Governance. Execution. Value.

Transcription

1 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:

2 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

3 The Most Engaging Data Management Event Experience For Financial Services PAGE 3 FIMA 2015 Speakers Include: Mike Atkin Managing Director EDM Council, Inc. Julia Bardmesser Director, Business Data Management Citi Sumanda Basu SVP Head of Data Governance Risk Audit Citigroup David M. Blaszkowsky Senior Vice President, Head of Data Governance State Street Corporation John A. Bottega Senior Advisor & Consultant EDM Council Tony Brownlee Partner, Data Solutions Kingland Systems Brian Buzzelli Executive Director, Head of Enterprise Data Management, Americas Nomura America Services Saad Chafki Associate Vice President IT Delivery Services Standard Life Canada Philippe Chambadal CEO SmartStream Jennifer Courant Head of Risk Systems and Technology for Risk Architecture Citigroup Thomas Crimmins Director of Corporate Credit Risk Reporting CIT Group Ludwig A. D Angelo Executive Director, Corporate & Investment Bank Operations JP Morgan Chase Adam Devine, VP Product Marketing, WorkFusion Genevy Dimitrion Vice President State Street Corporation Alex Dixon Global Head of Client Onboarding, Transitions & Reviews UBS Anastasia Dokuchaeva Sales Specialist, Content and Technology Solutions FactSet Research Systems Inc. Thomas Dunlap Managing Director Goldman Sachs Joe Dunphy Vice President of Product Management Fenergo John Fleming Head of Enterprise Data Governance BNY Mellon Claire Frankel Executive Director, Enterprise Data Group JPMorgan Chase Jeff Gentry Director, Data & Analytics Governance TD Ameritrade Richard Gibbons BFS-GRC SME & Practice-Leader for North America Tech Mahindra Bruno Giordano Vice President - Data Governance Systems Brown Brothers Harriman Steven Goldstein Chief Executive Officer Alacra Don Gray Global Head of Enterprise Data Management Cigna Daphne Guerci Senior Director, Data Management Caisse de dépôt et placement du Québec Colin M. Hall Chief Data Officer, Managing Director Credit Suisse Nick Helton Global Reference Data Manager Northern Trust Hubert Holmes Managing Director, Reference Data Interactive Data Joe Ierace Senior Director FINRA Raj Iyer Vice President Global Markets ecommerce BNY Mellon Amit Jhawar Vice President, Investment Management Data Operations State Street Global Advisors Preetham Kamesh Head of Data Management Services Business Unit IGATE Corporation Rick Kanungo Senior Director, Enterprise Solutions S&P Capital IQ Jack Klinck EVP and Head of Global Strategy and New Ventures State Street Peter Ku Senior Director, Global Industry Marketing Informatica Ashok Kumar SVP of Business Data Management Citi Manjeev Kumar Global FATCA, Regulatory & Compliance Program Deutsche Bank Mary Langevin Vice President, Head of Market Data Commercial, Americas Nomura America Services

4 The Most Engaging Data Management Event Experience For Financial Services PAGE 4 Speakers Continued Matthew Lewisman Director, Global Head of Client Change Management Credit Suisse Daniel Maury Group Finance Data Program, Managing Director UBS Michael Miller Global Finance Information Architect, Global Finance IT HSBC David Newman Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy Wells Fargo Alan Paris Principal, Global Head of Financial Services Consulting & Global Account Manager Financial Services eclerx Marcy Pike Senior Vice President Fidelity Investments Scott Preiss Vice President, Chief Operating Officer CUSIP Global Services Don Rosenberg Lead Consultant, Banking and Financial Services, IGATE Corporation Tim Rourk Principal, Program Director Kingland Systems Sandip Sahota Executive Director, Program Lead for the Enterprise Data Services CTO Morgan Stanley David Saul Senior Vice President and Chief Scientist State Street Thomas Serven Vice President, IT Governance State Street Corporation Anthony Sorrentino Global Head of Instrument Reference Data Deutsche Bank Derek Strauss Chief Data Officer TD Ameritrade Tim Swan Director, Data Management Office, Americas Risk Management MUFG Union Bank, N.A. Takayoshi Wiesner Vice President Morgan Stanley, Capital Markets Martin J. Williams Vice President, Reference Data Product Development Interactive Data Alexander Wissner-Gross Institute Fellow Harvard University Institute for Applied Computational Science Max Yankelevich CEO WorkFusion Don t miss out on hearing from industry leading speakers at FIMA 2015.

5 The Most Engaging Data Management Event Experience For Financial Services PAGE 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.

6 The Most Engaging Data Management Event Experience For Financial Services PAGE 6 Dear Colleague, Mark your calendar for FIMA The premier reference data, counterparty risk and data innovation conference is returning to Boston! to how to balance data demands in a constrained budget environment. FIMA 2015 lifts the veil on clearly identifying data requirements and gaining more intelligence from it. Board Members Thomas Dunlap Managing Director Goldman Sachs We have a range of issues to tackle this year and we ll explore the roles of data in the current environment, improving data quality, and extracting the value. Learn how identifying the right individuals can advance your 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 burdens. 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. John Fleming Head of Enterprise Data Governance BNY Mellon Takayoshi Wiesner Vice President Morgan Stanley Capital Markets 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

7 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 8:55 Welcome Remarks Shamara Ray, Program Director, FIMA :00 Chairperson s Opening Address 9:15 The Emergence Of Data Utilities And The Relevance In Today s Reference Data Market Ludwig A. D Angelo, Executive Director, Corporate & Investment Bank Operations, JP Morgan Chase 9:35 Disruptive Technology And Innovation In Financial Services Jack Klinck, EVP and Head of Global Strategy and New Ventures, State Street 9:55 Refreshment Break & Networking Opportunity 10:20 Panel Discussion: Improving The Ability To Harmonize And Link Data Across The Organization John Fleming, Head of Enterprise Data Governance, BNY Mellon Jeff Gentry, Director, Data & Analytics Governance, TD Ameritrade Nick Helton, Global Reference Data Manager, Northern Trust Ashok Kumar, SVP of Business Data Management, Citi Anthony Sorrentino, Global Head of Instrument Reference Data, Deutsche Bank 11:00 Kickoff of Interactive Roundtables An Analysis of the Cloud Movement and the Associated Data Management Activities Peter Ku, Senior Director, Global Industry Marketing, Informatica igate Roundtable Preetham Kamesh, Head of Data Management Services Business Unit, IGATE Corporation Interactive Data Roundtable Martin J. Williams, Vice President, Reference Data Product Development, Interactive Data Establishing Enterprise Data Governance: What Does It Take To Execute? Don Rosenberg, Lead Consultant, Banking and Financial Services, IGATE Corporation Managing the Delta of Regulatory Data Joe Dunphy, Vice President of Product Management, Fenergo 12:40 Lunch For All Attendees 1:40 Continuation of Interactive Roundtables (Final 2 Tables) 2:30 Refreshment Break & Networking Opportunity Workshop A Concurrent Workshops Begin 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 4:10 FIMA 2014 Benchmarking Study igate Global Solutions 4:20 Panel Discussion: Establishing An Office Of The CDO To Ensure Data Quality 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 Derek Strauss, Chief Data Officer, TD Ameritrade 5:00 Challenging Data Users To Comply With Higher Standards David M. Blaszkowsky, Senior Vice President, Head of Data Governance, State Street Corporation 5:20 FIMA 2015 Craft Beer Tasting 6:30 End Of Day One Tuesday, March 31, 2015 Data Governance, Strategy & Execution 8:00 Continental Breakfast & Registration In The Data Management Café 8:35 Welcome Remarks Shamara Ray, Program Director, FIMA :40 Chairperson s Opening Address Alan Paris, Global Head of Financial Services Consulting & Global Account Manager Financial Services, eclerx 8:55 Treating Data As An Asset And Managing It Effectively 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 Services Business Unit, IGATE Corporation 9:35 Organizing The Reference Data Function At Medium- Sized And G-SIB Firms Claire Frankel, Executive Director, Enterprise Data Group, JPMorgan Chase

8 The Most Engaging Data Management Event Experience For Financial Services PAGE 8 9:55 Trends In Implementing Data Governance Operating Models Thomas Dunlap, Managing Director, Goldman Sachs 10:15 Morning Refreshment & Networking Break In The Data Management Café 11:15 Panel Discussion: Implementing The Process For Applying Data Quality Bruno Giordano, Vice President - Data Governance Systems, Brown Brothers Harriman Amit Jhawar, Vice President, Investment Management Data Operations, State Street Global Advisors Scott Preiss, Vice President, Chief Operating Officer, CUSIP Global Services Tim Swan, Director, Data Management Office, Americas Risk Management, MUFG Union Bank, N.A. 11:55 Executive Presentation Trillium Software 12:15 Data Governance Moving From Tactical Data Governance To Strategic Data Governance For Competitive Advantage Michael Miller, Global Finance Information Architect, Global Finance IT, HSBC 12:35 Panel Discussion: Overcoming The Challenges of Client Data Issues Alex Dixon, Global Head of Client Onboarding, Transitions & Reviews, UBS Genevy Dimitrion, Vice President, State Street Corporation Steven Goldstein, Chief Executive Officer, Alacra Raj Iyer, Vice President Global Markets ecommerce, BNY Mellon Matthew Lewisman, Director, Global Head of Client Change Management, Credit Suisse Max Yankelevich, CEO, Workfusion 1:15 Innovation Spotlight: The Data Health Check: Data Quality Diagnostics for Legal Entity and Hierarchy Data Tony Brownlee, Partner, Data Solutions, Kingland Systems 1:25 Luncheon For All Attendees Track A: Data Architecture Concurrent Tracks Begin 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 Data Takayoshi Wiesner, Vice President, Morgan Stanley, Capital Markets 2.55 Innovation Spotlight: The Data Factory in a Box: 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 And Data Architecture As A Service Thomas Crimmins, Director of Corporate Credit Risk Reporting, CIT Group Sandip Sahota, Executive Director, Program Lead for the Enterprise Data Services CTO, Morgan Stanley Establishing A Process To Keep Data Governance Alive Daphne Guerci, Senior Director, Data Management, Caisse de dépôt et placement du Québec Innovation Spotlight Panel Discussion: Exploring Emerging Tools To Drive Data Governance Forward 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 4:45 Interactive Roundtable Discussions: Strategies For Managing Data As An Asset Daniel Maury, Group Finance Data Program, Managing Director, UBS Organizing The Reference Data Function At Medium-Sized And G-SIB Firms Claire Frankel, Executive Director, Enterprise Data Group, JPMorgan Chase Effectively Implementing Data Governance Operating Models Thomas Dunlap, Managing Director, Goldman Sachs Moving From Tactical Data Governance To Strategic Data Governance Michael Miller, Global Finance Information Architect, Global Finance IT, HSBC Implementing The Process For Applying Data Quality Bruno Giordano, Vice President - Data Governance Systems, Brown Brothers Harriman Overcoming The Challenges of Client Data Issues Alex Dixon, Global Head of Client Onboarding, Transitions & Reviews, UBS Emerging Tools To Drive Data Governance Forward Julia Bardmesser, Director, Business Data Management, Citi Roundtable Led By Trillium Software Managing Reference Data Services For The New CDO Preetham Kamesh, Head of Data Management Services Business Unit, IGATE Corporation 5:45 A New Equation for Wealth Alexander Wissner-Gross, Institute Fellow, Harvard University Institute for Applied Computational Science 6:05 FIMA New England Clam Bake 6:35 End Of Main Day One

9 The Most Engaging Data Management Event Experience For Financial Services PAGE 9 Wednesday, April 1, 2015 Data Management, Regulations & Compliance 8:15 Continental Breakfast & Registration In The Data Management Café 8:40 Chairperson s Opening Address 8:55 Balancing Regulatory Requirements, Education and Industry Outreach Mike Atkin, Managing Director, EDM Council, Inc. 9:35 Mutualizing Data Governance and Regulatory Compliance Through The Use of a Utility Philippe Chambadal, CEO, SmartStream 9:55 Principles & Risk: BCBS Engagement And Execution - Will You Be Ready? Brian Buzzelli, Executive Director, Head of Enterprise Data Management, Americas, Nomura America Services 10:15 Morning Refreshment & Networking Break In The Data Management Café 10:55 Panel Discussion: Demystifying Big Data Solving Big Data Mysteries With Smart Data Clues Saad Chafki, Associate Vice President IT Delivery Services, Standard Life Canada Jennifer Courant, Head of Risk Systems and Technology for Risk Architecture, Citigroup Anastasia Dokuchaeva, Sales Specialist, Content and Technology Solutions, FactSet Research Systems Inc. Peter Ku, Senior Director, Global Industry Marketing, Informatica 11:35 Executive Presentation 11:55 Innovation Spotlight: Trillium Software 12:05 Panel Discussion: Embarking On A Fresh Approach For Risk Data Aggregation And Risk & Regulatory Reporting Sumanda Basu, SVP Head of Data Governance Risk Audit, Citigroup John A. Bottega, Senior Advisor & Consultant, EDM Council Richard Gibbons, Title, Tech Mahindra Joe Ierace, Senior Director, FINRA Rick Kanungo, Senior Director, Enterprise Solutions, S&P Capital IQ 12:45 Luncheon For All Attendees 1:45 Interactive Roundtable Discussions: Tactics For Balancing Regulatory Requirements And Industry Outreach Mike Atkin, Managing Director, EDM Council, Inc. Principles & Risk: BCBS Engagement And Execution Brian Buzzelli, Executive Director, Head of Enterprise Data Management, Americas, Nomura America Services Solving Big Data Mysteries With Smart Data Clues Jennifer Courant, Head of Risk Systems and Technology for Risk Architecture, Citigroup LEI: Creating Data Requirements For Your Organization David Newman, Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy, Wells Fargo Innovative Approaches For Risk Data Aggregation And Risk & Regulatory Reporting John A. Bottega, Senior Advisor & Consultant, EDM Council 2:45 Semantic Technology And Financial Standards: Creating Synergy Between Data Analytics And Regulatory Compliance David Saul, Senior Vice President and Chief Scientist, State Street Corporation 3:05 Afternoon Refreshment & Networking Break In The Data Management Café 3:45 Panel Discussion: Data Licensing And Entitlement Compliance In The New Age Mary Langevin, Vice President, Head of Market Data Commercial, Americas, Nomura America Services Marcy Pike, Senior Vice President, Fidelity Investments 4:25 FIBO The Next Generation Data Standard For The Financial Industry David Newman, Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy, Wells Fargo 4:45 End Of FIMA 2015 Participate in roundtable discussions to hear directly from your peers in the financial data management space.

10 The Most Engaging Data Management Event Experience For Financial Services PAGE 10 Monday, March 30, 2015 Data Quality & Value 8:15 Continental Breakfast & Registration 8:30 Welcome Remarks Shamara Ray Program Director FIMA :00 Chairperson s Opening Address 9:15 The Emergence Of Data Utilities And The Relevance In Today s Reference Data Market The potential emergence of data utilities is greater today than at any time in the past. This session will delve into what has led up to this and how any utilities must be constructed to ensure success. Find out how the industry will gain from any emerging data utilities and what potential consumers of data utilities should do now to take advantage of the opportunity and catch the wave at the precise time. Ludwig A. D Angelo Executive Director, Corporate & Investment Bank Operations JP Morgan Chase 9:35 Disruptive Technology And Innovation In Financial Services Fueled by decreased computing costs and digitization, disruptive technology is reshaping the competitive landscape in a number of industries and creating new opportunities for innovation and growth in financial services. To stay relevant, firms should look to use digital technology and advanced data analytics to enrich existing products and services, transform business models, and/or invent entirely new revenue streams. This session will explore how disruptive technology is impacting financial services and how innovative firms are using data and analytics to create new competitive advantage. This timely discussion will include: The impact of digitization on financial services The importance of building a digital enterprise Tips for an effective data and analytics strategy Jack Klinck EVP and Head of Global Strategy and New Ventures State Street 9:55 Refreshment Break & Networking Opportunity 10:20 Panel Discussion: Improving The Ability To Harmonize And Link Data Across The Organization Determining whether harmonized enterprise glossary and ontology are the keys to attaching meaning to data It s not about defining terms, it s about representing meaning consistently in a data context How do software tools in the marketplace help? Is linking data across the organization optional or a requirement? John Fleming Head of Enterprise Data Governance BNY Mellon Jeff Gentry Director, Data & Analytics Governance TD Ameritrade Nick Helton Global Reference Data Manager Northern Trust Ashok Kumar SVP of Business Data Management Citi Anthony Sorrentino Global Head of Instrument Reference Data Deutsche Bank 11:00 Kickoff of Interactive Roundtables An Analysis of the Cloud Movement and the Associated Data Management Activities Peter Ku Senior Director, Global Industry Marketing Informatica igate Roundtable Preetham Kamesh, Head of Data Management Services Business Unit, IGATE Corporation Interactive Data Roundtable Martin J. Williams Vice President, Reference Data Product Development Interactive Data Establishing Enterprise Data Governance: What Does It Take To Execute? Don Rosenberg, Lead Consultant, Banking and Financial Services, IGATE Corporation Managing the Delta of Regulatory Data Joe Dunphy, Vice President of Product Management, Fenergo 12:40 Lunch For All Attendees 1:40 Continuation of Interactive Roundtables (Final 2 Tables)

11 The Most Engaging Data Management Event Experience For Financial Services PAGE 11 Data Quality & Value Day Continued Workshop A Concurrent Tracks Begin Workshop B 3:00 Viewing Data Holistically To Structure Your Data Strategy Exploring reference data, real time data and pricing data as a total offering Having data come through one single point of entry from a technology standpoint Is the industry moving towards developing a centralized hub? Structuring data to leverage both internal and external resources or relationships Identifying How Data Leaders Are Using And Finding Value In Data Advancing strategies for mining data Proven methods for reporting a massive amount of data Utilizing new tools to gain data insights Linking governance and tools to extract the value 2:30 Refreshment Break & Networking Opportunity 4:00 10 Minute Stretch & Refreshment Break 4:10 FIMA 2014 Benchmarking Study igate Global Solutions 4:20 Panel Discussion: Establishing An Office Of The CDO To Ensure Data Quality 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 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 Derek Strauss Chief Data Officer TD Ameritrade 5:00 Challenging Data Users To Comply With Higher Standards Implementing strategies for doing more work about due diligence Putting measures in place to make sure the reference data you re getting is accurate Instituting controls to certify data accuracy Getting data on a timely basis David M. Blaszkowsky Senior Vice President, Head of Data Governance State Street Corporation 5:20 FIMA 2015 Craft Beer Tasting 6:30 End of Day One Don t miss out on networking during coffee and cocktail breaks.

12 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 In The Data Management Café 8:35 Welcome Remarks Shamara Ray Program Director FIMA :40 Chairperson s Opening Address Alan Paris Global Head of Financial Services Consulting & Global Account Manager Financial Services eclerx 8:55 Treating Data As An Asset And Managing It Effectively How do you take data, actually leverage it, and use it as an asset? A few years ago, firms were convinced data was needed because they couldn t operate without it. Since then, it has become more apparent that data is needed because of regulatory requirement or the business is asking for it. As organizations come to the realization that the data requirements aren t going away, the need for strategies to leverage data have increased. This session will examine how to take the value of data, that in the past has been perceived almost as a liability, and turn it into an asset. Transforming the perception of data as a liability 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 Services Business Unit, IGATE Corporation 9:35 Organizing The Reference Data Function At Medium-Sized And G-SIB Firms Mapping strategy around data warehousing Scrutinizing your ability to aggregate data across silos Developing an effective strategy for disseminating data to third parties How architecture and technology are impacting the ability to break down silos from a logical level Claire Frankel Executive Director, Enterprise Data Group JPMorgan Chase 9:55 Trends In Implementing Data Governance Operating Models Defining what is an operating model and what it looks like: centralized vs. business function Assessing governance maturity level and how to drive a target state Creating roadmaps to serve as a guide to optimal information management Building an operating model around governing, maintaining and keeping data at a trustworthy level Thomas Dunlap Managing Director Goldman Sachs Have conversations with other professionals in the financial industry around data management.

13 The Most Engaging Data Management Event Experience For Financial Services PAGE 13 Data Governance, Strategy & Execution Day Continued 10:15 Morning Refreshment & Networking Break In The Data Management Café 11:15 Panel Discussion: Implementing The Process For Applying Data Quality The importance of establishing clear roles and specific accountabilities for data quality across the business, as well as, performance measures and incentives, is key to enhancing the process for applying data quality. During this session, panelists will address how to strike a balance between manual/sampling-based processes to measure and report on data accuracy vs. the use of automated tools to measure other aspects of quality. Realizing it takes more than having the right toolset to deliver but the process behind the quality Mitigating issues associated with applying data quality standards and encouraging people to act on them Producing metrics that show how to determine which quality your client data is or your product data Determining how to get the end system to adopt to the standards you want Externally looking at the client to be serviced and improving the flow of information from the point of onboarding Data quality and provenance from the perspective of a National Numbering Agency (NNA) Bruno Giordano Vice President - Data Governance Systems Brown Brothers Harriman Amit Jhawar Vice President, Investment Management Data Operations State Street Global Advisors Scott Preiss Vice President, Chief Operating Officer CUSIP Global Services Tim Swan Director, Data Management Office, Americas Risk Management MUFG Union Bank, N.A. 11:55 Executive Presentation Trillium Software 12:15 Data Governance Moving From Tactical Data Governance To Strategic Data Governance For Competitive Advantage The traditional approaches to data governance often fail over time because they operate in the manner of law or policy enforcement. Over time, executive management attention wanes and shifts focus, data governance control over the data asset slips. Shifting data governance to a more strategic role providing more guidance than policy enforcement can ensure greater longevity to the function and higher value to the enterprise. An added benefit is that it is easier to implement than traditional Data Governance approaches when done correctly. Plan to attend this session to learn: Why tactical data governance often loses control over time How to move from tactical data governance to strategic data governance by providing data guidance and direction Examining strategic data governance and GRC (governance, risk and compliance) Exploiting business architecture to deliver data architecture and better data governance, particularly for master data management & reference data management Assessing strategic data governance and competitive advantage - the need for speed Michael Miller Global Finance Information Architect, Global Finance IT HSBC I got to talk with other people to hear what issues they are having and we got to address common challenges. Rick Roland, Senior Fund Accounting Analyst, Brown Brothers Harriman FIMA 2015 will host discussions around the most important topics to data management professionals.

14 The Most Engaging Data Management Event Experience For Financial Services PAGE 14 Data Governance, Strategy & Execution Day Continued 12:35 Panel Discussion: Overcoming The Challenges of Client Data Issues Examining the cost of failure and compliance KYC within the organization Making a renewed emphasis on client data, KYC and client onboarding Assessing the importance of KYC and the various processes around gathering evidences Preparing the reference data team for being tasked with the responsibility for legal docs Alex Dixon Global Head of Client Onboarding, Transitions & Reviews UBS Genevy Dimitrion Vice President State Street Corporation Steven Goldstein Chief Executive Officer Alacra Raj Iyer Vice President Global Markets ecommerce BNY Mellon Matthew Lewisman Director, Global Head of Client Change Management Credit Suisse Max Yankelevich, CEO WorkFusion 1:15 Innovation Spotlight: The Data Health Check: Data Quality Diagnostics for Legal Entity and Hierarchy Data Tony Brownlee Partner, Data Solutions Kingland Systems 1:25 Luncheon For All Attendees Track A: Data Architecture Concurrent Tracks Begin 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 Data Stress test modelers are prone to focus on the complexity of the model, but successful stress testing is characterized more by the integrity of the entire process than mere output. Since any good decision making process requires relevant, accurate, timely and transparent input, data governance needs to be recognized as the foundation of effective modeling 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 in a Box: Automating Repetitive Data Collection, Extraction and Remediation Through Machine Learning Adam Devine, VP Product Marketing, Workfusion Establishing A Process To Keep Data Governance Alive Learn how to exploit your data in a more efficient way. This session will provide you with the tools to take the data you buy and use it for analysis. Survey the notion of utilizing operational data for portfolio management and analytical data. Daphne Guerci,Senior Director, Data Management, Caisse de dépôt et placement du Québec Innovation Spotlight To host an Innovation Spotlight, where you can showcase a practical case study and/or technology implementation, contact John Tashjian at John.Tashjian@wbresearch.com or call him at

15 The Most Engaging Data Management Event Experience For Financial Services PAGE 15 Data Governance, Strategy & Execution Day Continued 3:05 Panel Discussion: Enabling And Empowering Data Mobility And Data Architecture As A Service Integrating the technologies and tools to support data architecture as a service Providing functionality, capability and availability of information to the enterprise Confirming security components and the technical metadata source is available across the enterprise Creating synergy to ensure the right technology and platforms are capable to populate big data Determining how to get the business to cooperate with data quality efforts by demonstrating how better data can help with their efforts Letting the business know what the capital charge is for their messy data and how much can be saved by using the data groups to help Thomas Crimmins Director of Corporate Credit Risk Reporting CIT Group Sandip Sahota Executive Director, Program Lead for the Enterprise Data Services CTO Morgan Stanley Panel Discussion: Exploring Emerging Tools To Drive Data Governance Forward Tools are quickly evolving from IT-driven/technical metadata tools to more business-friendly tools which can be used to engage the business more effectively in data governance processes. This session will uncover strategies to enable more transparent, collaborative data governance processes across the business. Tools are not a silver bullet, however, clearly defined roles, accountabilities, processes and ongoing stakeholder engagement/communications are critical to sustainability. This panel will delve into the key capabilities for the tools providing traceability from business glossary to critical data elements definitions. Gauging financial institution progress with governance programs Realizing governance is not just for risk and operations but enterprise wide Tackling the challenges associated with IT focused resources and achieving governance outcomes Ensuring that governance isn t financially burdening Securing executive buy-in and convincing decision makers of the importance of governance How can data quality rules and results connect 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.

16 The Most Engaging Data Management Event Experience For Financial Services PAGE 16 Data Governance, Strategy & Execution Day Continued 4:45 Interactive Roundtable Discussions: Strategies For Managing Data As An Asset Daniel Maury Group Finance Data Program, Managing Director UBS Organizing The Reference Data Function At Medium-Sized And G-SIB Firms Claire Frankel Executive Director, Enterprise Data Group JPMorgan Chase Effectively Implementing Data Governance Operating Models Thomas Dunlap Managing Director Goldman Sachs Moving From Tactical Data Governance To Strategic Data Governance Michael Miller Global Finance Information Architect, Global Finance IT HSBC Implementing The Process For Applying Data Quality Bruno Giordano Vice President - Data Governance Systems Brown Brothers Harriman Overcoming The Challenges of Client Data Issues Alex Dixon Global Head of Client Onboarding, Transitions & Reviews UBS Emerging Tools To Drive Data Governance Forward Julia Bardmesser Director, Business Data Management Citi Roundtable Led By Trillium Software Managing Reference Data Services For The New CDO Preetham Kamesh, Head of Data Management Services Business Unit, IGATE Corporation 5:45 A New Equation for Wealth The real wealth of individuals, companies, and nations has remained stubbornly difficult to define or measure in a quantitatively rigorous way. In this talk, Dr. Wissner-Gross will introduce a remarkable new information-theoretic framework based on future freedom of action that is capable of reproducing key wealth-creating human activities such as tool use, social cooperation, and financial trading. This new approach promotes wealth to a first-class physical quantity, alongside mass, length, and time. Alexander Wissner-Gross, nstitute Fellow Harvard University Institute for Applied Computational Science 6:05 FIMA New England Clam Bake 7:05 End of Day Two 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

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

18 The Most Engaging Data Management Event Experience For Financial Services PAGE 18 Data Management, Regulations & Compliance Day Continued 11:35 Executive Presentation 11:55 Innovation Spotlight: Trillium Software 12:05 Panel Discussion: Embarking On A Fresh Approach For Risk Data Aggregation And Risk & Regulatory Reporting This session will explore risk data aggregation activity. Expert panelists will examine RDA from a data management perspective. Take a closer look at the concept of approaching RDA by applying best practices to the data management principles. Gain insight on how to create a common template and lexicon with the regulators as banks strive to adhere to the principles. Drilling down to a level that loops into LEI and Dodd-Frank, Uncovering factors to take into consideration with EMIR and FATCA if you want to go global Evaluating BCBS principles affecting risk and aggregation and reporting What it takes to manage reporting requests, capital calculations and leverage ratio Challenges for risk data collection, Measuring data quality and remediation of DQ issues Sumanda Basu SVP Head of Data Governance Risk Audit Citigroup John A. Bottega Senior Advisor & Consultant EDM Council Richard Gibbons BFS-GRC SME & Practice-Leader for North America Tech Mahindra Joe Ierace Senior Director FINRA Rick Kanungo Senior Director, Enterprise Solutions S&P Capital IQ Meet with other reference data professionals to find solutions to the challenges you re facing. 12:45 Luncheon For All Attendees 1:45 Interactive Roundtable Discussions Tactics For Balancing Regulatory Requirements And Industry Outreach Mike Atkin Managing Director EDM Council, Inc. Principles & Risk: BCBS Engagement And Execution Brian Buzzelli Executive Director, Head of Enterprise Data Management, Americas Nomura America Services Solving Big Data Mysteries With Smart Data Clues Jennifer Courant Head of Risk Systems and Technology for Risk Architecture Citigroup LEI: Creating Data Requirements For Your Organization David Newman Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy Wells Fargo Innovative Approaches For Risk Data Aggregation And Risk & Regulatory Reporting John A. Bottega Senior Advisor & Consultant EDM Council 2:45 Semantic Technology And Financial Standards: Creating Synergy Between Data Analytics And Regulatory Compliance Financial services companies want to develop new data analytics products and services for their clients. The increasing complexity and cost of global regulatory compliance diverts attention and resources from those efforts. The development of data standards, through industry partnerships like the Enterprise 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 enhance data governance David Saul Senior Vice President and Chief Scientist State Street Corporation

19 The Most Engaging Data Management Event Experience For Financial Services PAGE 19 Data Management, Regulations & Compliance Day Continued 3:05 Afternoon Refreshment & Networking Break In The Data Management Café 3:45 Panel Discussion: Data Licensing And Entitlement Compliance In The New Age Licensing has become quite a challenge. Its not firm specific, but licensing is part of the bigger challenges these days because the data can come into the firm through multiple ways. It s not just about the licensing and the contracts but it s also how to protect yourself against audits. This panel will explore licensing in the new age because some of the old licensing models haven t changed in 20 years. Impact of licensing data when models don t change but the technology has changed every 2 or 3 years. Data licensing contracting for various data content Assessing shifts in the industry to licensing constructs that move away from usage and move toward access Evaluating how the industry is reacting to challenges and bringing new data content to market Mary Langevin Vice President, Head of Market Data Commercial, Americas Nomura America Services Marcy Pike Senior Vice President Fidelity Investments 4:25 FIBO The Next Generation Data Standard For The Financial Industry The recent financial crisis triggered loud distress 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 instruments, concepts and terminology over what we had previously been doing using conventional approaches. The members of the Enterprise Data Management Council responded by developing the Financial Industry Business Ontology (FIBO). FIBO provides a common language using semantic capabilities to describe financial business concepts in ways that both humans and machines can understand. FIBO will provide the ability to semantically define and process data related to the structure and relationships associated with business entities, equities, securities, derivatives, loans, debt instruments, prices and financial processes. FIBO provides financial industry participants with capabilities to address risk and regulatory obligations (including the BCBS-239 Risk Data Aggregation Principles) as well as to harmonize data in support of internal operations. The underlying structure of FIBO includes foundational data concepts that will help organizations build their own ontologies and better manage the current explosion of data complexity. Why FIBO is so important to your firm and to regulators Understanding how FIBO uses semantic technology to describe business concepts, especially financial contracts Looking closer at how FIBO will be applied on the internet Exploring how your organization can use FIBO now How your organization can participate in the development of FIBO David Newman Strategic Planning Manager, Senior Vice President, Enterprise Architecture and IT Strategy Wells Fargo 4:45 End Of FIMA 2015 Have face-to-face discussions with your peers about your current challenges this March at FIMA.

20 The Most Engaging Data Management Event Experience For Financial Services PAGE 20 About Our Sponsors Alacra Website: 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: 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: 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 eclerx Website: 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 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 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 FactSet Website: 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 and follow us on Twitter: com/factset. Fenergo Website: 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