Information Security Trading Platforms Big Data. Joseph Lodato, Chief Compliance Officer, GUGGENHEIM PARTNERS

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1 FREE attendance for qualified end users December 9, New York Marriott Marquis Hotel The largest gathering of capital market CIOs and CTOs in North America Market Surveillance Mobility Central Clearing Information Security Trading Platforms Big Data Speakers include: Afternoon keynote: Angela Yochem, Global Chief Information Officer, BDP INTERNATIONAL Bob Schmeider, Chief Technology Officer, SOCIETE GENERALE Joseph Lodato, Chief Compliance Officer, GUGGENHEIM PARTNERS Jean-Pascal Chauvet, Chief Architect for Equities, CREDIT SUISSE Dennis Smith, Managing Director, BNY MELLON Atul Dubey, Chief Operating Officer, Securities & Fund Services, CITI Sanjay Sharma, Chief Risk Officer, Global Arbitrage & Trading, RBC CAPITAL MARKETS Chris Vickery, Chief Operations Officer, NOMURA Lead sponsors: Presentation sponsors: Panel sponsors: Co-sponsor: Hosted by: waterstechnology.com/watersusa

2 Welcome Who should attend Waters USA 2013? Dear Colleague, On behalf of WatersTechnology I am pleased to invite you to Waters USA 2013, to be held on December 9 at the Marriott Marquis hotel in New York. This year, the agenda features two C-level sessions: one in the morning which will address the most urgent strategic technological challenges and opportunities affecting the financial industry today, and one in the afternoon which will signal the technology trends ahead and how you can best prepare. Waters USA 2013 offers a compelling opportunity to hear an out-of-industry afternoon keynote from Angela Yochem, Global Chief Information Officer, BDP INTERNATIONAL. Angela who was recently CTO of Astra Zeneca and has a background in financial services will explore the powerful concept of IT business model innovation, which is of growing importance in the ever complex business environment. The program comprises two separate streams: the trading stream will focus on trading strategies, market surveillance, complex event processing (CEP), single trading platforms, risk management and algorithmic trading, and the enterprise infrastructure stream which examines big data, information security, collateral management, OTC and central clearing and enterprise mobility. With a diverse range of senior executive speakers from global banks and asset management firms, this is an event not to be missed. We look forward to welcoming you on December 9. With kind regards, Victor Anderson EDITOR-IN-CHIEF, WATERS AND WATERS TECHNOLOGY Chief Information Officer (CIO) Chief Technology Officer (CTO) Chief Operating Officer (COO) Chief Security Information Officer (CSIO) Global Head of Technology Managing Director/Director/Vice President of Technology Chief Architect Head of High Performance Computing (HPC) Head of Grid Computing / Grid Program Manager Head of Electronic Trading Global Head of E-Commerce Head of Algorithmic Trading Head of Algorithmic Product Development Head of Quantitative Trading Strategy Head of Market Structure Head of Electronic Execution Head of Client Connectivity Head of Risk Technology Head of Compliance Technology Head of Operations Head of Trade Processing and Settlement Global Head of Market Data Chief Data Officer / Head of Data Management Head of Market Data Services Data Center Manager Head of Data Center Infrastructure Head of Data Center Strategy Head of Business Process Outsourcing (BPO) Head of Vendor Management Office (VMO) Head of Business Continuity Planning (BCP) / Head of Disaster Recovery (DR) What s in it for you? Hear the afternoon out-of-industry keynote address on IT Business Model Innovation by Angela Yochem, Global Chief Information Officer, BDP INTERNATIONAL Acquire strategic insights from the two exclusive C-level panel discussions including global organizations such as SOCIETE GENERALE, CITI, MORGAN STANLEY, NOMURA, UBS and AIG Gain competitive advantage in the coming year by learning best strategies to overcome your most urgent business and technological challenges and stay ahead of the competition Discover the hot topics and trends in the financial IT industry such as market surveillance, complex event processing, collateral optimization, information security, enterprise mobility, real time risk management in single-dealer platforms Network with leading technology and trading decision makers from global financial institutions across New York and North America Assess the current options and latest developments in big data, cloud computing, social media, emerging technologies and IT strategies waterstechnology.com/watersusa

3 Morning Program Registration and breakfast Welcome address: Lee Hartt, Group Publishing Director, WATERSTECHNOLOGY Keynote address: To be announced C-level discussion: Driving change and innovation: optimize your technology to transform your business strategy and reshape your customers Technology is your business partner: developing a culture to align disruptive technologies with profitable business practices Assessing operational and complex technological challenges to meet regulatory requirements: to what extent can technology ease the regulatory burden? Leveraging technology to turn compliance into competitive advantage The need for speed and agility: modernizing your technology infrastructure to increase your performance and deliver more results in a shorter time Rethinking IT to reinvent your business: how to respond to business demands for faster and increased information, greater transparency and improved risk management Managing multiple vendor relationships: engaging with long term partners and getting the best value out of your relationships Moderator: Victor Anderson, Editor-in Chief, WATERS & WATERSTECHNOLOGY Bob Schmeider, Chief Technology Officer, SOCIETE GENERALE Atul Dubey, Chief Operating Officer, Securities & Fund Services, CITI Tsvi Gal, Chief Technology Officer, MORGAN STANLEY Chris Vickery, Chief Operations Officer, NOMURA Correy Voo, Group Chief Technology Officer, UBS Exclusive industry presentation Morning break and opportunity to network STREAM 1 ON THE TRADING FLOOR Opening remarks: Joseph Lodato, Chief Compliance Officer, GUGGENHEIM PARTNERS Panel discussion: The evolving trading landscape: staying ahead of the competition in a fast changing and complex market In a fragmented FX market, how has liquidity sourcing taken on more importance? Competing in the post-dodd Frank markets: mapping your trading strategy to ensure your competitive advantage Transparency in the market: optimizing data sourcing to make evidencebased and efficient decisions. What tools can provide good visibility? Building synergies between your change management and regulatory departments: best practices for efficient collaboration to meet compliance requirements Automating back office processes for reconciliations to create efficiencies, reduce risk and headcount Moderator: Dennis Gonzalez, Asset & Wealth Management Technology, DEUTSCHE ASSET MANAGEMENT Rick Aiere, Vice President, IT IB Architecture, CREDIT-SUISSE STREAM 2 PROCESSES AND INFRASTRUCTURE Opening remarks: Joe Rosen, President, RKA Inc. ; Editor, The Handbook of Electronic Trading Panel discussion: Mapping your Big Data strategy to increase your performance and productivity Time is money: fast processing, storing and analyzing data in real-time time to respond rapidly to opportunities and threats Monetizing your Big Data investment: reviewing potential uses of Big Data in the capital markets to increase your profitability and grow your business Optimizing your data driven strategy: deploying increasingly sophisticated analytics to make more informed investing decisions Creating the real-time enterprise with a firm-wide view of all financial information: developing the capacity to anticipate future opportunities and risks Cloud Computing, NoSQL, what is next in storage technology infrastructure? Moderator: Nandan Amladi, VP, DEUTSCHE BANK Dennis Smith, Managing Director, BNY MELLON Allen Whipple, Co-Founder & Managing Director, QUARTET FS Industry presentation Industry presentation Panel discussion: Market surveillance & CEP Compliance vs. business vs. technology: who owns surveillance? Calculating firm-wide exposure across trading desks Where should pre-trade risks be implemented? How can technology help you to keep track of regulatory changes? What technologies are available? Complex Event Processing (CEP): identifying investment opportunities to stay ahead of competition Are all communications recorded and accessible to the US Government? Who owns the data? Joseph Lodato, Chief Compliance Officer, GUGGENHEIM PARTNERS Laura Hamilton, Managing Director, Investment Bank CTO, JP MORGAN Panel discussion: The long road ahead OTC & Central Clearing: cost effective compliance and technology differentiation to stay ahead of competition Greater transparency and better standardization: achieving collateral optimization and maximizing your efficiency Swaps futurization: Creating a liquid and efficient derivatives market and reviewing the impact on SEFs Overcoming the complexity of reporting requirements and managing the real cost of compliance Best practices to re-balance the business between OTC and other asset classes: deploying technology and processes to clear derivatives before moving to more complex asset classes Nadine Chakar, Executive Vice President, Global Head of Derivatives, BNY MELLON Supurna VedBrat, Managing Director, Co-head Electronic Trading & Market Structure, BLACKROCK Eric S. Wilson, Director, WELLS FARGO SECURITIES 1.05 Lunch break and opportunity to network

4 Afternoon Program 2.05 Panel discussion: Agile single-dealer platforms as a business enabler Using single-dealer platforms to provide highly customer-focused integrated workflows to attract and retain your clients Overcoming trading barriers: reaching global clients, accessing emerging markets and integrating liquidity Are there cost efficiencies in sharing trading technology platforms and frontends for multiple asset classes? Integrating OTC and exchange-traded products further into the electronic platforms Build vs. buy vs. hybrid approaches to overcoming technology challenges and increasing your business benefits Developing your business agility: responding fast to regulatory requirements what are the architectural and infrastructure challenges? 2.50 Moderator: Vishal Sood, Global Co-Head of Electronic Trading Technology, CITI GROUP GLOBAL MARKETS Jean-Pascal Chauvet, Director, Chief Architect for Equities, CREDIT SUISSE Alexander Nacht, Managing Director, JP MORGAN Patrick Myles, Chief Technology Officer, CAPLIN Industry presentation: Topic to be announced Senior Representative, STATE STREET 3.10 Panel discussion: The next round of challenges and opportunities for risk management in an automated and algo-driven environment Getting the right technology in the right place: capturing a real time picture of your risk exposure to secure your competitive advantage in the postfinancial crisis era Establishing firm-wide risk view: developing a holistic risk culture to increase transparency and improve risk reporting Lessons learned from equities algorithmic trading: best strategies for the new asset classes (FX, swaps, FI) Risk management technology: cutting-edge tools to enhance your infrastructure How can technology help you to automate your regulatory reporting, save time and stay compliant? Moderator: Daniel Schwartz, Managing Director, RBS Sanjay Sharma, Chief Risk Officer Global Arbitrage & Trading, RBC CAPITAL MARKETS Ulku Rowe, Managing Director, JP MORGAN Ravi Ramnath, Global Algorithmic Trading Technology, CITI 3.55 Afternoon break and opportunity to network 4.25 Afternoon out-of-industry keynote address: IT Business Model Innovation Angela Yochem, Global Chief Information Officer, BDP INTERNATIONAL Panel discussion: Implementing an intelligent information security strategy Availability implications: what happens when your provider shuts down? Reducing the risk of cyber-attack via a strong IT strategy Investing in business continuity planning: testing scenarios and assessing your points of weakness Permissioning: who has access at what time and to what kind of data? Encryption in the cloud: redefining technology s role in making the enterprise secure Leveraging hosted solutions: what are the current offerings? Are new technologies creating new threats of attack? Moderator: Anthony Vigilante, Managing Director, Head of Information Technology, MACKAY SHIELDS Michael Radziemski, Chief Information Officer, LORD ABBETT Industry presentation: Topic to be announced Suresh G. Nair, VP and Chief Architect, Financial Services, MPHASIS Panel discussion: Mobility as an operational strategy: no longer optional, but essential Best practices to deliver a single, coherent mobile strategy across the enterprise Accessing information anywhere and anytime: what are the next generation web technologies? The latest on virtualization: what is next with servers and desktops? BYOD policies and Mobile Device Management (MDM): managing the IT Infrastructure complexity and data privacy concerns Disaster recovery: maintaining business continuity and accessibility to data on any device Security issues: from hackers to lost devices Moderator: Graham Hill, Senior Vice President, CITI Stefan C. Ott, Global Head Distribution IT, UBS GLOBAL ASSET MANAGEMENT Nathan Boylan, Head of IT, LORD ABBETT 4.55 C-level panel: The outlook for A glimpse of the future The CIO in 2014 and beyond: What are the key challenges ahead and how will the role evolve? Human resources trends: building the skillset of the future. Is there a shift from expertise to multitasking qualities? Disruptive technologies (cloud, big data, mobile, social media) and the impact on IT roles, skills and responsibilities Investing in emerging technologies: how are these offerings affecting the markets and which will generate the greatest growth and productivity gains? As international exchanges are making significant investments into their matching engines to entice US and Euro investors, what will this mean in regards to regulatory arbitrage and further fragmentation? Mary Kotch, Chief Technology Officer, AIG Enrique Smith, Chief Information Officer, CIFC ASSET MANAGEMENT Thales Spellacy, Chief Architect, Business Alignment and Strategic Planning, TD Gil Tene, Chief Technology Officer & Co-Founder, AZUL SYSTEMS 5.40 Cocktail reception 7.00 American Financial Technology Awards 2013 FREE attendance for qualified end users Registration Standard price $1599 Early bird price (expires October 16) $1349 Qualified financial end-users* Complimentary *Delegates from investment banks, investment management firms, asset management firms, pension funds and hedge funds are entitled to complimentary attendance For more details and to register please visit waterstechnology.com/waterusa or [email protected]

5 Lead sponsors Presentation sponsors Panel sponsors Intel (NASDAQ: INTC) is a world leader in computing innovation. The company designs and builds essential technologies that serve as the foundation for the world s computing devices. Intel has a proven track record in the capital markets and banking technologies sectors. Our broad industry collaboration results in world class platforms and solutions based on Intel s microprocessors, networking, storage, graphics technologies and software; all designed for high performance and maximum reliability using open standards. intel.co.uk State Street Global Exchange brings together investment insights and independent platforms to deliver proprietary data, analytics, software and trading solutions to the front office. Our solutions streamline the investment process and convert big data to smart data, allowing clients to make better decisions, generate superior returns, and effectively manage data and risk. statestreet.com MphasiS an HP Company is a USD 1 billion global service provider, delivering technology-based solutions across industries, including Banking & Capital Markets, Insurance, Manufacturing, Communications, Media & Entertainment, Healthcare & Life Sciences, Transportation & Logistics, Retail & Consumer Packaged Goods, Energy & Utilities and Governments around the world. MphasiS integrated service offerings in Applications, Infrastructure Services and Business Process Outsourcing help organizations adapt to changing market conditions and derive maximum value from IT investments. mphasis.com Numerix is the leading provider of analytics software and services for structuring, pre-trade pricing and analysis, trade capture, valuation, and risk management, with support for commodities, credit, equities, fixed income, foreign exchange, inflation, and hybrid instruments. Founded in 1996, Numerix has over 700 clients and 50 partners across more than 25 countries. numerix.com Azul Systems delivers high-performance and low-latency Java to the financial industry. Proven in mission-critical deployments at Tier 1 firms, Azul products are the foundation for Java-based online, trading and low latency applications that require certainty of execution and the ability to deploy more robust in-memory models. Azul s flagship product, the Zing JVM, is the best JVM for financial services applications - designed and optimized to provide highly consistent and pauseless execution for high performance Linux and x86 deployments. azulsystems.com Caplin Systems provides web trading technology that enables investment banks, retail brokers and other broker/dealers to build high-performance low-latency web trading applications that deliver real-time pricing and execution to their clients over the internet.caplin is the market leader in single-dealer platform technology; the company s products serve over 100,000 endusers for firms including Barclays Capital, Citi, RBS and UniCredit. Caplin has offices in the City of London and New York. caplin.com Datawatch Corporation (NASDAQ-CM: DWCH) provides visual data discovery software that optimizes any data regardless of its variety, volume, or velocity delivering next generation analytics to reveal valuable insights for improving business. Its unique ability to integrate structured, unstructured, and semi-structured sources like reports, PDF files and EDI streams with real-time streaming data into visually rich analytic applications allow users to dynamically discover key factors that impact any operational aspect of their business. Organizations of every size, worldwide use Datawatch, including 99 of the Fortune 100. Datawatch is headquartered in Chelmsford, Massachusetts with offices in New York, London, Munich, Stockholm, Singapore, Sydney and Manila. datawatch.com Quartet FS provides business users with instant insight into operational processes for timely and context-aware decisionmaking. Using our real-time aggregation and analytics engine ActivePivot, business users are able to optimize their activity by extracting actionable intelligence from massive amounts of fast-moving data. Created in 2005, Quartet FS is a privately owned software vendor with offices in New York, Paris, London and Singapore. With over 30 live implementations in large international corporations, the company serves customers in various industries, including financial services. quartetfs.com Sponsorship Information If you would like to come on board as a sponsor for the Waters USA 2013, please contact: Shayna Hersh T: (+1) E: [email protected] Joseph Donato T: (+1) E: [email protected]

6 FREE attendance for qualified end users REGISTRATION Standard price $1599 Early bird price (expires October 16) $1349 Qualified financial end-users* Complimentary * Delegates from investment banks, investment management firms, asset management firms, pension funds and hedge funds are entitled to complimentary attendance HOW TO BOOK Online: waterstechnology.com/watersusa [email protected] Phone: (+1) VENUE Marriott Marquis Hotel 1535 Broadway New York USA TERMS & CONDITIONS Warning: Waters USA is a registered trademark, and the titles, contents and style of this brochure are the copyright of Incisive Media. We will act on any infringement of our rights anywhere in the world. Incisive Media. Cancellation: A refund (less 10% administration fee) will be made if notice of cancellation is received in writing three weeks before the event. We regret that no refunds can be given after this period. A substitute delegate is always welcome at no extra charge. Disclaimer: The programme may change due to unforeseen circumstances, and Incisive Media reserves the right to alter the venue and/or speakers. Incisive Media accepts no responsibility for any loss or damage to property belonging to, nor for any personal injury incurred by, attendees at our conferences, whether within the conference venue or otherwise.