The purpose of this conference is to identify salient legislative and regulatory issues affecting the buyside.
Leading COOs and other senior officers with asset management firms will attend and help shape TBMA's 2005 joint advocacy goals with the investment community.
Agenda
Welcome
Tom Hirschfeld, COO, Investments, J. & W. Seligman
Chair of the Senior Executives Group
Introductory Remarks
Tom Sorbo, COO, Standish Mellon
Coordinator of the Washington, D.C. Conference
Overview of Legislative Developments
Remarks by Carter McDowell, Chief Counsel, House Financial Services Committee
Status of Relevant Regulatory Proposals
SEC Commissioner Cynthia A. Glassman
Keynote Address
What factors are likely to affect the financial markets in 2005?
Paul McCulley, Managing Director, PIMCO
Analysis of Broad Policy Issues and How Such Issues Affect the Financial Services Industry
Linda L. Lord, Esq., Managing Director, UBS
Outline of industry efforts to promote "best practices" concerning SAS 70
John Gidman, Executive Vice President, Loomis Sayles
Update on AMF/TBMA technology initiatives relating to the automation of swaps trading and processing
Joseph Sack, Executive Vice President, The Bond Market Association
Risk Management
This panel presentation by industry peers includes a case study on counter-party risk considerations and stress testing.
Compliance Issues: Email and Recordkeeping
Several email compliance professionals will explain buyside recordkeeping trends based on industry practices and regulatory requirements.
As indicated above, this event is geared exclusively to asset management professionals and sellside senior executives. One of the more significant benefits of this Conference is the opportunity to network with your peers. Thus, we encourage firms to ask their COOs and senior executives to sign up for this event before the end of the Holiday Season as space is limited. We also suggest firms to consider registering several of their top level folks to attend on January 27 and 28, 2005 given the high quality nature of both the subject matter being discussed at the Conference and the related networking activity that naturally occurs. Finally, we also look forward to providing an update to everyone on the 27th and 28th as to the status of the creation of the Association's Asset Managers Division. This new part of TBMA will enable asset managers to become members of TBMA and to participate directly in our programming and highly relevant information flow concerning the global securities and investment community and the bond markets in particular.
Registration Information
Registration Fees: $495
Fee includes dinner involving all attendees at the Capitol itself on the evening of January 27th.
Refund Policy: The Association will issue refunds, each subject to a $75 service charge, on cancellations received in writing on or before Thursday, January 20, 2005. No refunds will be issued on cancellations after this date. Substitutes are welcome at any time.
If you have any questions, please call Susan Weiss at 646.637.9293.
