repetitive Data Collection, Extraction and Remediation Through Machine Learning Adam Devine, VP Product Marketing, Workfusion 3.05 Panel Discussion: Enabling And Empowering Data Mobility Panel Discussion: Exploring Emerging Tools To Drive And Data Architecture As A Service Data Governance Forward Thomas Crimmins, Director of Corporate Credit Risk Julia Bardmesser, Director, Business Data Management, Citi Reporting, CIT Group Manjeev Kumar, Global FATCA, Regulatory & Compliance Sandip Sahota, Executive Director, Program Lead for the Program, Deutsche Bank Enterprise Data Services CTO, Morgan Stanley Tim Rourk, Principal, Program Director, Kingland Systems Thomas Serven, Vice President, IT Governance, State Street Corporation

3:45 Afternoon Refreshment & Networking Break In The Implementing The Process For Applying Data Quality Data Management Café Bruno Giordano, Vice President - Data Governance Systems, Brown Brothers Harriman 4:25 Executive Presentation Overcoming The Challenges of Client Data Issues 4:45 Interactive Roundtable Discussions: Alex Dixon, Global Head of Client Onboarding, Transitions & Reviews, UBS Strategies For Managing Data As An Asset Daniel Maury, Group Finance Data Program, Managing Emerging Tools To Drive Data Governance Forward Director, UBS Julia Bardmesser, Director, Business Data Management, Citi Organizing The Reference Data Function At Medium-Sized And G-SIB Firms Roundtable Led By Trillium Software Claire Frankel, Executive Director, Enterprise Data Group, JPMorgan Chase Managing Reference Data Services For The New CDO Preetham Kamesh, Head of Data Management Services Effectively Implementing Data Governance Business Unit, IGATE Corporation Operating Models Thomas Dunlap, Managing Director, Goldman Sachs 5:45 A New Equation for Wealth Alexander Wissner-Gross, Institute Fellow, Harvard Moving From Tactical Data Governance To Strategic University Institute for Applied Computational Science Data Governance Michael Miller, Global Finance Information Architect, 6:05 FIMA New England Clam Bake Global Finance IT, HSBC 6:35 End Of Main Day One

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Wednesday, April 1, 2015 Data Management, Regulations & Compliance

8:15 Continental Breakfast & Registration In The Data 1:45 Interactive Roundtable Discussions: Management Café Tactics For Balancing Regulatory Requirements 8:40 Chairperson’s Opening Address And Industry Outreach Mike Atkin, Managing Director, EDM Council, Inc. 8:55 Balancing Regulatory Requirements, Education and Industry Outreach Principles & Risk: BCBS 239 - Engagement And Mike Atkin, Managing Director, EDM Council, Inc. Execution Brian Buzzelli, Executive Director, Head of Enterprise 9:35 Mutualizing Data Governance and Regulatory Data Management, Americas, Nomura America Compliance Through The Use of a Utility Services Philippe Chambadal, CEO, SmartStream Solving Big Data Mysteries With Smart Data Clues 9:55 Principles & Risk: BCBS 239 - Engagement And Jennifer Courant, Head of Risk Systems and Execution - Will You Be Ready? Technology for Risk Architecture, Citigroup Brian Buzzelli, Executive Director, Head of Enterprise Data Management, Americas, Nomura America LEI: Creating Data Requirements For Your Services Organization David Newman, Strategic Planning Manager, Senior 10:15 Morning Refreshment & Networking Break In The Vice President, Enterprise Architecture and IT Strategy, Data Management Café Wells Fargo

10:55 Panel Discussion: Demystifying Big Data— Innovative Approaches For Risk Data Aggregation Solving Big Data Mysteries With Smart Data Clues And Risk & Regulatory Reporting Saad Chafki, Associate Vice President IT Delivery John A. Bottega, Senior Advisor & Consultant, EDM Services, Standard Life Canada Council Jennifer Courant, Head of Risk Systems and Technology for Risk Architecture, Citigroup 2:45 Semantic Technology And Financial Standards: Anastasia Dokuchaeva, Sales Specialist, Content and Creating Synergy Between Data Analytics And Technology Solutions, FactSet Research Systems Inc. Regulatory Compliance Peter Ku, Senior Director, Global Industry Marketing, David Saul, Senior Vice President and Chief Scientist, Informatica State Street Corporation

11:35 Executive Presentation 3:05 Afternoon Refreshment & Networking Break In The Data Management Café 11:55 Innovation Spotlight: Trillium Software 3:45 Panel Discussion: Data Licensing And 12:05 Panel Discussion: Embarking On A Fresh Entitlement Compliance In The New Age Approach For Risk Data Aggregation And Risk & Mary Langevin, Vice President, Head of Market Data Regulatory Reporting Commercial, Americas, Nomura America Services Sumanda Basu, SVP – Head of Data Governance Risk Marcy Pike, Senior Vice President, Fidelity Audit, Citigroup Investments John A. Bottega, Senior Advisor & Consultant, EDM Council 4:25 FIBO The Next Generation Data Standard For The Richard Gibbons, Title, Tech Mahindra Financial Industry Joe Ierace, Senior Director, FINRA David Newman, Strategic Planning Manager, Senior Rick Kanungo, Senior Director, Enterprise Solutions, Vice President, Enterprise Architecture and IT Strategy, S&P Capital IQ Wells Fargo

12:45 Luncheon For All Attendees 4:45 End Of FIMA 2015

Participate in roundtable discussions to hear directly from your peers in the financial data management space.

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Monday, March 30, 2015 Data Quality & Value

8:15 Continental Breakfast & Registration 10:20 Panel Discussion: Improving The Ability To Harmonize And Link Data Across The 8:30 Welcome Remarks Organization Shamara Ray ·· Determining whether harmonized enterprise glossary Program Director and ontology are the keys to attaching meaning to data FIMA 2015 ·· It’s not about defining terms, it’s about representing “meaning” consistently in a data context 9:00 Chairperson’s Opening Address ·· How do software tools in the marketplace help? ·· Is linking data across the organization optional or a 9:15 The Emergence Of Data Utilities And requirement? The Relevance In Today’s Reference John Fleming Data Market Head of Enterprise Data Governance BNY Mellon The potential emergence of data utilities is greater today than at any time in the past. This Jeff Gentry session will delve into what has led up to this and Director, Data & Analytics Governance how any utilities must be constructed to ensure TD Ameritrade success. Find out how the industry will gain from Nick Helton any emerging data utilities and what potential Global Reference Data Manager consumers of data utilities should do now to take Northern Trust advantage of the opportunity and “catch the wave” Ashok Kumar at the precise time. SVP of Business Data Management Ludwig A. D’Angelo Citi Executive Director, Corporate & Investment Bank Anthony Sorrentino Operations Global Head of Instrument Reference Data JP Morgan Chase Deutsche Bank

9:35 Disruptive Technology And Innovation 11:00 Kickoff of Interactive Roundtables In Financial Services An Analysis of the Cloud Movement and the Fueled by decreased computing costs and Associated Data Management Activities digitization, disruptive technology is reshaping the Peter Ku competitive landscape in a number of industries Senior Director, Global Industry Marketing and creating new opportunities for innovation and Informatica growth in financial services. To stay relevant, firms should look to use digital technology and advanced iGate Roundtable data analytics to enrich existing products and Preetham Kamesh, Head of Data Management Services services, transform business models, and/or invent Business Unit, IGATE Corporation entirely new revenue streams. This session will Interactive Data Roundtable explore how disruptive technology is impacting Martin J. Williams financial services and how innovative firms are Vice President, Reference Data Product Development using data and analytics to create new competitive Interactive Data advantage. This timely discussion will include: Establishing Enterprise Data Governance: What Does ·· The impact of digitization on financial services It Take To Execute? ·· The importance of building a digital enterprise Don Rosenberg, Lead Consultant, Banking and Financial ·· Tips for an effective data and analytics strategy Services, IGATE Corporation Jack Klinck Managing the Delta of Regulatory Data EVP and Head of Global Strategy and New Ventures Joe Dunphy, Vice President of Product Management, State Street Fenergo

9:55 Refreshment Break & Networking 12:40 Lunch For All Attendees Opportunity 1:40 Continuation of Interactive Roundtables (Final 2 Tables) www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 11

Data Quality & Value Day Continued

Concurrent Tracks Begin Workshop A Workshop B

3:00 Viewing Data Holistically To Structure Your Identifying How Data Leaders Are Using Data Strategy And Finding Value In Data ·· Exploring reference data, real time data and pricing data ·· Advancing strategies for mining data as a total offering ·· Proven methods for reporting a massive amount of ·· Having data come through one single point of entry from data a technology standpoint ·· Utilizing new tools to gain data insights ·· Is the industry moving towards developing a centralized ·· Linking governance and tools to extract the value hub? ·· Structuring data to leverage both internal and external resources or relationships

2:30 Refreshment Break & Networking 5:00 Challenging Data Users To Comply Opportunity With Higher Standards ·· Implementing strategies for doing more work 4:00 10 Minute Stretch & Refreshment about due diligence Break ·· Putting measures in place to make sure the reference data you’re getting is accurate 4:10 FIMA 2014 Benchmarking Study – ·· Instituting controls to certify data accuracy iGate Global Solutions ·· Getting data on a timely basis David M. Blaszkowsky 4:20 Panel Discussion: Establishing An Senior Vice President, Head of Data Governance Office Of The CDO To Ensure Data State Street Corporation Quality 5:20 FIMA 2015 Craft Beer Tasting As the role of the CDO continues to evolve, the office of the CDO is also taking shape. While every CDO may feel they’re unique, many are 6:30 End of Day One undertaking the same tasks including setting up an office of the CDO and staffing the group. Whether the office is an operational hub or more technology oriented, the people that support the CDO have to ensure data quality. Hear what this insightful panel has to say about what it takes to establish an office of the chief data officer. ·· Ascertaining what a chief data office means to the firm and where it should be situated ·· Establishing the position and staffing the group: boundaries, roles and responsibilities ·· Determining how to be an operational hub that supports the CDO ·· Identifying the proportions and methods to balance operations and technology John A. Bottega Senior Advisor & Consultant EDM Council Don Gray Global Head of Enterprise Data Management Cigna Colin M. Hall Chief Data Officer, Managing Director Credit Suisse Don’t miss out on networking during coffee and Derek Strauss cocktail breaks. Chief Data Officer TD Ameritrade www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 12

Tuesday, March 31, 2015 Data Governance, Strategy & Execution

8:00 Continental Breakfast & Registration 9:35 Organizing The Reference Data In The Data Management Café Function At Medium-Sized And G-SIB Firms 8:35 Welcome Remarks ·· Mapping strategy around data warehousing Shamara Ray ·· Scrutinizing your ability to aggregate data across Program Director silos FIMA 2015 ·· Developing an effective strategy for disseminating data to third parties 8:40 Chairperson’s Opening Address ·· How architecture and technology are impacting Alan Paris the ability to break down silos from a logical level Global Head of Financial Services Consulting & Claire Frankel Global Account Manager Financial Services Executive Director, Enterprise Data Group eClerx JPMorgan Chase

8:55 Treating Data As An Asset And 9:55 Trends In Implementing Data Managing It Effectively Governance Operating Models How do you take data, actually leverage it, and ·· Defining what is an operating model and what it use it as an asset? A few years ago, firms were looks like: centralized vs. business function convinced data was needed because they couldn’t ·· Assessing governance maturity level and how to operate without it. Since then, it has become drive a target state more apparent that data is needed because of ·· Creating roadmaps to serve as a guide to optimal regulatory requirement or the business is asking information management for it. As organizations come to the realization that the data requirements aren’t going away, the need ·· Building an operating model around governing, for strategies to leverage data have increased. This maintaining and keeping data at a trustworthy session will examine how to take the value of data, level that in the past has been perceived almost as a Thomas Dunlap liability, and turn it into an asset. Managing Director ·· Transforming the perception of data as a liability Goldman Sachs ·· Reinforcing that data is part of the business and the amount being utilized is necessary ·· Examining how to take data and use it to leverage an asset ·· Employing data capitalization to exploit the value of the data Daniel Maury Group Finance Data Program, Managing Director UBS

9:15 Relevance Of Managed Reference Data Services For The New CDO In The New Data Paradigm Preetham Kamesh, Head of Data Management Have conversations with other professionals in the financial Services Business Unit, IGATE Corporation industry around data management.

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Data Governance, Strategy & Execution Day Continued

10:15 Morning Refreshment & Networking 11:55 Executive Presentation Break In The Data Management Café Trillium Software

11:15 Panel Discussion: Implementing 12:15 Data Governance 2.0 - Moving From The Process For Applying Data Quality Tactical Data Governance To Strategic The importance of establishing clear roles and Data Governance For Competitive specific accountabilities for data quality across Advantage the business, as well as, performance measures The traditional approaches to data governance and incentives, is key to enhancing the process often fail over time because they operate in the for applying data quality. During this session, manner of law or policy enforcement. Over time, panelists will address how to strike a balance executive management attention wanes and shifts between manual/sampling-based processes to focus, data governance control over the data measure and report on data accuracy vs. the use asset slips. Shifting data governance to a more of automated tools to measure other aspects of strategic role providing more guidance than policy quality. enforcement can ensure greater longevity to the ·· Realizing it takes more than having the right function and higher value to the enterprise. An toolset to deliver but the process behind the added benefit is that it is easier to implement than quality traditional Data Governance approaches when ·· Mitigating issues associated with applying data done correctly. Plan to attend this session to learn: quality standards and encouraging people to ·· Why tactical data governance often loses control act on them over time ·· Producing metrics that show how to determine ·· How to move from tactical data governance to which quality your client data is or your product strategic data governance by providing data data guidance and direction ·· Determining how to get the end system to ·· Examining strategic data governance and GRC adopt to the standards you want (governance, risk and compliance) ·· Externally looking at the client to be serviced ·· Exploiting business architecture to deliver and improving the flow of information from the data architecture and better data governance, point of onboarding particularly for master data management & ·· Data quality and provenance from the reference data management perspective of a National Numbering Agency ·· Assessing strategic data governance and (NNA) competitive advantage - the ‘need for speed’ Bruno Giordano Michael Miller Vice President - Data Governance Systems Global Finance Information Architect, Global Brown Brothers Harriman Finance IT Amit Jhawar HSBC Vice President, Investment Management Data Operations State Street Global Advisors I got to talk with other people to Scott Preiss hear what issues they are having Vice President, Chief Operating Officer CUSIP Global Services and we got to address common Tim Swan “ challenges. Director, Data Management Office, Americas Risk Rick Roland, Senior Fund Accounting Analyst, Management Brown Brothers Harriman MUFG Union Bank, N.A.

FIMA 2015 will host discussions around the most important topics to data management professionals.

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Data Governance, Strategy & Execution Day Continued

12:35 Panel Discussion: Overcoming The Raj Iyer Challenges of Client Data Issues Vice President Global Markets eCommerce BNY Mellon ·· Examining the cost of failure and compliance KYC within the organization Matthew Lewisman Director, Global Head of Client Change ·· Making a renewed emphasis on client data, KYC Management and client onboarding Credit Suisse ·· Assessing the importance of KYC and the Max Yankelevich, various processes around gathering evidences CEO ·· Preparing the reference data team for being WorkFusion tasked with the responsibility for legal docs Alex Dixon 1:15 Innovation Spotlight: The Global Head of Client Onboarding, Transitions & Reviews Data Health Check: Data Quality UBS Diagnostics for Legal Entity and Genevy Dimitrion Hierarchy Data Vice President Tony Brownlee State Street Corporation Partner, Data Solutions Steven Goldstein Kingland Systems Chief Executive Officer Alacra 1:25 Luncheon For All Attendees

Concurrent Tracks Begin Track A: Data Architecture Track B: Data Strategy

2:25 Chairperson’s Afternoon Address Chairperson’s Afternoon Address Hubert Holmes Managing Director, Reference Data Interactive Data

2.:35 Building Stress Testing Models Using Establishing A Process To Keep Data Internal Or External Data Governance Alive Stress test modelers are prone to focus on the Learn how to exploit your data in a more efficient way. complexity of the model, but successful stress testing This session will provide you with the tools to take the is characterized more by the integrity of the entire data you buy and use it for analysis. Survey the notion process than mere output. Since any good decision of utilizing operational data for portfolio management making process requires relevant, accurate, timely and analytical data. and transparent input, data governance needs to be Daphne Guerci,Senior Director, Data Management, recognized as the foundation of effective modeling Caisse de dépôt et placement du Québec processes. This session will explore key data strategies for building stress testing models. ·· Building and maintaining a data dictionary ·· Clearly defining data modeling processes and establish data controls ·· Stress testing your models with stressed inputs ·· Synthesizing findings by relating model output to model input ·· Reporting output data effectively ·· (Re)Assessing the importance of data Takayoshi Wiesner, Vice President, Morgan Stanley, Capital Markets

2:55 Innovation Spotlight: The Data Factory Innovation Spotlight in a Box: Automating Repetitive Data To host an Innovation Spotlight, where you can Collection, Extraction and Remediation showcase a practical case study and/or technology Through Machine Learning implementation, contact John Tashjian at [email protected] or call him at 646-200-7454. Adam Devine, VP Product Marketing, Workfusion

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Data Governance, Strategy & Execution Day Continued

3:05 Panel Discussion: Enabling And Panel Discussion: Exploring Emerging Empowering Data Mobility And Data Tools To Drive Data Governance Forward Architecture As A Service Tools are quickly evolving from IT-driven/technical ·· Integrating the technologies and tools to support metadata tools to more business-friendly tools data architecture as a service which can be used to engage the business more effectively in data governance processes. This session ·· Providing functionality, capability and availability of will uncover strategies to enable more transparent, information to the enterprise collaborative data governance processes across the ·· Confirming security components and the technical business. Tools are not a silver bullet, however, clearly metadata source is available across the enterprise defined roles, accountabilities, processes and ongoing ·· Creating synergy to ensure the right technology and stakeholder engagement/communications are critical platforms are capable to populate big data to sustainability. This panel will delve into the key ·· Determining how to get the business to cooperate capabilities for the tools providing traceability from with data quality efforts by demonstrating how business glossary to critical data elements definitions. better data can help with their efforts ·· Gauging financial institution progress with ·· Letting the business know what the capital charge is governance programs for their messy data and how much can be saved by ·· Realizing governance is not just for risk and using the data groups to help operations but enterprise wide Thomas Crimmins ·· Tackling the challenges associated with IT focused Director of Corporate Credit Risk Reporting resources and achieving governance outcomes CIT Group ·· Ensuring that governance isn’t financially burdening Sandip Sahota ·· Securing executive buy-in and convincing decision Executive Director, Program Lead for the Enterprise makers of the importance of governance Data Services CTO ·· How can data quality rules and results connect Morgan Stanley to the business glossary, report outputs and CDE definition? ·· Measuring the quality of the data that underlies specific outputs Julia Bardmesser Director, Business Data Management Citi Manjeev Kumar Global FATCA, Regulatory & Compliance Program Deutsche Bank Tim Rourk Principal, Program Director Kingland Systems Thomas Serven Vice President, IT Governance State Street Corporation\

3:45 Afternoon Refreshment & Networking Break In The Data Management Café

4:25 Executive Presentation

Take time to network with leaders in the industry this coming March.

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Data Governance, Strategy & Execution Day Continued

4:45 Interactive Roundtable Discussions: Emerging Tools To Drive Data Governance Forward Strategies For Managing Data As An Asset Daniel Maury Julia Bardmesser Group Finance Data Program, Managing Director Director, Business Data Management UBS Citi Organizing The Reference Data Function At Roundtable Led By Trillium Software Medium-Sized And G-SIB Firms Managing Reference Data Services For The Claire Frankel New CDO Executive Director, Enterprise Data Group Preetham Kamesh, Head of Data Management JPMorgan Chase Services Business Unit, IGATE Corporation Effectively Implementing Data Governance Operating Models 5:45 A New Equation for Wealth Thomas Dunlap The real wealth of individuals, companies, and Managing Director nations has remained stubbornly difficult to define Goldman Sachs or measure in a quantitatively rigorous way. In this Moving From Tactical Data Governance To talk, Dr. Wissner-Gross will introduce a remarkable Strategic Data Governance new information-theoretic framework based on future freedom of action that is capable of Michael Miller reproducing key wealth-creating human activities Global Finance Information Architect, Global such as tool use, social cooperation, and financial Finance IT trading. This new approach promotes wealth to HSBC a first-class physical quantity, alongside mass, Implementing The Process For Applying Data length, and time. Quality Alexander Wissner-Gross, Bruno Giordano nstitute Fellow Vice President - Data Governance Systems Harvard University Institute for Applied Brown Brothers Harriman Computational Science Overcoming The Challenges of Client Data Issues 6:05 FIMA New England Clam Bake Alex Dixon Global Head of Client Onboarding, Transitions & 7:05 End of Day Two Reviews UBS

Evangelizing the effectiveness of centralized data governance and processing in an environment of immediate gratification is a challenging endeavor. Moreover, finding information management professionals that are effective at this and are dedicated to this discipline is just as challenging. “ Attending FIMA provided me with a forum to discuss key data challenges with industry experts. I learned that I am not alone with the challenges I face and I was able to pickup practical approaches to addressing these challenges. Mark Levie, Head of Investment Data Systems, SSGA

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 17

Wednesday, April 1, 2015 Data Management, Regulations & Compliance

8:15 Continental Breakfast & Registration 9:55 Principles & Risk: BCBS 239 - In The Data Management Café Engagement And Execution - Will You Be Ready? 8:40 Chairperson’s Opening Address ·· Preparing the governance, operating model and change program to address the challenges of 8:55 Balancing Regulatory Requirements, BCBS Education and Industry Outreach ·· Meeting the new regulatory standards with comprehensive and accurate risk aggregation Ensuring that your firm correctly understands data reporting capabilities at the underlying factor of input into more efficient operations, regulatory compliance and analysis, ·· Aligning vendor solutions with your business is essential. This timely session will address the requirements to support the capabilities business case for data management. required for risk aggregation ·· Comprehending new regulations and drilling ·· Organizing data stewardship and critical data down on what they will focus on elements to solve for risk data aggregation requirements ·· Getting information and boiling it down ·· Making strides to understand high level 10:15 Morning Refreshment & Networking leadership or management reports Break In The Data Management Café ·· Ensuring lowest level analysts are aware of what will impact them moving forward ·· Instituting a system to verify all levels of the 10:55 Panel Discussion: Demystifying Big company have a comprehensive grasp of Data—Solving Big Data Mysteries With upcoming regulations Smart Data Clues Mike Atkin ·· Back to basics: what is big data and how do you Managing Director use it? EDM Council, Inc. ·· The smarter the linkages, the better the tools to understanding big data 9:35 Mutualizing Data Governance and ·· Relating the speed of information and tying Regulatory Compliance Through The immediate signals to reference data Use of a Utility ·· How aggregating and analyzing big data Data driven by the market can be aligned to market transforms into regulatory compliance events in an effort to create an accurate source of Saad Chafki the truth at a specific point in time. This common Associate Vice President IT Delivery Services standard, which can be aligned to each user’s Standard Life Canada requirements, greatly increases market efficiencies Jennifer Courant when integrated with the firm’s data governance Head of Risk Systems and Technology for Risk metrics. Mr. Chambadal will explore traditional Architecture sourcing approaches, data governance challenges, Citigroup as well as the reference data management Anastasia Dokuchaeva ecosystem. As regulations act as a driver for Sales Specialist, Content and Technology Solutions prudent practices, he will discuss the impacts FactSet Research Systems Inc. on data quality measurement and mechanisms. Attendees will gain a greater understanding of the Peter Ku solutions and strategies available to increase data Senior Director, Global Industry Marketing quality, timeliness and coverage to meet current Informatica data demands. Philippe Chambadal CEO SmartStream www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 18

Data Management, Regulations & Compliance Day Continued

11:35 Executive Presentation 12:45 Luncheon For All Attendees

11:55 Innovation Spotlight: Trillium Software 1:45 Interactive Roundtable Discussions Tactics For Balancing Regulatory Requirements And 12:05 Panel Discussion: Embarking Industry Outreach On A Fresh Approach For Risk Data Mike Atkin Aggregation And Risk & Regulatory Managing Director Reporting EDM Council, Inc. Principles & Risk: BCBS 239 - Engagement And This session will explore risk data aggregation Execution activity. Expert panelists will examine RDA from a data management perspective. Take a closer look Brian Buzzelli at the concept of approaching RDA by applying best Executive Director, Head of Enterprise Data practices to the data management principles. Gain Management, Americas insight on how to create a common template and Nomura America Services lexicon with the regulators as banks strive to adhere Solving Big Data Mysteries With Smart Data Clues to the principles. Jennifer Courant ·· Drilling down to a level that loops into LEI and Head of Risk Systems and Technology for Risk Dodd-Frank, Architecture ·· Uncovering factors to take into consideration with Citigroup EMIR and FATCA if you want to go global LEI: Creating Data Requirements For Your ·· Evaluating BCBS principles affecting risk and Organization aggregation and reporting David Newman ·· What it takes to manage reporting requests, Strategic Planning Manager, Senior Vice President, capital calculations and leverage ratio Enterprise Architecture and IT Strategy ·· Challenges for risk data collection, Wells Fargo ·· Measuring data quality and remediation of DQ Innovative Approaches For Risk Data Aggregation issues And Risk & Regulatory Reporting Sumanda Basu John A. Bottega SVP – Head of Data Governance Risk Audit Senior Advisor & Consultant Citigroup EDM Council John A. Bottega Senior Advisor & Consultant 2:45 Semantic Technology And Financial EDM Council Standards: Creating Synergy Between Richard Gibbons Data Analytics And Regulatory BFS-GRC SME & Practice-Leader for North America Compliance Tech Mahindra Financial services companies want to develop new data Joe Ierace analytics products and services for their clients. The Senior Director increasing complexity and cost of global regulatory FINRA compliance diverts attention and resources from Rick Kanungo those efforts. The development of data standards, Senior Director, Enterprise Solutions through industry partnerships like the Enterprise S&P Capital IQ Data Management (EDM) Council, when combined with semantic technologies creates a synergy that can address both requirements. ·· Development of the Legal Entity Identifier (LEI) from a regulatory mandate ·· How public/private collaboration can work to the benefit of both ·· Emerging standards: Financial Industry Business Ontology (FIBO) is an emerging standard from the Object Management Group (OMG) that ·· Exploiting semantics to describe data so that it can be used for both data analytics and risk management ·· Utilizing semantic data standards to create transparency both internally and externally to Meet with other reference data professionals to find solutions to enhance data governance the challenges you’re facing. David Saul Senior Vice President and Chief Scientist State Street Corporation

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Data Management, Regulations & Compliance Day Continued

3:05 Afternoon Refreshment & Networking instruments, concepts and terminology over what Break In The Data Management Café we had previously been doing using conventional approaches. The members of the Enterprise Data Management Council responded by developing 3:45 Panel Discussion: Data Licensing the Financial Industry Business Ontology And Entitlement Compliance In The (FIBO). FIBO provides a common language New Age using semantic capabilities to describe financial business concepts in ways that both humans Licensing has become quite a challenge. Its not and machines can understand. FIBO will provide firm specific, but licensing is part of the bigger the ability to semantically define and process challenges these days because the data can come data related to the structure and relationships into the firm through multiple ways. It’s not just associated with business entities, equities, about the licensing and the contracts but it’s also securities, derivatives, loans, debt instruments, how to protect yourself against audits. This panel prices and financial processes. FIBO provides will explore licensing in the new age because some financial industry participants with capabilities to of the old licensing models haven’t changed in 20 address risk and regulatory obligations (including years. the BCBS-239 Risk Data Aggregation Principles) as ·· Impact of licensing data when models don’t well as to harmonize data in support of internal change but the technology has changed every 2 operations. The underlying structure of FIBO or 3 years. includes foundational data concepts that will help ·· Data licensing contracting for various data organizations build their own ontologies and better content manage the current explosion of data complexity. ·· Assessing shifts in the industry to licensing ·· Why FIBO is so important to your firm and to constructs that move away from usage and regulators move toward access ·· Understanding how FIBO uses semantic ·· Evaluating how the industry is reacting to technology to describe business concepts, challenges and bringing new data content to especially financial contracts market ·· Looking closer at how FIBO will be applied on the Mary Langevin internet Vice President, Head of Market Data Commercial, ·· Exploring how your organization can use FIBO Americas now Nomura America Services ·· How your organization can participate in the Marcy Pike development of FIBO Senior Vice President David Newman Fidelity Investments Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy 4:25 FIBO The Next Generation Data Wells Fargo Standard For The Financial Industry The recent financial crisis triggered loud distress 4:45 End Of FIMA 2015 calls from the regulatory authorities and the financial industry to get our data house in order by adopting a common financial language. The industry needed a better way to describe financial

Have face-to-face discussions with your peers about your current challenges this March at FIMA.

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 20 About Our Sponsors

Alacra Website: http://http://www.alacra.com Alacra develops workflow solutions that enable 300,000 end users at financial institutions, professional services firms and corporations to search for, extract, match and analyze mission-critical business information. Solve your legal entity and client/counterparty reference data problemswith Alacra’s Reference Data services. Enhanced and enriched LEI data including all sponsored pre-LOU’s, the most comprehensive entity identifier mapping solution available and a daily updating service for low-risk entities.

Asset Control Website: http://www.asset-control.com Asset Control was the original, and still is the leader in providing supremely reliable, high performance systems for the management of financial data. With proven software and operational expertise, Asset Control makes it possible to get references, price and risk data to the people and systems that need it. On time, all the time. So processing and reporting can get done sooner, with absolute accuracy, and total consistency. Asset Control tracks every data element from the point of capture to final delivery, which makes it easy for banks and asset managers to manage costs and achieve the highest standards of data governance. Whether it’s for regulatory compliance, portfolio valuation, or risk management, data is delivered with unequalled efficiency, transparency and integrity.

CUSIP Global Services Website: HTTP://www.cusip.com The financial services industry relies on our unrivaled experience in uniquely identifying instruments and entities to support efficient global capital markets. Our extensive focus on standardization over the past 45 years has helped us earn the reputation for being the trusted originator of quality identifiers and descriptive data, ensuring that essential front- and back-office functions run smoothly. CGS is managed on behalf of the American Bankers Association (ABA) by S&P Capital IQ, with a Board of Trustees that represents the voices of leading financial institutions For more information, visit www.cusip.com

eClerx Website: http://www.eclerx.com eClerx provides critical business operations services to more than 20 global Fortune 1000 clients, including many of the world’s leading financial services firms, online retail and distributors, interactive media and entertainment, high tech and industrial manufacturing, travel and leisure, and software vendors, through operational support, data management and analytics solutions. Incorporated in 2000, eClerx is India’s first and only publicly listed knowledge processing (KPO) company and is today traded on both the Bombay and National Stock Exchanges of India. eClerx was ranked as one of Forbes Asia’s 200 Best Under a Billion List and named as finalist in Teleos’ Most Admired Knowledge Enterprise award. eClerx employs over 6,000 employees across its six Indian delivery centers offices in Mumbai, Pune and Chandigarh plus global client relationship locations in New York, London, Silicon Valley, Austin, Dublin and Singapore. For more information, please visit www.eclerx.com

Exchange Data International Exchange Data International (EDI) helps the global financial and investment community better manage/reduce risk through the provision of fast, accurate timely and affordable data reference services. The cornerstone of its success lies in its expertise in integrating, aggregating and flexibly delivering structured data to facilitate investment research, administration and processing. Also, its ability to customize its reference database to precisely fit its clients’ operational requirements. EDI’s extensive content database includes worldwide equity and fixed income corporate actions, dividends, static reference data, closing prices and shares outstanding, delivered via data feeds and the Internet. As a result of the company’s on-going commitment to excellence, it has been awarded the internationally recognized symbol of quality ISO 9001. EDI is based in London, with offices in New York and Mumbai and Morocco. For more information about EDI, Please ring our New York office 1 212 244 1655

FactSet Website: http://www.factset.com FactSet helps the world’s best investment professionals outperform. For decades, financial professionals have relied on FactSet’s streamlined solutions and unmatched client support to get their jobs done, better. FactSet’s global datasets, comprehensive data feeds, and powerful analytics let users stay ahead of market trends, access extensive company and industry intelligence, and monitor performance of their equity and fixed income portfolios in the office or on the go. Learn more at www.factset.com, and follow us on Twitter: www.twitter. com/factset.

Fenergo Website: http://www.fenergo.com Fenergo is an award-winning provider of enterprise Client Lifecycle Management platform solutions that help investment banks and capital market firms to manage the end-to-end regulatory onboarding and entity data management processes. These solutions simplify and rationalize often complex operational interactions of client lifecycle management by orchestrating onboarding, entity data management and compliance across all touch-points within the bank. Fenergo’s sophisticated Regulatory Rules Engine ensures compliance with multiple regulatory frameworks simultaneously (e.g. KYC, AML, FATCA, OTC derivatives regulations such as Dodd-Frank, EMIR, MiFID II, Canadian and APAC derivative regulations), as well as the efficient collection and storage of all client and counterparty data and documentation to support compliance initiatives. By expediting regulatory compliance, Fenergo’s solutions can improve time to revenue and enhance overall client experience. For more information, please visit www.fenergo.com.

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iGate Website: http://www.igate.com iGATE is a leading provider of services to Financial services institutions, that include asset and wealth management firms, investment management firms and pensions management firms. We offer comprehensive solutions in Client Onboarding, Portfolio Management,Trade Order Management, Post trade processing, Risk and Compliance,Accounting and Reporting.Our reference data management solution (RDMS) follows a multi- step approach to manage the entire reference data management environment for Securities Master Data, Legal Entity Data, and Corporate Actions. RDMS leverages best practices to enable vendor data rationalization, enterprise reference data architecture design and integration, and automated data cleansing and distribution. We have also developed an industry-leading shared service for managing Financial Instruments Data to streamline reference data management and improve data quality while reducing the costs. iGATE Corporation is the first integrated technology and operations (iTOPS) company providing full-spectrum consulting, technology and business process outsourcing, and product and engineering solutions on a Business Outcomes-based model.

iMeta Website: HTTP://www.imeta.co.uk Founded in 2000, iMeta has a proven track record delivering Entity Data Management technology to some of the world’s largest banks and financial institutions. iMeta’s Assassin platform delivers a complete end to end solution for onboarding and managing entity data; and is capable of handling the complex regulatory and operational data requirements of capital market organisations. The platform offers a single view of the whole client lifecycle and supports compliance with regulations covering AML, FATCA, MiFID, DFA and EMIR. The full suite consists of: Assassin KYC; for client onboarding and KYC data management Assassin Credit & Legal; to manage credit and legal workflows associated with onboarding products Assassin SSI; which automates SSI (standing settlement instruction) data management processes Financial institutions require an accurate record of their client data. Assassin provides this via a central repository; delivering a single source of up to the minute, clean data throughout the organisation. iMeta uses appropriate, robust technology to create a solution that integrates with customer’s in house technologies; providing clean, manageable data and seamless workflows. With a core team of experts in financial markets and a reputation for delivering true business value and feature rich technology, iMeta understands industry best practices; ensuring that product roadmaps are aligned to client requirements and priorities. For more information visit www.imeta.co.uk Contact: Ben Marsh Email: [email protected]

Informatica Website: http://http://www.informatica.com/us/ Informatica (NASDAQ: INFA) is the world’s number one independent leader of data integration software including data transformation, data quality, master data management, information lifecycle management, cloud integration, complex event processing, and ultra low latency messaging solutions. Over 4,200 organizations including 600+ financial service companies around the world are gaining a competitive advantage with comprehensive, timely, consistent, and certifiably accurate data to improve risk management, combat fraud, ensure compliance, attract and retain customers, accelerate mergers and improve operational efficiencies.

Interactive Data Website: http://www.interactivedata.com Interactive Data Corporation is a trusted leader in financial information. Thousands of financial institutions and active traders, as well as hundreds of software and service providers, subscribe to our fixed income evaluations, reference data, real-time market data, trading infrastructure services, fixed income analytics, desktop solutions and web-based solutions. The Company’s Pricing and Reference Data business provides global securities pricing, evaluations, and reference data designed to support financial institutions’ and investment funds’ pricing activities, securities operations, research, and portfolio management. Interactive Data collects, edits, maintains, and delivers data on more than 10 million current and historical securities, including daily evaluations for approximately 2.8 million fixed income and international equity issues. Interactive Data specializes in ‘hard- to-get’ information and evaluates many ‘hard-to value’ instruments. Pricing, evaluations and reference data are provided in the US through Interactive Data Pricing and Reference Data LLC and internationally through Interactive Data (Europe) Ltd. and Interactive Data (Australia) Pty Ltd. For more information about Interactive Data please visit: www.interactivedata.com.

Kingland Systems Website: http://www.kingland.com Kingland Systems, a leader solving data and compliance problems in the financial services, insurance, and telecommunications industries, has over a decade of expertise in the data space. With solutions for the entire data spectrum, Kingland’s managed data services and data science programs decipher complicated data issues for the world’s largest institutions. Kingland’s MDM and Masterfile solutions are built with tailored algorithms, and the team of dedicated data professionals have unparalleled experience working with complicated reference data and exceptional knowledge of the regulation landscape. Kingland’s traditional data solutions include data quality software; data cleansing and outsourcing; and data governance using the DMM Model.

Mergent Website: http://www.mergent.com Mergent, Inc. is a leading provider of business and financial information on global publicly and private listed companies and has partnered with D&B® to provide several online/print solutions. Based in the U.S., Mergent maintains a strong global presence, with offices in New York, Charlotte, San Diego, London, Tokyo, Kuching and Melbourne. Founded in 1900, Mergent operates one of the longest continuously collected databases of descriptive and fundamental information as well as pricing and corporate action data on domestic and international companies, together with terms and conditions data on corporate and municipal bonds. Mergent subsidiaries provide services in independent equity research and administration and tools for portfolio building and measurement. To learn more, visit www.mergent.com www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 22

S&P Capital IQ Website: HTTP://www.spcapitaliq.com S&P Capital IQ, a part of McGraw Hill Financial (NYSE-MHFI), is a leading provider of multi-asset class and real time data, research and analytics to institutional investors, investment and commercial banks, investment advisors and wealth managers, corporations and universities around the world. Evaluated pricing is prepared by Standard & Poor’s Securities Evaluations, Inc., a part of S&P Capital IQ and a registered investment adviser with the U.S. Securities & Exchange Commission. S&P Capital IQ provides a broad suite of capabilities designed to help track performance, generate alpha, and identify new trading and investment ideas, and perform risk analysis and mitigation strategies. Through leading desktop solutions such as the S&P Capital IQ, Global Credit Portal and MarketScope Advisor desktops; enterprise solutions such as S&P Capital IQ Valuations; and research offerings, including Leveraged Commentary & Data, Global Markets Intelligence, and company and funds research, S&P Capital IQ sharpens financial intelligence into the wisdom today’s investor’s need. For more information, visit: www. spcapitaliq.com

SmartStream Website: http://www.smartstream-stp.com SmartStream provides Transaction Lifecycle Management (TLM®) solutions and Managed Services to dramatically transform the middle and back-office operations of financial institutions. Over 1,500 clients, including more than 70 of the World’s top 100 banks, 8 of the top 10 asset managers, and 8 of the top 10 custodians rely on SmartStream’s solutions. SmartStream delivers greater efficiency, automation and control to critical post trade operations including: Reference Data Operations, Trade Process Management, Confirmations and Reconciliation Management, Corporate Actions Processing, Fees and Invoice Management, Cash & Liquidity Management and Compliance Solutions. Used independently or as a suite of solutions and services, clients gain a lower cost-per-transaction while reducing operational risk, aiding compliance and improving customer service levels. For more information about SmartStream visit: www.smartstream-stp.com

Tech Mahindra Website: http://www.techmahindra.com Tech Mahindra is a specialist in digital transformation, consulting and business re-engineering solutions. We are a USD 3.4 billion company with 95,300+ professionals across 51 countries. We provide services to 649 global customers including Fortune 500 companies. Our innovative platforms and reusable assets connect across a number of technologies to deliver tangible business value to all our stakeholders. Tech Mahindra is also amongst the Fab 50 companies in Asia as per the Forbes 2014 List. We are part of the USD 16.5 billion Mahindra Group that employs more than 180,000 people in over 100 countries. Mahindra operates in the key industries that drive economic growth, enjoying a leadership position in tractors, utility vehicles, information technology, financial services and vacation ownership. For more details: www.techmahindra.com

Trillium Software Website: http://www.trilliumsoftware.com/ Trillium Software offers proven Self Service Data Assurance Solutions that accelerate compliance with many complex, data-centric regulatory regimes and identify hidden risks across an organization. From CCAR and FATCA to Basel II/III, Risk Data Aggregation and others, Trillium provides deep subject matter expertise, industry leading technology and unique content to help business leaders achieve their objectives and attest with confidence. Our innovative Solutions minimize reliance on IT and Operations, delivering value in the form of a business-as-usual process in less than 90 days. For more information, visit www.trilliumsoftware.com

WorkFusion Website: http://www.workfusion.com WorkFusion radically improves the quality, speed and efficiency of global data collection and enrichment by automating the work that burdens a human workforce. The software-as-a-service platform integrates any kind of data source, lets users configure workflows, distributes tasks to FTEs or distributed workers and ensures accuracy. WorkFusion’s machine learning identifies patterns in each task and trains algorithms to match them, automating repetitive work and elevating human workers to corner cases. WorkFusion is used by leading financial data vendors and financial services firms for a wide range of knowledge processes, including compliance, corporate actions, customer onboarding, deals, entities, equities, funds, fundamentals, indices, loans, and private equity. Born out of MIT research in 2010, WorkFusion is a privately held company headquartered in New York City. For more information, please visit www.workfusion.com

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Media Partners

Automated Trader Automated Trader is the first global magazine dedicated to automated and algorithmic trading, and offers in-depth business and technical coverage through comprehensive news, features, in-depth articles on best practice/techniques and detailed user case studies. In addition to thousands of CTAs, hedge funds, proprietary trading operations and conventional asset managers globally, Automated Trader is also read by all major sellside participants in automated and algorithmic trading.

Compliance Week Compliance Week, published by Wilmington Group plc., is an information service on corporate governance, risk and compliance that features weekly electronic newsletters, a monthly print magazine, proprietary databases, industry-leading events, and a variety of interactive features and forums. Compliance Week has become the premier GRC resource for public companies and the organizations that support them, leveraged by tens of thousands of financial, legal, audit, risk and compliance executives.

ECCMA ECCMA has brought together thousands of experts from around the world and provides a means of working together in a fair, open and extremely fast internet environment to build and maintain global, open standard dictionaries used to unambiguously label information without losing meaning. ECCMA works to increase the quality and lower the cost of descriptions through developing International Standards.

EDM Council The EDM Council is a neutral business forum founded by the financial industry to elevate the practice of data management as a business and operational priority. The prime directive is to ensure that users have trust and confidence that data is precisely what is expected without the need for manual recalculation or multiple data transformations.

ETF Express ETF Express is the ETF’s industry’s leading portal on news and topical features, including updates on new fund launches, investment trends, regulatory news and distribution strategies, and a regular series of market surveys and product profiles. ETF Express produces a free daily newsletter covering essential news and features within the exchange traded funds industry and a series of special reports.

Hedgeweek Hedgeweek is the hedge fund industry’s leading portal on news and topical features = including updates on new fund launches, investment trends, regulatory news and distribution strategies, and a regular series of market surveys and fund manager interviews. Hedgeweek produces a free weekly and a daily newsletter covering essential news and features within the Hedge Fund industry.

Infinata Infinata provides secure, cloud-based dashboard and reporting services and solutions for the banking and financial services industry. Working closely with our clients, Infinata helps develop successful market strategies through expert consultations catered to our client’s specific needs. Infinata provides a variety of custom data solutions, including: Consultation, Database Optimization, Automated Custom Reporting, Secure Data Warehousing, CRM Integration

Institutionalassetmanager Institutionalassetmanager is a news and information and fund data service for institutional investors and institutional asset managers focusing on the traditional asset management sector worldwide. Institutionalassetmanager offers a daily newsletter service and a full web site.

Private Equity Wire Private Equity Wire is the private equity industry’s leading portal on news and topical features, including updates on new fund launches, investment trends, regulatory news and distribution strategies, and a regular series of market surveys and product profiles. Private Equity Wire produces a free daily newsletter covering essential news and features within the private equity industry and a series of special reports.

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Property Funds World Property Funds World is the property fund industry’s leading portal on news and topical features, including updates on new fund launches, investment trends, regulatory news and distribution strategies, and a regular series of market surveys and fund manager interviews. Property Funds World produces a free weekly and a daily newsletter covering essential news and features within the property fund industry as well as an extensive special reports series.

ReferenceDataReview.com ReferenceDataReview.com is the online destination that reference data professionals turn to for the market news, analysis and intelligence they need to excel in their jobs. Reference data professionals use ReferenceDataReview.com to track current industry trends, the data management strategies of their peers at buy- and sell-side institutions, vendor competitive positioning and inside gossip, and the impact of regulations and standards on reference data. ReferenceDataReview.com is a service of A-Team Group, a global news, research and events company focused on the deployment of IT in financial markets. We have been charting the way in reference data since 2003 when we launched Reference Data Review, the industry’s first publication that helped to define what is now the reference data industry segment. This pedigree gives us unparalleled access to senior reference data managers and decision makers, whose insights help us provide our unique coverage of our marketplace.

TopCreditCardProcessors The independent authority on credit card processing, topcreditcardprocessors.com, is a research firm dedicated to identifying and ranking the best credit card processors in the United States. These payment service providers are able to provide national services with flexible payment terms and service offerings for your small, medium, or enterprise business.

Wealthadvisor Wealthadviser offers investment fund news and information, research and fund data for wealth advisers and private banks working in the advisory industry around the world. Wealthadviser offers a daily newsletter service and a full web site with fund data designed to help wealth advisers.

Data Management Café

Bringing Together The Leading Solutions Providers To Help You Achieve Data Management Success

Optimize your time at the FIMA conference by visiting the Data Management Café. The Data Management Café features companies that provide technologies and services to help you better manage your reference data. For your convenience, the networking activities at FIMA, including breakfasts, coffee breaks and receptions are now centrally located in the Data Management Café.

The Data Management Café supplies you with complete solutions for acquiring, validating, cleansing and integrating all of your client and product reference data. All of the participants in the Data Management Café offer the latest advances in reference data solutions, management and implementation. Key solution areas include: legal entity data, corporate actions, compliance & reporting, risk management, data quality, outsourcing, centralization and much more!

There is a vast array of solution providers available out there…the key is finding the right one for you. Today, more than ever before, it is critical for you to make smart investment decisions that will produce immediate results. We’ve taken some of the guesswork out of the process. Only companies leading the way in data management strategies will be exhibiting in the Data Management Café.

If you are a solution or service provider seeking to participate in the Data Management Café, please contact John Tashjian at [email protected] or call him at 646-200-7454.

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Here’s Who You Will Meet:

Seniority Breakdown

47% Senior Manager/Manager 27% Director/Head of 16% Specialist/Staff/Other 9% C Level/President

Job Function Breakdown

69% Financial Management 15% IT 7% Senior Management 5% Operations 4% Customer Service

Industry Breakdown

32% Investment Management 25% Securities Brokers 18% Fund Management 13% Financial Services 7% Insurance Agencies 5% Misc

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 26 Venue & Accommodations

The Westin Copley Place

425 Summer Street Boston, MA 02210

Website: www.westincopleyplaceboston. com

Phone: 617-262-9600

Room Rate: $269 plus tax

FIMA has secured a special conference rate of $269 a night (plus tax) for attendees. In order to make your reservation, please call the Westin Copley Place at 1-888-627-7115 and identify yourself as a FIMA 2015 attendee. Rooms are limited and are on a first come, first served basis, so make your reservations as soon as possible. The special rate expires March 8, 2015. After this date, rooms may still have available, so inquire with the hotel if you have missed the cut-off date.

You can also use this link to book reservations online: https://www.starwoodmeeting.com/ Things To Do In Boston Book/FIMA2015 The Westin Copley Place is ideally located near plenty of things to do in Boston.

VENUE HIGHLIGHTS: The Westin Copley Place Boston Hotel, ideally located in Back Bay, puts you minutes from shopping, entertainment, Boston Back Bay restaurants, and the financial district — offering plenty of things to do in Boston. Whether your stay is pleasure or business, retreat to the AAA Four Diamond Award® Westin Copley Place in the heart of downtown Boston. Our Boston hotel is not only determined to provide you with a phenomenal stay but also understands our responsibility to Make a Green Choice. We are the recipient of the prestigious 4-Green Key Award, and the only hotel in Massachusetts to be recognized as a Green Seal™ Certified.

Museums/Attractions ·· TD Bank Garden Theatres From history to science to arts, Boston ·· Boston Symphony Hall Rich in history and design, many of is home to some of the world’s best ·· Fenway Park Boston’s theaters feature original museums dedicated to bringing education ·· Freedom Trail architecture and detail. Through the years, and culture to Boston locals and tourists ·· Boston Duck Tours performing arts has graced the stages alike. With attractions such as the historic of our local Boston theaters bringing Freedom Trail and scenic views of Boston Shopping entertainment to those of all ages. The from land and water with the Boston Duck Within blocks of the hotel you’ll find a “Theater District” in downtown Boston is Tours, an adventurous trip to Boston shopper’s dream! Shopping is one of the only a 5 block walk from The Westin Copley awaits! best things to do in Boston, with world- Place Boston. ·· Museum of Science renowned Newbury Street just a block ·· Charles Playhouse ·· Children’s Museum away. Or, connected via indoor walkway, ·· Colonial Theatre ·· Museum of Fine Arts guests can enjoy the Shops at Copley Place. ·· Opera House ·· Isabella Stewart Gardner Museum ·· The Shops at Prudential Center ·· Wang Center ·· JFK Library & Museum ·· Copley Place ·· Wilbur Theatre ·· The Mary Baker Eddy Library ·· Newbury Street ·· Shubert Theatre ·· Institute of Contemporary Art ·· Downtown Crossing ·· Orpheum Theatre www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA The Most Engaging Data Management Event Experience For Financial Services PAGE 27 2015

Pricing & Discounts

Special Individual Discounts2015 for Financial Standard Until 31-Dec Until 31-Jan Until 28-Feb Institutions Price

3 Day Conference: March 30 – April 1, 2015 $1,699 $1,899 $2,099 $2,299

Standard Standard Price Price

2 Day Conference: March 31 – April 1, 2015 $2,699

Special Group Discounts for Qualified Procurement Practitioners Standard Price

Groups of 2 20% off current price

Groups of 3–4 25% off current price

Groups of 5+ 30% off current price

To secure your team discount, call Usha Ruban at 416-597-4753, or email her at [email protected]

For questions about group discounts, please contact Usha Ruban at 416.597.4753 or email her at WBR CANCELLATION, POSTPONEMENT AND [email protected]. SUBSTITUTION POLICY: You may substitute delegates at any time by providing *Solution Providers: Any service provider to financial reasonable advance notice to Worldwide Business organizations including, but not limited to software Research USA, LLC. Any cancellations received in writing vendors, technology vendors, solution providers, not less than eight (8) days prior to the conference, you consultants or companies with primary revenues resulting will receive a 90% credit to be used at another Worldwide from these other areas. Worldwide Business Research Business Research USA, LLC conference which must occur reserves the right to enforce the rate for solution within one year from the date of issuance of such credit. providers. An administration fee of 10% of the contract fee will be retained by Worldwide Business Research USA, LLC for all No two discounts or offers may be combined. All discounts permitted cancellations. No credit will be issued for any are taken off the full conference price. Team Discounts cancellations occurring within seven (7) days (inclusive) of do not apply to sponsoring or exhibiting companies. Fee the conference. includes continental breakfast, lunch, cocktail receptions and conference documentation. Connecticut residents must add 6% sales tax to their registration fee. Payment is due in full at the time of registration. Your registration will not be confirmed until payment is received and may be subject to cancellation

www.fima-usa.com • [email protected] • 646.200.7530 • Twitter: @FIMAUSA