The one-day buy-side business and technology conference

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1 FREE attendance for qualified delegates from firms business and Buy-Side Technology North American Summit 2011 addresses the latest challenges facing executives in the front, middle and back office. Keynote speakers As the only editorially led, one-day, business and, Buy-Side Technology North American Summit 2011 provides a unique opportunity to network with your peers and exchange knowledge with industry experts. > High Frequency Trading > Algorithmic Trading > Dark Pools > Data Management > Risk Management > Regulation Keith Dennelly, Chief Information Officer, Asset Management, FIDELITY Speakers Christopher T. Rice, Senior Managing Director, Global Head of Trading, STATE STREET GLOBAL ADVISORS John Wysocki, Global Head of Trading Technology, STATE STREET GLOBAL ADVISORS Panel sponsors: Guy Fiumarelli, Director, LAZARD ASSET MANAGEMENT LLC Frank Fitzgerald, Partner & Director of Technology, O SHAUGHNESSY ASSET MANAGEMENT Simon Hazlitt, Cofounder, MAJEDIE ASSET MANAGEMENT Hosted by: Richard C. Kang, Chief Investment Officer & Director of Research, EMERGING GLOBAL ADVISORS LLC Randy Kelley, Senior Solutions Architect, Information Technology, RUSSELL Jeff Shortis, Chief Data Officer, PIONEER.com/na

.com/na Dear executive, Welcome to WatersTechnology s inaugural Buy-Side Technology North American Summit, an event that will provide you with the insights into the most pressing issues facing the

Providing the keynote address this year is Keith Dennelly, CIO of Asset Management for Fidelity Investments who has been charged with creating a blueprint for at the firm.

2 .com/na Dear executive, Welcome to WatersTechnology s inaugural Buy-Side Technology North American Summit, an event that will provide you with the insights into the most pressing issues facing the through high-quality editorial content and an excellent line-up of expert speakers. Providing the keynote address this year is Keith Dennelly, CIO of Asset Management for Fidelity Investments who has been charged with creating a blueprint for at the firm. After our roundtable, which will look more generally at major topics regulation, emerging markets, high-frequency trading and IT budgeting we will split the into two streams: front office and back office. Stream One, entitled The front office: Increasing the profitability of your trading desk, will discuss the impact of high-frequency trading, whether or not non-latency-focused strategies can be effective in a high-frequency world, and what lies ahead for dark pools and smart-order routing. Stream Two, The back office: Eking out efficiencies in your processes, will examine difficulties that have arisen as a result of exploding data volumes and how firms are trying to bring the back office into the front to best manage risk. The day will conclude with a roundtable on a topic that has been much-talked about over the past 12 to 18 months: Cloud computing. Whatever your role within your organization, we have a diverse array of panels and presentations at the Buy- Side Technology North American Summit that will provide you with valuable insights that can be applied directly. If there is one you are going to want to attend, this is it. I look forward to welcoming you on October 4. Yours truly, Who should attend Buy-Side Technology North American Summit 2011? Founders and Partners C-level Executives: Chief Technology Officer, Chief Information Officer, Chief Operating Officer, Chief Investment Officer, Chief Compliance Officer, Chief Risk Officer Directors / Vice Presidents / Heads of: Equity, Fixed Income, Credit, FX Trading, Portfolio Analytics, Portfolio Management,Technology, Operations, Investment Management Systems/ Technology, Trading Systems/Technology, Data Management, Enterprise Data Management, Risk Management, Performance Measurement, Investment Risk Management, Compliance A worthwhile, highly concentrated forum focussing on the current real time issues facing the buy side dealing desk. David Miller, Senior Dealer, INVESCO PERPETUAL Anthony Malakian Deputy Editor BUY-SIDE TECHNOLOGY

3 .com/na Morning program Registration and breakfast Welcome address Anthony Malakian, Deputy Editor, BUY-SIDE TECHNOLOGY Morning keynote address: IT blueprint for asset management Keith Dennelly, Chief Information Officer, Asset Management, FIDELITY Buy-side roundtable: Assessing the trends impacting strategy > Regulatory update: How is the being affected by the Dodd Frank rules > Emerging markets vs. developed markets: Examining market structure and liquidity access > Concerns about HFT share and its impact on the market > What the buy side expect from the sell side & IT providers > IT budget allocation: Which areas within the front, middle and back office will see greater investments? Moderator: Irene Aldridge, Managing Partner, ABLE ALPHA TRADING Tom Fortin, Managing Director, Chief Information Officer, BLACKROCK Jim Francis, CFA, Director, Portfolio Manager, DEUTSCHE ASSET MANAGEMENT Richard C. Kang, Chief Investment Officer & Director of Research, EMERGING GLOBAL ADVISORS LLC Michael J Levas, Founder & Chief Investment Officer, OLYMPIAN CAPITAL Morning break STREAM ONE: The front office: Focusing on the s profit centre Panel discussion: Evaluating the impact of high frequency trading (HFT) > HFT, no longer an outlier - just business as usual. > Evaluating whether HFT truly provides liquidity > The impact of HFT on price discovery and liquidity > Are latency arbitrage firms spoiling it for everyone else? > Evaluating your trading infrastructure to compete: Defining your best trading partner Moderator: Karim Taleb, Principal, ROBUST METHODS PARTNERS Josh Levy, Managing Director, TACTICAL ASSET MANAGEMENT Garrett Nenner, Managing Director, Global Markets, MOMENTUM TRADING PARTNERS LLC Case study: How to trade your non-latency strategy in a high frequency trading (HFT) environment Garrett Nenner, Managing Director, Global Markets, MOMENTUM TRADING PARTNERS, LLC Panel discussion: Shedding light on dark liquidity pools: How to effectively exploit smart order routing (SOR) > Determining the dark pool venues that offer the greatest liquidity > Is it better to have more options or few trusted providers? - Is consolidation a consideration? > Addressing issues around transparency and trading costs > Are there predatory behaviors in dark pools?: What should and should not be measured to protect your execution quality > How to make the most use out of SOR : What enhancements can be made to SOR to improve performance? Moderator: Michael J Levas, Founder & Chief Investment Officer, OLYMPIAN CAPITAL David Weisberger, Principal, TWO SIGMA Chris Willox, Director of Trading, FENIMORE Tim Decker, Product Manager, ADVENT SOFTWARE STREAM TWO: The back office: Eking out efficiencies in a changed operating environment Panel discussion: Getting your data management in check > Exploding data volumes, expansion of asset classes, and price transparency: Outlining the challenges faced in data management today > Utilising automated process to fully support regulatory compliance > It is not just sufficient to manage your data in the back office: The importance of controlling and monitoring how it is used once it leaves the database > Pros and cons of in-house versus outsourcing: How to achieve alignment between both Moderator: Jeff Shortis, Chief Data Officer, PIONEER Frank Fitzgerald, Partner & Director of Technology, O SHAUGHNESSY ASSET MANAGEMENT Guy Fiumarelli, Director, LAZARD ASSET MANAGEMENT LLC Ken Zockoll, Director of Content Development, FACTSET RESEARCH SYSTEMS Industry presentation: Speaker to be confirmed, please visit web site for updates Panel discussion: Performance measurement and new frontiers in risk > Defining the role of the performance team in the organisational structure > The trend of increased index vendor costs: Assessing the impact on expenses and the workload of an analytics team > Techniques and for measuring and monitoring different risks > In-house vs. out-sourcing: Measuring and controlling operational risk > Achieving integrated enterprise risk management: Addressing governance risk and compliance Moderator: Frances Barney, CFA, Managing Director, Performance & Risk Analytics, BNY MELLON ASSET SERVICING Jeff Feeney, Senior Vice President, Regional Head - Americas, Investment Risk & Analytical Services, NORTHERN TRUST Yvonne I. Pytlik, Chief Compliance Officer, DREMAN VALUE MANAGEMENT L.L.C

.com/na Afternoon program 12.50 Lunch break 1.

multi-asset trading desk > The underlining challenges for implementing one multi-asset trading desk globally Christopher T.

4 .com/na Afternoon program Lunch break 1.50 Afternoon keynote address: Technology implications for managing a global multi-asset trading desk in the current landscape > How the current economic and regulatory landscape is impacting a global multi-asset trading desk > The underlining challenges for implementing one multi-asset trading desk globally Christopher T. Rice, Senior Managing Director, Global Head of Trading, STATE STREET GLOBAL ADVISORS John Wysocki, Global Head of Trading Technology, STATE STREET GLOBAL ADVISORS 2.10 Plenary panel: The latest in algo trading and profiting from multi-asset trading > Extending algos beyond equities: Outlining the challenges > Integrating algorithms to support multiple asset classes > Factors to consider when deciding to buy or build algorithms > How to evaluate externally provided algorithms, and measure their performance Moderator: Marc Rieffel, Chief Technology Officer, Chief Operating Officer, WORLDQUANT LLC Arun Kaul, Chief Investment Officer, HILLSDALE INVESTMENT MANAGEMENT LLC Daniel S. Shaffer, President & Chief Executive Officer, SHAFFER ASSET MANAGEMENT INC Senior Representative, STREAMBASE SYSTEMS 3.00 Afternoon break 3.30 Plenary address: Speaker to be confirmed, please visit web site for updates Plenary panel: Assessing cloud computing for the : The pros and cons > Understanding the difference between public, private and hybrid clouds: What benefits do each provide? > Common concerns about the cloud: Clarifying issues around security and compliance > Assessing the emergence of various cloud and *aas providers: Factors to consider to ensure you select the right provider > The changing shape of the market: What does the future market look like? Moderator: Elliot Noma, PhD, Managing Director, GARRETT ASSET MANAGEMENT LLC Simon Hazlitt, Cofounder, MAJEDIE ASSET MANAGEMENT Randy Kelley, Senior Solutions Architect, Information Technology, RUSSELL 4.50 Closing remarks 5.00 Cocktail reception Registration > Complementary attendance for firms (hedge funds, pension funds, asset management firms and insurance firms) > Sell-side rate (investment banks) = $499 > Vendor rate (software/service providers,consultancies and exchanges) = $1499

5 .com/na Upcoming Waters Technology events in 2011 Chicago, September 13 London, November 22 Panel sponsors: Advent Software, Inc., a global firm, has provided trusted solutions to the worldís financial professionals since Firms in more than 60 countries count on Advent to run their mission-critical operations. Adventís software, data, services and tools help financial professionals improve client service and communication, allowing them to grow their business while controlling operational risks and costs. advent.com, December 6 Visit waters.com/events for more information. FactSet consolidates all the tools you need to monitor global markets, public and private companies, and equity and fixed income portfolios in a single, intuitive interface. With FactSet, you gain powerful analytics tailored to your workflow, the broadest scope of data available, and access to industry-leading client service. Our solutions are designed to fit seamlessly into your workflow, with a wide selection of customizable reports and charts that are relevant to your job function. factset.com Entries to the BST Awards 2011 are set to open on Friday 5 August. London, November 4 Visit waters.com/bstawards for further details StreamBase Systems, a leader in high-performance Complex Event Processing (CEP), provides software for rapidly building trading systems that analyze and act on real-time streaming data. StreamBase combines a rapid application development environment, an ultra low-latency high-throughput event server, and the broadest connectivity to real-time and historical data. StreamBase customers include quant-based hedge funds like PhaseCapital, CME Group, BM&FBOVESPA, SunGard, RBC Capital Markets, and BlueCrest Capital Management. These firms develop and deploy a wide range of applications for the Capital Markets, including high frequency algorithmic trading, FX dealing, smart order routing, and market data management. streambase.com Sponsorship opportunities For more information regarding sponsorship opportunities, please contact: Melissa Jao T: (+1) E: melissa.jao@incisivemedia.com David Phillips T: (+1) E: david.phillips@incisivemedia.com

6 .com/na Booking Form REGISTRATION DETAILS Please complete your details below in BLOCK CAPITALS title first name last name job title/position department company address city post/zip code country telephone fax please select one: $499 (sell-side rate) $1499 (vendor rate) complimentary attendance for firms** early-bird available up to 10 th august please select one: $349 (sell-side rate) $1249 (vendor rate) PAYMENT DETAILS Please invoice me I enclose a cheque payable to Incisive Financial Publishing Ltd. Please debit my: amex visa mastercard maestro valid from date: issue number: expiry date card no. account address if different from above signature date security code Please return this form in an envelope if you are including payment details I have read and agree to the terms and conditions below. 3366/11 Incisive Finanicial Publishing Ltd. VAT No: GB For companies in EU member states only: Please write your VAT/TVA/BTW/IVA/ MCMS/ MWST/FPA number here If you require an invoice please inform us stating whether you need an original or a fax copy. We accept company cheques, credit cards and bank transfers. Please allow a minimum of seven working days for a bank transfer to reach us and phone or fax us when it has been sent. Please state the event name and delegate name to which it relates. Signature: Date: REGISTER NOW Registration: Complete this form and send it to Conference Administration at: Incisive Financial Publishing Ltd Haymarket House, Haymarket, London, SW1Y 4RX, UK Telephone: +44 (0) Fax: +44 (0) conf@incisivemedia.com For US & Canada office registration Complete this form and send it to Conference Administration at: Incisive Media, 55 Broad Street, 22nd Floor,, NY 10004, USA. Telephone:(+1) Fax:(+1) conf@incisivemedia.com Warning: Buy-Side Technology 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 s, whether within the venue or otherwise. Data Protection: By registering for the Buy-Side Technology Summit, Incisive Media will send you further information relating to this event. In addition we will send you information about our other relevant products and services which we believe will be of interest to you. If you do not wish to receive other relevant information from Incisive Media via a particular medium please tick the following relevant boxes: mail phone fax Incisive Media will also allow carefully selected third parties to contact you about their products and services. If you do not wish to receive information from third parties via any of the following media please tick the relevant boxes: mail phone Please tick if you are happy to receive relevant information from carefully selected third parties by fax **Qualification for complimentary attendance is at the sole discretion of Incisive Financial Publishing Ltd.

Discover the latest value-enhancing and risk-minimising opportunities for the European indexing and ETF industry

23 March, London Discover the latest value-enhancing and risk-minimising opportunities for the European indexing and ETF industry This conference will equip delegates with the knowledge and expertise to