See Page 11
For Group
Focusing On The Operational, Risk And Business
Issues Surrounding Reference Data Management
FIMA represents a singular point where the underlying symptoms
that contributed to the failure of the financial system meet –
transparency, timeliness, and comprehensiveness of data
March 21-23, 2011
Bridgewaters, New York, NY
www.fima2011.com
4 Reasons Why You Cannot Afford
To Miss FIMA 2011…
Cutting-Edge Content: It is increasingly important that data
managers understand and leverage the knowledge of data
consumers – enabling them to better align with the business,
risk and compliance.
Interactive Format: You can’t put a price on the value of
networking and brainstorming. Our roundtable discussions
allow the attendees to be more candid about the challenges
they face, and give them the opportunity to walk away with
fresh ideas.
New Speakers: Over 17 brand new participants on the agenda
means even if you’ve attended FIMA before, you’ll take away
brand new perspectives.
Workshop On Data Quality: How are you improving your data
if you don’t have the means to measure improvements? And
what are the keys to establishing an effective data quality
program? Join our first ever Data Quality workshop hosted by
RBC Capital Markets. See page 5 for details!
Sponsors:
Stay Ahead Of The Curve Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535
Register Today: Email: fima@wbresearch.com Visit: www.fima2011.com
Discount
Information
Over 17
Brand New
Speakers Including:
Northern Trust: Nick Helton, Global Head of
Security Reference Data
RBC Capital Markets: John Mulholland,
Global Head of Reference Data
Hartford Investment Management
Company: Timothy Ryan, Vice President, Head
of Performance Measurement
Fidelity Investments: Sean Howell, Vice
President, Data Management Services
MF Global: Kenneth M. Brady, Senior Vice
President, Chief Data Officer
HSBC: Duane C. Good, Head of Risk Systems &
Projects
BMO Financial: Richard Livesley, Head of
Governance, Quality and Metadata
Barclays Capital: Guillaume Complainville,
Director, Global Head of Strategy & Change for
Reference Data
BNY Mellon: Yekaterina Sheremetyev, Vice
President, Head of Data Quality Office
Wellington Management: Peter Fever, Vice
President, Investment Systems
Societe Generale Securities Services:
Olivier Rose, Head of Projects and International
Data Management
Organized by:
 AGENDA GLANCE

AT-A
DAY 1: MONDAY, MARCH 21
DATA QUALITY & RISK WORKSHOP DAY
8:15 Continental Breakfast & Registration 11:10 Kickoff of Interactive Roundtables (First 2 Tables)
8:45 Chairperson’s Opening Address 12:00 Lunch For All Attendees
9:00 Creating A Security Reference Data Quality Program - Where Do I 12:50 Continuation of Interactive Roundtables (Final 2 Tables)
Start? 1:40 Co-Presentation: Exploring Business And Technical Aspects Of Going
Nick Helton, Global Head of Security Reference Data, Northern Trust From A Legacy Hierarchy System To An Enterprise MDM Solution
9:35 Panel Discussion: Effectively Managing Data Quality Across The Levert James, Director, Counterparty Risk Information Management, Fannie
Enterprise Mae; Rong Hua, MDM Team Lead, Fannie Mae
Brian Lane, Senior Vice President, PME – Product & Pricing, Bank of America 2:15 Refreshment Break & Networking Opportunity
– Merrill Lynch; Thomas C. Crimmins, Managing Director, Risk Information,
JP Morgan Chase; Yekaterina Sheremetyev, Vice President, Head of Data 2:35 Data Quality Workshop: Operationalizing Your Data Quality
Quality Office, BNY Mellon Program – Getting To Day One
Paul Childerhose, Associate Director, Securities Data Services, RBC Capital
10:10 Refreshment Break & Networking Opportunity Markets; Ryan Koershuis, Partner, Helios Group
10:35 Supercharged Analytics 5:35 End of Day One
Rick Miller, Vice President, Credit Risk Data Solutions, CIBC

DAY 2: TUESDAY, MARCH 22

OPERATIONAL, RISK & BUSINESS ISSUES (PART 1)
8:05 Continental Breakfast, Conference Registration & Opportunity To View 1:05 Lunch For All Attendees
The Solutions Zone 2:00 Chairperson’s Afternoon Address
8:40 Welcoming Remarks 2:10 Transforming Data Into Valuable Enterprise Business Intelligence
Jarrett Spagnoli, Executive Director, FIMA 2011 Timothy Ryan, Vice President, Head of Performance Measurement, Hartford
8:45 Chairperson’s Opening Address Investment Management Company
9:00 Improving Reference Data Quality Through Six Sigma 2:45 Co-Presentation: Effective Data Strategies To Manage Enterprise Risk
Sean Howell, Vice President, Data Management Services, Fidelity Investments Ravi Vaidyanathan, Vice President, Asset Management & Capital Markets,
9:35 New Consumer-Centric Business Models; Getting Clients The Data They Hexaware Technologies; Ravi Varadachari, Global Head, RiskTech,
Need Hexaware Technologies
Dale Richards, President, North America, First Derivatives 3:20 Afternoon Roundtable Discussions
10:10 Establishing An Integrated Data Framework For Managing Risk 3:45 Refreshment Break & Opportunity To View The Solutions Zone
Duane C. Good, Head of Risk Systems & Projects, HSBC 4:15 Panel Discussion: Building A Strategy For Managing Global Legal
10:45 Refreshment Break & Opportunity To View The Solutions Zone Entity Data That Meets Your Risk And Compliance Standards
11:25 Panel Discussion: Exploring The Current State Of Data Management John Bottega, Chief Data Officer – Markets Division, Federal Reserve Bank
John Bottega, Chief Data Officer – Markets Division, Federal Reserve Bank of New York; Vik Delory, Vice President, Enterprise Data, Morgan Stanley;
of New York; Amy G. Harkins, Senior Vice President, BNY Mellon Asset John Place, Product Marketing Manager, Standard & Poor’s
Servicing, BNY Mellon; Nick Helton, Global Head of Security Reference 4:50 Taking A Risk-Based Approach To Establishing Customer Data
Data, Northern Trust; Rick Wilson, VP of Sales, Trillium Software Integration
12:00 The Data Management Regulatory State Of Affairs Richard Livesley, Head of Governance, Quality and Metadata, BMO Financial
Mike Atkin, Managing Director, EDM Council 5:25 FIMA 2011 Happy Hour
12:35 Morning Roundtable Discussions 6:30 End of Day Two

DAY 3: WEDNESDAY, MARCH 23

OPERATIONAL, RISK & BUSINESS ISSUES (PART 2)
8:15 Continental Breakfast & Opportunity To View The Solutions Zone
8:45 Chairperson’s Opening Address
9:00 Pulling Your Reference Data Strategy Together
Guillaume Complainville, Director, Global COO for Shared Services and Head
of Strategy & Change for Reference Data, Barclays Capital
9:35 Panel Discussion: Creating A Five Year Roadmap Towards EDM
Kenneth M. Brady, Senior Vice President, Chief Data Officer, MF Global;
Peter Fever, Vice President, Investment Systems, Wellington Management;
John Mulholland, Global Head of Reference Data, RBC Capital Markets
10:10 Market Transparency & Standards In Reference Data
Francis Gross, Head of Division, External Statistics, European Central Bank
10:45 Refreshment Break & Opportunity To View The Solutions Zone
11:15 Panel Discussion: Lessons Learned – Reducing Risk, Increasing
Transparency, And Improving The User Experience In Data
Management
Larry Scott, President North America, Ness Technologies
11:50 Data Governance – The Next Generation & The Increased Expectations
Tom Llaneza, VP Data Governance Operations & Programs, GE Asset
Management
12:25 Panel Discussion: The Convergence Of Data & Emerging Technology
Olivier Rose, Head of Projects and International Data Management, Societe
Generale Securities Services; Peter Fever, Vice President, Investment
Systems, Wellington Management
1:00 Lunch For All Attendees
1:50 Panel Discussion: Integrating Your Data Post-Deployment Of Your
Securities Master
John Simeone, Director, Product & Pricing Information Systems, Bank of
America – Merrill Lynch; Ross Brightman, Manager, Data Operations,
Wellington Management Company
2:25 Panel Discussion: Assessing The Cost Vs. Performance Model Of Off-
Shoring/Outsourcing Data Operations
David Goldberg, Managing Director, BNY Mellon; Mark Januszka, VP – EDM
Regional Head – Americas, HSBC; Olivier Rose, Head of Projects and
International Data Management, Societe Generale Securities Services
3:00 Data 2021: Opportunities And Challenges Over The Next Decade
Thomas C. Redman, Ph. D., “the Data Doc,” Navesink Consulting Group
3:35 Final Refreshment Break & Opportunity To View The Solutions Zone
4:00 End of FIMA 2011

2 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: fima@wbresearch.com Visit: www.fima2011.com

 Table Of Contents:
Who Will You Meet At FIMA? ..................below
Conference At A Glance ..................................2
Data Quality & Risk Workshop Day ...............4-5
Operational, Risk & Business Issues (Part 1) ...6-7
Dear Colleague, Operational, Risk & Business Issues (Part 2) ...8-9
About The Sponsors ......................................10
Data is critical to everything financial
institutions do. But for years, data
been stuck in the back office, unde organizations have About The Media Partners .............................10
r funded and underappreciated.
crises exposed financial institution Now that the financial
s to unprecedented levels of risk, data The Solutions Zone ........................................11
forefront of corporate strategy initia has emerged to the
tives. Conference Pricing & Team Discounts ............11
“FIMA delivers a uniquely clear focu Hotel Information ..........................................11
John Bottega, Chief Data Officer –
s on reference data challenges.”
Markets Division, Federal Reserve Registration Form ..........................................12
Bank of New York
FIMA represents a singular point whe
re the underlying symptoms that cont
failure of the financial system mee ributed to the
t – transparency, timeliness, and com
data. In order to better manage and prehensiveness of
reduce risk, financial institutions will
Who Will You Meet
quality of their data, and improve
the tools and processes that they use
need to improve the
to manage it.
At Fima 2011?
One place for financial institutions Already in attendance as speakers at FIMA
to start is FIMA 2011. FIMA focu
risk and business issues surrounding ses on the operational, 2011 are more than 35 leading reference data
reference data management. Atte
you’ll have access to the brains of nd the event, and management professionals, all covering topics
over 40 market leaders – as they deliv
participate on panels, and engage er case studies, that are of fundamental importance to your
audience members during the inter
active roundtables. enterprise-wide data management initiatives.
You’ll walk-away with usable strat This point alone ensures that the difficult
egies to better manage critical func
•
Reference data integration tions such as: question to answer at this event is ‘who’s not
•
Establishing data quality metrics here?’ rather than who is.
•
Legal entity exposure
•
Regulatory restructuring, complian If you are a Vice President, Director or
ce and reporting
•
Emerging market, outsourcing Manager of:
and off-shoring opportunities
•
Data governance modeling • Product & Pricing Data
•
Metadata management • Reference Data Management
• Client/Counterparty/Entity Data
As a data management profession • Corporate Actions
al, FIMA 2011 is critical to helping
roadmap for future success. Join you create your • Market Data
us and spend the most productive
and sharing best practices with key 3 days, networking • Data Operations
strategists from the world’s leading
financial institutions. • Data Services
We look forward to seeing you in • Enterprise Data
New York!
Best Regards, • Data Architecture
• Credit Risk
• Data Quality
•
Data Governance

Jarrett Spagnoli You do not want to miss this advantageous

Program Director networking opportunity!
FIMA 2011

You Asked And We

Delivered:
FIMA Attendees – Some Insight: • New Content: It is increasingly important
that data managers understand and
Percentage of FIMA attendees

The number one reason

70
leverage the knowledge of data
spending in that area

FIMA attendees come 60

consumers – enabling them to better align
back each year 50
with the business, risk and compliance.
■ 78% To Learn About 40
• New Format: You can’t put a price on the
New trends 30
value of networking and brainstorming.
■ 18% To Network 20
The roundtable discussions at FIMA are a
■ 4%
10
To Benchmark program highlight – but you can’t miss our
0
Solutions first ever data quality workshop hosted by
Over the next 12-18 months FIMA RBC Capital Markets. See page 5 for
Annual budget of attendees are planning to spend details!
attendees for external budget in the following areas
data management • New Speakers: Over 17 brand new
solutions/services ■ 33% Security Master Solutions participants on the agenda means even if
■ 41% Over $1.5 million ■ 63% Data Integration you’ve attended the show before, you’ll
■ 15% Over $750K ■ 26% Market Data take away brand new perspectives and
■ 19% Entity Data Solutions fresh ideas.
■ 26% $250K-$750K
■ 18% Under $250K ■ 48% Risk and Compliance

3
 DAY 1: MONDAY, MARCH 21
DATA QUALITY & RISK WORKSHOP DAY
Without a holistic approach to data management across the enterprise,
financial institutions will continue to struggle to obtain an accurate picture of
their investments and their true risk exposure in the market. They’ll also have
trouble fulfilling the requirements of regulatory compliance, especially as the
industry is now coping with tighter regulatory scrutiny.
How do you establish an effective data quality program? How do you measure
The roundtables are designed to be a continuation of the day’s content –
providing you with an informal opportunity to brainstorm about what you’ve
learned and to chat “off the record” with your peers. Each 25 minute session
will be focused on a specific theme within data quality, risk and metrics.
Sample roundtable themes include (but are not limited to):
• Managing Data Quality Across The Enterprise

high quality data? How can you overcome governance and implementation • Getting Metrics Right – Evaluating Data Quality Measurements To Enhance

challenges? Business Operations

• Using Metrics To Verify, Validate And Prioritize Your Business Objectives

All these questions and more will be posed, discussed, and debated during the • Evaluating Vendor Performance To Reduce Costs And Increase Data Quality

Data Quality and Risk Workshop Day at FIMA. • Establishing An Integrated Data Framework For Managing Risk

• Taking A Risk-Based Approach To Establishing Customer Data Integration

With a full day consisting of roundtables, panels and case-studies, you are
guaranteed to walk away with actionable insights into improving your With Table Moderators from:
own data quality program.

8:15 Continental Breakfast & Registration - Collecting data quality business rules
- Reviewing data quality results and managing exceptions
8:45 Chairperson’s Opening Address • Creating metrics and reports that business information owners
can use to improve data quality across the enterprise
9:00 Creating A Security Reference Data Quality Program -
Where Do I Start? 10:10 Refreshment Break & Networking Opportunity

Nick Helton 10:35 Supercharged Analytics

Global Head of Security Reference Data
Northern Trust Rick Miller
Vice President, Credit Risk Data Solutions
• Building organizational support CIBC
• Evaluating organizational needs
• Alternative solutions Success in managing risk depends upon predicting future
• Creating actionable data quality measures scenarios well enough to:
• Take actions to mitigate risk

9:35 Panel Discussion: Effectively Managing Data Quality • Recognize opportunities in the market

Across The Enterprise This topic focuses on the key enablers in the process in order to
Brian Lane speed overall time to value. In particular, Rick will discuss the role
Senior Vice President, PME – Product & Pricing of data warehouse “appliances” to accelerate the data
Bank of America – Merrill Lynch preparation, data exploration, and analytics portions of the
business process. This will be illustrated through a case study by
Thomas C. Crimmins CIBC, one of North America’s leading banks.
Managing Director, Risk Information
JP Morgan Chase 11:10 Kickoff of Interactive Roundtables (First 2 Tables)
Yekaterina Sheremetyev The Data Quality & Risk Roundtables:
Vice President, Head of Data Quality Office Each 25 minute session will be focused on a specific theme within
BNY Mellon data quality and risk. Only here will you brainstorm with your
Your company’s customer, product, financial, and supply chain data industry peers in a closed-door setting; taking away new ideas to
are not managed by your IT organization alone. Business information improve your data quality program.
owners, such as data analysts and data stewards, need to collaborate Table 1: Creating Financial Information Certainty For Basel
with the IT organization to make sure these critical data assets are Compliance
complete, accurate, consistent, and current across the entire company. Hosted by: Rick Wilson, VP of Sales, Trillium Software
This panel will discuss the challenges and lessons learned associated
with effectively managing reference data quality within their Table 2: Trends In Data Convergence; Reference Data,
organizations. Market Data, Time-Series Data
Hosted by: Dale Richards, President, North America, First
• Monitoring the capabilities that you need to manage to increase Derivatives
data quality
- Data analysis Table 3: Preparing For The Reference Data Impacts Of
- Data cleansing Regulatory Reform
- Data matching Hosted by: Fred M. Cohen, Group Vice President, Global Head –
- Exception handling Capital Markets & Investment Banking, Patni Computer Systems
- Financial reporting *There are 4 total tables.
• Ensuring that you have the IT infrastructure to support data quality
processes throughout your organization For more information on hosting a roundtable, call Jarrett
•
Fostering collaboration with business information owners and IT Spagnoli at 646.200.7463 or email him at
- Defining data quality dimensions jspagnoli@wbresearch.com.
- Building data quality scorecards *Check www.fima2011.com for updates on Moderators and table
themes.

4 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: fima@wbresearch.com Visit: www.fima2011.com

12:00 Lunch For All Attendees
12:50 Continuation of Interactive Roundtables (Final 2
Tables)
1:40 Exploring Business And Technical Aspects Of Going
From A Legacy Hierarchy System To An Enterprise
MDM Solution
Levert James
Director, Counterparty Risk Information Management
Fannie Mae
Rong Hua
MDM Team Lead
Fannie Mae
Data quality and availability is critical to operational efficiency, timely
compliance, client service and controlling risk. To achieve this, data
needs to be available across business and technology silos, and be
managed as an enterprise resource. Levert and Rong will discuss the
business and technical challenges involved in migrating from a legacy
environment to an enterprise-wide platform.
• Creating a close relationship between business and technology to
ensure optimal funding and architectural usability
• Identifying the challenges associated with converting a legacy risk
management system into a fully functional enterprise MDM
• Determining the solutions that delivers the business need and fit
into technology architecture
• Examining the lessons learned and critical next steps
2:15 Refreshment Break & Networking Opportunity
“I got a lot of value out of the informal
discussions during the roundtable day at
FIMA. People seemed a lot more candid
about the challenges they were facing and
we all shared ideas for how to address
them.”
Tracey Plantier, Managing Director, Babson
Capital Management
“Useful and informative when
seeking information on how
companies are approaching centralization
of reference data”
Natalie Williams, Business Analyst, HSBC
5:35
2:35 Data Quality Workshop: Operationalizing Your Data
Quality Program – Getting To Day One
Paul Childerhose
Associate Director, Securities Data Services
RBC Capital Markets
Ryan Koershuis
Partner
Helios Group
RBC Capital Markets’ Securities Data Services group is comprised of
almost 50 Operations people working in 5 geographical locations
responsible for stewardship of the firm’s reference data assets. In
2010, four years after their establishment, a new mandate was
established for Manager of Data Quality & Controls. This dynamic,
hands-on workshop will provide your team with first-hand insights
and take-away tools on how to effectively ‘Operationalize’ a Data
Quality Program within your existing Reference Data operations.
There has been much discussion on data management objectives and
the software solutions available to support a capability. These aspects
are important, but represent a portion of a comprehensive plan.
Operational planning is a critical aspect of an implementation –
activities, roles, interdependencies and tools must be defined to
ensure a data quality program manages what matters, leverages
existing operational capabilities and is valued by internal clients. Too
often, challenges quickly emerge when it comes time to “turn the
key” on a new data management function or group. This result is
EDM projects – already complex and highly visible – become more
costly and risky than need be or not delivering on the objectives
outlined at the start of the initiative.
Join Paul and Ryan in this 3-hour, interactive
workshop to find out how RBC Capital Markets
Vision
is ensuring operational readiness as they
continue to rollout a global EDM capability. Outcomes
Addressing this issue requires taking an
operational perspective by looking at the
outcomes and supporting processes
Processes
required to achieve the desired end Resources
state. Understanding what and how
staff are going to “work the data”
through the resolution life cycle is an important consideration of any
data management program.
Classic organizational design questions will be addressed,
including:
• What activities will contribute to desired outcomes?
•
What are the core activities of the group?
• Who will the group need to work with, rely
Clients
upon, and deliver to?
•
What are the inputs and outputs?
Firms already have well defined operations Ops
processes to support manual data
management such as security setups, DQ IT
corporate actions updates and data
repair. As a data management
program is implemented, new activities will be created such as
reconciliations or the detection of “suspect data” – often in large
volumes requiring bulk repair.
The process of “Getting To Day 1”, takes data management outcomes
and to drive the activities, tools and relationships to be integrated into
an operations function. This requires planning and decisions which
are unique to each firm. However, the questions that need to be
answered are common, and they’ll be outlined in this workshop.
End of Data Quality & Risk Workshop Day
5
 DAY 2: TUESDAY, MARCH 22
OPERATIONAL, RISK & BUSINESS ISSUES (PART 1)
8:05 Continental Breakfast, Conference Registration &
Opportunity To View The Solutions Zone
8:40 Welcoming Remarks
Jarrett Spagnoli
Executive Director
FIMA 2011
8:45 Chairperson’s Opening Address
9:00 Improving Reference Data Quality Through Six Sigma
Sean Howell
Vice President, Data Management Services
Fidelity Investments
Enterprise data quality programs are inherently risky because they are
long running and span several business functions. Applying Six Sigma
methodologies can help you better manage your EDM environment by
using techniques to identify root cause and focus on end-to-end
process to determine the highest priorities for improvement. Sean will
outline how his team applies Six Sigma methodologies and tools to
increase data quality and improve processes across their business.
• Removing waste and increasing efficiencies
• Managing through facts (Providing evidentiary proof)
• Utilizing objective tools to help set priorities
• Establish ongoing success measures
• Creating a common language across your firm
9:35 New Consumer-Centric Business Models; Getting
Clients The Data They Need
Dale Richards
President, North America
First Derivatives
This session will focus on global trends in data management to
consumer-centric “business models” from leadership skills, product
orientation, architecture, organizational issues, philosophy, technology
/ delivery methods, data transformation, agility and key drivers.
•
Data needs of consumers are divergent and specialized
• One-size fits all is not an option, it never was
• Use of data as competitive business differentiator means that needs
differ by function, content, biz rules, format, source, level of
enrichment, timeliness, purpose, quality, etc
• Data management is not about forcing clients to use “approved”
data, it’s about getting them the data they want
10:10 Establishing An Integrated Data Framework For
Managing Risk
Duane C. Good
Head of Risk Systems & Projects
HSBC
Most financial institutions are heightening their focus on managing
risk. HSBC has created an integrated organization for managing risk,
responsible for the data infrastructure that supports risk. Duane is
focused on creating an enterprise level function for managing data
and risk. In this session, he’ll discuss how they are going about
achieving that single, consolidated view of risk.
• Defining your problem – what are the challenges to data integration
within your firm?
•
Building a roadmap for getting a single, consolidated view of risk
across your firm
• Creating a data infrastructure as your key first step to managing risk
on an enterprise level
• Bringing customer data together into an integrated data warehouse
6 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: fima@wbresearch.com Visit: www.fima2011.com
10:45 Refreshment Break & Opportunity To View The
Solutions Zone
11:25 Panel Discussion: Exploring The Current State Of
Data Management
John Bottega
Chief Data Officer – Markets Division
Federal Reserve Bank of New York
Amy G. Harkins
Senior Vice President, BNY Mellon Asset Servicing
BNY Mellon
Nick Helton
Global Head of Security Reference Data
Northern Trust
Rick Wilson
VP of Sales
Trillium Software
The financial industry has been shaken by the credit and mortgage
fallout. Behind the scenes, data management executives could
have predicted this. So where do we go from here? Right now
no one has great, clean data. But it is all about “staying the
course”. Being committed, remaining tactical, continuing to build
support and educating, internally and externally. This panel takes
a look at where we’ve come from and where we should be going.
• How have data management priorities shifted as a result of the
heightened focus on risk?
• Are budgets still being scrutinized?
- How are you being smart with your resources?
- How are you reducing expenses but continuing to produce
high quality data that satisfies your internal users and your
regulatory reporting efforts around exposure?
• What further scrutiny has come about from the regulatory bodies?
• Assessing who is really driving data management initiatives
- Does the risk management side drive data improvement or
does the trading (business) side drive improvement?
•
Examining the evolving role of data governance and stewardship
- Who owns the data and why?
- How can data executives assert their governance priorities?
•
Looking at potential cost reductions with outsourcing and
offshoring
• Data management predictions: Where will we be in 3 years?
12:00 The Data Management Regulatory State Of Affairs
Mike Atkin
Managing Director
EDM Council
The newly created Office of Financial Research has crafted legislation
that will fundamentally change the practice of data management in
the financial industry. As this legislation shifts from framework to
implementation, financial institutions and solution/service providers
will need to evolve. Join Mike Atkin as he’ll unveil the data
management “State of Affairs” at FIMA 2011. He’ll discuss where
we are, how we got here, and where we’re heading.
12:35 Morning Roundtable Discussions
These tables are designed to be a continuation of the day’s
content – we’ll break the tables into specific topic areas – you can
participate in the table that seems most relevant to your
challenges.
Please visit www.fima2011.com for updates on table themes and
hosts.
 Table themes include (but are not limited to): 4:15
• Getting Metrics Right – Evaluating Data Quality Measurements To
Enhance Business Operations
• Managing The Funding Process For Data Management In A
Panel Discussion: Building A Strategy For Managing
Global Legal Entity Data That Meets Your Risk And
Compliance Standards

Turbulent Financial Market John Bottega

• Optimizing Data Management Through Strategic Alignment Of Chief Data Officer – Markets Division
Business, IT And Operations Federal Reserve Bank of New York
• Leveraging Your Basel II Compliance Program To Drive Data
Vik Delory
Initiatives Vice President, Enterprise Data
• Strategies For Collecting And Maintaining Global Legal Entity Data
Morgan Stanley
That Meets Your Risk And Compliance Standards
• EDM And The Roadmap Ahead John Place
• Integrating Data Across A Global Organization Poduct Marketing Manager
Standard & Poor’s
1:05 Lunch For All Attendees Understanding your client’s solvency and reliability are the keys to
understanding exposure and market risks. But for most financial
2:00 Chairperson’s Afternoon Address institutions, client data is held in a siloed environment and in
databases across the organization. So how are you meeting the
2:10 Transforming Data Into Valuable Enterprise Business challenges of the changing regulatory landscape that require accurate
Intelligence and timely counterparty data? Our panelists discuss best practices for
Timothy Ryan managing global legal entity data.
Vice President, Head of Performance Measurement • What is the right model for counterparty data accuracy?
Hartford Investment Management Company - Do you buy the data?
This session covers the following universal points and makes them - How often do you update it?
tangible by using an investment management firm as an example. - What is the technology needed to support it?
• Examining the challenges to integrating 3rd party counterparty data
• Focus on a holistic view of your company, its stakeholders, core into your systems
functions, critical duties and required insights • Overcoming the barriers of working with your legacy client databases
• Match your professional purpose to a sustainable value added • Ensuring the entity information is accurate, auditable and from
proposition to clients, your firm, its stakeholders and its purpose credible sources
• Strategic insights to your firm from you: Competing on Analytics & • Continually updating your data for corporate actions and other changes
other writings
• Turning investments in (industry standards, etc.) compliance into 4:50 Taking A Risk-Based Approach To Establishing
strategic advantage Customer Data Integration
2:45 Co-Presentation: Effective Data Strategies To Manage Richard Livesley
Enterprise Risk Head of Governance, Quality and Metadata
BMO Financial
Ravi Vaidyanathan
Vice President, Asset Management & Capital Markets Richard’s responsibility is to generate an enterprise view of data
Hexaware Technologies governance and quality within his firm. His end goal is on gaining
that 360 degree view of the customer. In this session, Richard will
Ravi Varadachari focus on how his firm has taken a risk-based approach to their data
Global Head, RiskTech management program. He’ll discuss the work they’ve done around
Hexaware Technologies controls, and how they’ve created an information assurance program
• Significance of Data Management in Managing Risk and the impact that it has had on data integration.
• Data management - Best Practices • Going beyond data quality through an operational risk lens
•
Data Strategies Roadmap •
Linking data quality to your business objectives
• Success Stories • Understanding the controls you need in place to effectively monitor
and measure data quality
3:20 Afternoon Roundtable Discussions
5:25 FIMA 2011 Happy Hour
3:45 Refreshment Break & Opportunity To View The
Solutions Zone After a day filled with constructive discussion, case studies and critical
information for your data management operations, RELAX, UNWIND and
make new friends and contacts at the Networking Cocktail Party! Take
advantage of this opportunity to network with the industry’s brightest
and most forward thinking leaders in a relaxed and informal atmosphere.
Bring plenty of business cards and expand your reference data network!
“Great speakers from high
profile companies giving short,
succinct presentations”
Rebecca Barnes, Information Systems,
M&G Ltd
Enjoy The Informal Evening Function At FIMA

7
 DAY 3: WEDNESDAY, MARCH 23
OPERATIONAL, RISK & BUSINESS ISSUES (PART 2)
8:15 Continental Breakfast & Opportunity To View The
Solutions Zone
8:45 Chairperson’s Opening Address
9:00 Pulling Your Reference Data Strategy Together
Guillaume Complainville
Director, Global COO for Shared Services and Head of Strategy
& Change for Reference Data
Barclays Capital
• Assessing current state of reference data through different lenses
• Defining the various facets of a successful Reference Data Strategy
• Organizing your teams
• Setting up the right governance model to face off with stakeholders
• Syndicating vision and securing funding
• Managing reference data projects in an effective manner
9:35 Panel Discussion: Creating A Five Year Roadmap
Towards EDM
Kenneth M. Brady
Senior Vice President, Chief Data Officer
MF Global
Peter Fever
Vice President, Investment Systems
Wellington Management
John Mulholland
Global Head of Reference Data
RBC Capital Markets
High-performance organizations depend on reliable enterprise-wide
data. But there are numerous challenges that can interrupt the
success of these multi-year programs. Our panel will walk you
through every stage of an enterprise-wide data management
program, from forming a strategy to implementing technology and
enhancing processes.
• Mapping your business priorities
- Realizing EDM is a longer-term initiative
- Getting away from trying to be all things to all people
• Making process more of the issue than data
- Ensuring your data is where it needs to be at the right time
•
Confronting the obstacles to achieving enterprise-wide views of data
across different lines of business
• Examining how to create uniform workflows that go across business
lines
• Looking closely at gaps in technology, risk and organizational buy-in
- Is EDM important to your CIO, CTO and CRO?
10:10 Market Transparency & Standards In Reference Data
Francis Gross
Head of Division, External Statistics
European Central Bank
Francis examines the current and future plans for developing a register
of instrument data and entity data, which together would provide the
frame of a data utility infrastructure. Join this interactive presentation
and give your views on how data can be most effectively standardized
across all securities and asset classes.
10:45 Refreshment Break & Opportunity To View The
Solutions Zone
8 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: fima@wbresearch.com Visit: www.fima2011.com
11:15 Panel Discussion: Lessons Learned – Reducing Risk,
Increasing Transparency, And Improving The User
Experience In Data Management
Larry Scott
President North America
Ness Technologies
Reference data has traditionally been the domain of the back office. But
in today’s environment of increased regulatory scrutiny, enhanced risk
management practices, and an intensified focus on transparency, a
brighter light is shining on reference data. Risk and data management
are now interwoven. With the impact on information mandates of Basel
III still not fully determined and costs for non-compliance deemed to be
substantial, it is likely that reference data management will remain in
forefront for financial services organizations. This panel will discuss
lessons learned in enterprise information and reference data
management and how they can be applied to address future challenges.
11:50 Data Governance – The Next Generation & The
Increased Expectations
Tom Llaneza
VP Data Governance Operations & Programs
GE Asset Management
The data governance philosophy has evolved considerably over the past
5-10 years. But have data governance organizations made a difference?
In this session, Tom will walk you through the journey that data governors
have taken over the past 5 years. He’ll highlight the progress that’s been
made, identify what he believes are the industries “new” challenges, and
lay the foundation for the next group of “data” universes which need to
be developed. Tom will address some tough questions, such as:
• Are you comfortable with our current position in the investment
process?
• Are we making a difference?
• Have we developed past the “PROJECT” stage and into the
“OPERATIONAL” stage?
• Have business expectations changed, and are we meeting the
expectations?
• What challenges does the industry face, and do they impact Data
Governance operations?
• Are we willing to take on the next challenge and increased
expectations?
12:25 Panel Discussion: The Convergence Of Data &
Emerging Technology
Olivier Rose
Head of Projects and International Data Management
Societe Generale Securities Services
Peter Fever
Vice President, Investment Systems
Wellington Management
Data quality and governance programs have greatly matured over the
past 10 years. Now data management technologies are evolving too.
Data architects are leveraging their technical backgrounds and
applying them to large-scale data storage models. Data virtualization
and cloud computing are impacting the way applications need to
access data. This panel will address the impact that new technologies
are having on traditional data management models.
•
Assessing the future state of technology for data management:
What technologies do you need to prepare for (short and long term)
• Cloud meta data: How open source technologies will enable and
change your business model
• Next generation architectures: Evolving the way that information
and supporting infrastructure is managed
• Utilizing technology to transform your data into business intelligence
1:00 Lunch For All Attendees
1:50 Panel Discussion: Integrating Your Data Post-
Deployment Of Your Securities Master
John Simeone
Director, Product & Pricing Information Systems
Bank of America – Merrill Lynch
Ross Brightman
Manager, Data Operations
Wellington Management Company
Implementing a security master will solve all of your problems, right?
Not exactly. Once your security master is integrated and deployed,
you’ll still be faced with integration challenges. Our panel examines
strategies for identifying and linking information about your securities,
creating an accurate, integrated view of your information.
• Ensuring that your data is properly cleansed
• Integrating information from various data sources into one master
record
• Strategies for getting beyond deployment and integrating your data
to downstream applications
• Overcoming your own internal politics when creating your rules of
survivorship
• Re-mapping your applications to point at your securities master –
not directly to the data vendor
• Overcoming structural differences in the data formats
• Feeding that information back to your applications to create a
consistent view of your enterprise data
• Utilizing that information as the impetus for gaining new
opportunities and more immediate signs of potential risks
2:25 Panel Discussion: Assessing The Cost Vs. Performance
Model Of Off-Shoring/Outsourcing Data Operations
David Goldberg
Managing Director
BNY Mellon
Mark Januszka
VP – EDM Regional Head – Americas
HSBC
Olivier Rose
Head of Projects and International Data Management
Societe Generale Securities Services
Financial institutions vary in what they believe they can outsource
and/or off-shore. Some believe that certain functions are too integral
to their organizations profitability and reputation to outsource or
“FIMA 2010 was 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, Market Information, Brown Brothers Harriman
offshore. Others believe that they can appropriately manage offshore
operations, and outsource with effectiveness (and at the right cost).
Our panel will discuss where to outsource, where to offshore, and
where to exercise caution.
• Evaluating off-shoring as an alternative to outsourcing: efficiency,
cost reduction and maintaining data security
• Dealing with common problems that arise
- Client confidentiality
- Employee retention – have you lost the ability to retain an
outsourced resource?
- Cultural challenges
•
What makes sense to offshore and what doesn’t?
• What makes sense to outsource and what doesn’t?
• How can you incentivize the resources that you have hired to work
with passion and dedication?
• How will off-shoring and outsourcing impact your EDM strategy?
3:00 Data 2021: Opportunities And Challenges Over The
Next Decade
Thomas C. Redman, PhD
“the Data Doc”
Navesink Consulting Group
The “data business” is changing so rapidly that it is hard to see to the
end of the month, never mind a decade ahead. But unless one gives
some thought to the future, one cannot possibly be prepared. It is
easy to see the big trends, particularly the continuing deluge of
increasing:
• Regulator demands
• Volume of data
• Complexity, and so forth
It is more difficult to spot the nascent trends and ideas (many of which
are outside financial services) that could fundamentally alter the
landscape. As one example, the notion that “data are assets” is
gaining currency in some sectors.
This session summarizes these ideas and trends. It speculates how
they will unfold, the challenges and opportunities they bring, and how
they will shape the data organization of the year 2021. Finally, some
timeless fundamentals will not change. These remain the foundation
for getting from here to there.
3:35 Final Refreshment Break & Final Opportunity To View
The Solutions Zone
4:00 End of FIMA 2011
9
 ABOUT OUR SPONSORS
First Derivatives plc is a leading provider of
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industry. Their innovative product suite of Trading,
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Our innovative products are designed to create, maintain and
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A proven supplier of on premises EDM solutions to the world’s largest financial institutions,
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For more information, visit: www.thegoldensource.com or follow on Twitter at
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Listed among Top 100 Global Providers of Financial Technology at the
FinTech 100 2010, Hexaware offers a complete range of Asset
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institutions, Investment Banks, Fund/ Investment/ Institutional Asset/
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Data and Hedge Fund Accounting. Hexaware focuses on delivering business results leveraging
technology & specializes in Business Intelligence & Analytics, Enterprise Applications,
Independent Testing and Legacy Modernization.
Ness Technologies (NASDAQ: NSTC) is a global provider of end-to-end IT
services and solutions designed to help clients improve competitiveness and
efficiency. The Ness portfolio of solutions and services consists of software
product development, including both offshore and near-shore outsourcing,
system integration, application development and consulting, and software distribution. With
ABOUT OUR MEDIA PARTNERS
Global Investment Technology provides business and technology
intelligence to institutional investors, pension plan sponsors, banks
and security firms which serve the money management community.
Editorial coverage focuses on strategic business interests of top-level decision makers as well
as their systems and operations professionals. For further information, please call (212) 370-
3700, fax (212) 370- 4606, e-mail info@globalinv.com or visit us at www.globalinv.com.
Guarantee Your Edge in the Alternative-Investment Arena
Institutional Investor is a leading international business to business
publisher, focused primarily on international finance. It publishes magazines,
newsletters and journals as well as research, directories, books and maps. It
also runs conferences, seminars and training courses and is a provider of electronic business
information through its capital market databases and emerging markets information service.
The EDM Council was founded in 2005 as a non-profit business forum for
financial institutions. The Council was created by number of global financial
participants to help cut through the hype of data management & address the
underlying business challenges associated with making transaction from silo-based (vertical)
to enterprise-wide (horizontal) operating structures.
Reference Data Review is the publication of choice for the reference
data management community. Executives who manage initiatives within
financial institutions and the data vendors and software providers that service them use RDR
to keep abreast of industry progress in delivering solutions to the regulatory and operational
challenges. See why Reference Data Review is the fastest-growing publication by signing up
for a free trial at www.referencedatareview.com or calling publishers A-Team Group on +44
(0) 20 8090 2055.
10 Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535 Email: fima@wbresearch.com Visit: www.fima2011.com
over 7,800 employees, Ness maintains operations in 18 countries, and partners with
numerous software and hardware vendors worldwide. For more information about Ness
Technologies, visit www.ness.com.
Patni Computer Systems is a leading provider of IT
services and business solutions, servicing clients from 28
international offices and 23 Global Delivery Centers across
the world. We leverage decades of outsourcing experience,
deep domain knowledge, technology skills, and a mature global delivery model to
provide exceptional ROI. Patni’s Banking and Financial Services is widely recognized as a
pioneer in delivering integrated IT and BPO solutions to meet the needs of financial
institutions globally. Among the areas of domain expertise within our Capital Markets
practice are reference data management, financial control and reporting, operational
fund accounting, and reconciliation services.
SmartCo is a leading provider of integrated data
management solutions for the financial industry. The
SmartCo DataHub allows financial institutions to integrate,
centralize, control and enhance market, reference and operational data. The solution
incorporates repositories for securities, third-parties, indexes and benchmarks, corporate
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cutting-edge technology has allowed our clients to accelerate design, integration and
deployment. SmartCo has been selected by large financial institutions globally as a
strategic solution to reduce their risks, optimize their processes, meet regulatory
expectations while enabling our clients to proactively manage and change their data
processes.
Standard & Poor’s: S&P Global Data Solutions supports pre- to
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data and analytics – much of which we originate. S&P content
suite includes: credit ratings, credit risk measures, terms &
conditions, evaluated pricing, structured finance data and cross reference data. Our data
sets integrate easily into your systems and workflows via Web-based service, Excel add-
in, and inbound/outbound data feeds enabling risk-driven investment analysis.
Trillium Software delivers unparalleled data quality
expertise to ensure that only “provably correct" data
drives risk management operations. Trillium Software’s
Data Quality Solution for Financial Institutions mitigates
the critical level of risk exposure that is unaccounted for in current risk models, BASEL II
reports, and RWA positions by making sure that the underlying information is accurate,
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defending the quality of data and empower the business owners of risk rating processes
to validate, measure, and manage all data fed into their risk models.
bobsguide, an AFP® company based in London, is the premier financial IT
solutions network, connecting financial IT buyers with suppliers. On
bobsguide, financial IT suppliers from across the globe interact with IT, treasury and
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REGISTRATION INFO
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(Select any package above and for an additional $250 gain access to • Optimize your time at the FIMA 2011
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CD-ROM Only $580 The Solutions Zone features companies that
provide technologies and services to help you
*Others includes all service providers and consultants to apply to financial institutions. No two discounts can be manage reference data. For your
financial institutions. WBR reserves the right to enforce combined. Payment is due in full at the time of
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Venue Information and product reference data. All of the
Bridgewaters participants in The Solutions Zone offer the
11 Fulton Street latest advances in reference data solutions,
Atop the Fulton Market Building management and implementation. Key
At the South Street Seaport solution areas include: legal entity data,
New York City, NY 10038 corporate actions, compliance & reporting,
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Situated in the heart of the historic South Street Seaport and minutes from the financial centralization and much more!
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For recommended hotels, visit our website www.fima2011.com available out there…the key is finding the
right one for you. Today, more than ever
Nearby Hotels:
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with any hotels. investment decisions that will produce
WALL STREET INN NEW YORK MARRIOTT FINANCIAL CENTER HOTEL immediate results. We’ve taken some of the
9 South William Street 85 West Street guesswork out of the process. Only
New York NY 10004 New York, New York 10006 companies leading the way in reference data
Phone - 212 - 747-1500 Phone – 212-385-4900
Fax – 212-385-9174 management will be allowed into The
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Heads of Reference Data from the world’s
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transparency, timeliness, and comprehensiveness of data

that contributed to the failure of the financial system meet –
FIMA represents a singular point where the underlying symptoms
4

Issues Surrounding Reference Data Management

Focusing On The Operational, Risk And Business
workshop hosted by RBC Capital Markets. See page 5 for details!
establishing an effective data quality program? Join our first ever Data Quality
have the means to measure improvements? And what are the keys to
Workshop On Data Quality: How are you improving your data if you don’t

you’ve attended FIMA before, you’ll take away brand new perspectives.
New Speakers: Over 17 brand new participants on the agenda means even if

away with fresh ideas.

candid about the challenges they face, and give them the opportunity to walk
brainstorming. Our roundtable discussions allow the attendees to be more
Interactive Format: You can’t put a price on the value of networking and

better align with the business, risk and compliance.

understand and leverage the knowledge of data consumers – enabling them to
Cutting-Edge Content: It is increasingly important that data managers

Reasons
Why You Cannot Afford To Miss FIMA 2011…
Email: fima@wbresearch.com Visit: www.fima2011.com
Call: 1.888.482.6012 or 1.646.200.7530 Fax: 1.646.200.7535

Information

See Page 11
For Group
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