NICSA & HKIFA. For more information visit NICSA 8400 Westpark Drive, 2nd Floor McLean, VA Tel:

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2 NICSA & HKIFA NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community. NICSA was established in 1962 as a forum for operations and shareholder servicing professionals in the mutual fund industry. Today, NICSA is a network of nearly 10,000 business professionals from within the investment management industry and the firms that support the industry, including mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services. The Association consists of more than 250 corporate member firms with over 600 member offices operating in major financial centers around the world. NICSA offers the most comprehensive range of services in the industry, allowing members to learn, network and share best practices locally, nationally and globally. For more information visit NICSA 8400 Westpark Drive, 2nd Floor McLean, VA Tel: Membership fees are surprisingly small, yet the benefits of membership are anything but. Hong Kong Investment Funds Association ( HKIFA ) is a non-profit-making organisation that represents the asset management industry in Hong Kong. We have two major roles, namely consultation and education. On consultation, we work closely with the authorities to relay the views of our members on issues that have implications for the asset management industry. On education, we spearhead initiatives to enable Hong Kong people to understand more about the risk/ return characteristics of mutual funds; and to use them effectively for retirement investment and other financial planning purposes. We have 46 fund management companies as full/overseas members. They manage about 1,300 SFC-authorised funds as at the end of April 2011, involving total assets of about US$1,000 billion. In addition, we have 62 affiliate and associate members. (

3 ALFI The Association of the Luxembourg Fund Industry (ALFI), the representative body of the Luxembourg investment fund community, has been operating in the interest of its members since Created in 1988, the Association today represents hundreds of Luxembourg domiciled investment funds and a wide range of service providers including custodian banks, fund administrators and managers, transfer agents, distributors, legal firms, consultants, tax experts, auditors and accountants, specialist IT providers and communication companies. Associate members from abroad use the Association as a privileged contact platform to the Luxembourg fund industry. In 2004, the membership was further extended to include asset management companies, thus completing the circle of professional firms represented in the asset management industry. ALFI s mission statement is to lead industry efforts to make Luxembourg the most attractive international center for investment funds. Its main objectives are to: Assist members in capitalising on industry trends ALFI s numerous Technical Committees and Working Groups continually analyse global industry developments as well as legal and regulatory changes in Luxembourg, the EU and beyond and the threats and opportunities these may constitute for the Luxembourg fund sector. Shape regulation A modern and innovative legal and fiscal environment is of key importance to defend and improve the competitive position of Luxembourg as a centre for the domiciliation, administration and distribution of investment funds. Its close contacts with the regulatory authority, the government and the legislative body provide ALFI with the opportunity to influence regulation by bringing valuable input when there is need to adapt the regulatory framework, adopt a new European Directive or create a specific regulatory framework for new products or services. Encourage professionalism, integrity and quality Investor trust is key to developing the collective investment business successfully. ALFI therefore strives to encourage professional behaviour, quality products and services and the integrity of all players involved by offering training courses designed for both novices and experts, developing codes of conduct, transparency and good corporate governance and by supporting efforts to fight money laundering. Promote the Luxembourg investment fund industry ALFI actively promotes the Luxembourg investment fund centre, its products and services by representing the fund sector in economic missions organised by the Luxembourg government around the world, actively participating in the principal meetings of the global fund industry and developing strong relationships with the national and international media. ALFI is a member of EFAMA, the European Fund and Asset Management Association, IIFA, the International Investment Funds Association and EFRP, the European Federation for Retirement Provision. For further information on ALFI, please visit our website

4 programme day Registration & breakfast Welcome & introduction Marc Saluzzi, Chairman, ALFI, Luxembourg Theresa Hamacher, CFA, President, NICSA, Boston Sally Wong, Chief Executive Officer, Hong Kong Investment Funds Association, Hong Kong Chairperson s introduction Noel Fessey, Global Head of Fund Services, Schroder Investment Management (Luxembourg) S.A., Luxembourg Opening speeches H.R.H. Prince Guillaume of Luxembourg H.E. Jeannot Krecké, Minister of the Economy and Foreign Trade, Luxembourg Government, Luxembourg The future of Europe and of the Euro Frank Velling, Chief Strategist, BankInvest, Copenhagen Refreshment break and visit of the exhibition area Global issues in Asset Management Paul Schott Stevens, President and CEO, Investment Company Institute (ICI), Washington CEO interviews: Post crisis - a stable equilibrium or not? Moderator: Thomas Seale, CEO, European Fund Administration, Luxembourg Panelists: Joseph C. Antonellis, Vice Chairman, State Street Bank, London Patrick Colle, CEO, BNP Paribas Securities Services, Paris Todd Ruppert, President, Investments Services, T. Rowe Price International Ltd., Baltimore Ben Zhang, Managing Director, Haitong International Investment Managers Ltd., Hong Kong Chairperson s wrap up Buffet lunch hosted by

5 programme day Chairperson s introduction Noel Fessey, Global Head of Fund Services, Schroder Investment Management (Luxembourg) S.A., Luxembourg Keynote speech Gérard Lopez, Managing Partner, Mangrove Capital Partners, Luxembourg A roadmap for the European Fund and Asset Management Industry Claude Kremer, Chairman, EFAMA upcoming regulations in 25 minutes Nathalie Dogniez, Partner, KPMG, Luxembourg Michèle Eisenhuth, Partner, Arendt & Medernach, Luxembourg Francine Keiser, Investment Management Group, Of Counsel, Linklaters LLP, Luxembourg Refreshment break and visit of the exhibition area Cross border success story Moderator: Michael Ferguson, Partner, Asset Management Leader, Ernst & Young, Luxembourg Panelists: Catherine Vaughn Deutsch, Managing Director, Global Head of Asset Management and Investors Relations, Highbridge Capital Management, New York Richard Garland, Managing Director, Cross Border Client Group, Investec Asset Management, New York Jörg Knaf, Managing Director, Head of Northern Europe, Natixis Global Associates S.A., Frankfurt am Main Dominik Kremer, Head of European Distributions, Threadneedle Portfolio Services Ltd., London Chairperson s closing remarks Cocktail Reception sponsored by

6 programme day Registration & breakfast Chairperson s introduction José-Benjamin Longrée, Managing Director, Citibank, Luxembourg RMB products: latest trends and opportunities Christina FY Choi, Director, Investment Products, Securities and Futures Commission, Hong Kong years of mutual funds in Asia: an assessment and prognosis Shiv Taneja, Managing Director, Cerulli Associates, London The future of UCITS in Asia Moderator: Freddy Brausch, Partner, Linklaters LLP, Co-Chair of the ALFI Legal and Regulatory Committee, Member of the ALFI Board, Luxembourg Panelists: Sally Wong, Chief Executive Officer, Hong Kong Investment Funds Association, Hong Kong Justin Ong, Partner, PwC, Luxembourg Shiv Taneja, Managing Director, Cerulli Associates, London Camille Thommes, Director General, ALFI, Luxembourg Refreshment break and visit of the exhibition area The new environment: The regulator s view Interviewee: Jean Guill, Director General, Commission de Surveillance du Secteur Financier, Luxembourg Interviewer: Rafik Fischer, General Manager, Head of Global Investor Services, KBL European Private Bankers, Luxembourg Focus on Investor protection: the way forward as seen by regulators, investor associations and the fund industry The view from the European Commission Tilman Lueder, Head of Unit, Asset Management, European Commission, Brussels Panel discussion Moderator: Denise Voss, Conducting Officer, Franklin Templeton Investments, Luxembourg Panelists: Jella Benner-Heinacher, Managing Director, Deutsche Protection Association (DSW), Düsseldorf Geoffrey Cook, Partner, Brown Brothers Harriman, Luxembourg Tilman Lueder, Head of Unit, Asset Management, European Commission, Brussels Chairperson s wrap up Buffet Lunch hosted by

7 programme day Chairperson s introduction José-Benjamin Longrée, Managing Director, Citibank, Luxembourg The History of the Luxembourg Fund Industry Moderator: Marie-Jeanne Chèvremont, Luxembourg Panelists: André Elvinger, Luxembourg Patrick Zurstrassen, Luxembourg Jean Hamilius, Luxembourg Vision of the future of the Luxembourg Fund Industry Marc Saluzzi, Chairman, ALFI, Luxembourg Refreshment break and visit of the exhibition area Staying afloat - managing today s flood of regulation Moderator: Jacques Elvinger, Partner, Elvinger Hoss & Prussen, Luxembourg Panelists: Joanna Cound, Managing Director, Government Affairs & Public Policy, Blackrock, London Gerhard Fusenig, Head of Multi Asset Class Solutions, Equities and Fixed Income, Head of Asset Management Switzerland, Credit Suisse, Zurich Stefan Gavell, Executive Vice President, Head of Regulatory, Industry and Government Affairs, State Street, Boston Jean-Michel Loehr, Chief Industry and Government Relations, RBC Dexia Investor Services, Luxembourg Deep dive into distribution Moderator: Lou Kiesch, Partner, Deloitte, Luxembourg Panelists: Sheenagh Gordon-Hart, Client and Industry Research Executive for JPMorgan Worldwide, London Rob Lay, Managing Director, Head of Distribution Partners Europe and Middle East, UBS Global Asset Management, London Markus Miederhoff, General Counsel Europe, Allianz Global Investors, Munich Chairperson s closing remarks

8 conference information Venue: Parking: Registrations: Conference fees: Hotels: Nouveau Centre de Conférences Kirchberg 4, Place de l Europe, L-1499 Luxembourg Please use the Place de l Europe car park. Taxis and private cars are only allowed to stop for drop off. There are no parking spaces in front of the venue. For a detailed access plan including parking facilities, please refer to our website: Registration is managed by Parthen R&S. For any requests concerning your registration please contact: Parthen R&S - Registration office P.O. Box 25, NL-1180 AA Amstelveen, The Netherlands Phone: , Fax: registration@parthen.nl Please refer to the Fees & VAT Legislation information page. Conference fees include full access to the booked conference sessions, the exhibition area and lunch for one delegate as well as one conference documentation package. Fees do not include travel or hotel accommodation. A 10 discount is granted for online registrations: (conference section). For group reservations and special group fees, please contact Parthen R&S. Partner hotels of our conference: For special accommodation rates at our partner hotels, please refer to our website (conference section). For other hotels or tourist information you may visit Sponsorship & Exhibition: Internet corner: Please contact events@alfi.lu or visit our website Facilitated by

9 registration conditions Confirmation and Payment: Your registration is valid for one delegate only. An confirmation will be sent upon receipt of registration. The invoice and conference information will be sent by . Conference fees must be paid prior to the event. Full pre-payment or a credit card guarantee is required. See payment options page. Early Bird Fee: Is only applicable if your payment is made by 1st August After this date, the normal fee applies. Conference Attendee List: Name changes/substitutions: Cancellations: Late registrations: Registrations received by 16th September 2011 will be listed on the printed delegates list given to all attendees. Please send a written notice to the registration office Parthen (details on previous page) by 16th September 2011 in order to have the correct name appear on the printed delegates list. The 2 days-package-deal is for one specific delegate only. Splitting the package between 2 people (1 day each) will be subject to a charge of 300. Part-time substitution is not possible. Must be made in writing to the registration office Parthen. If the cancellation is received by 16th September 2011, reimbursement of the registration fee, minus a 50 handling charge will be made. For cancellations received after this date, or if registrants fail to attend, the full cost is due and no refund will be made. Registrations made after 16th September 2011 are welcome (subject to availability), but will not be listed on the printed delegates list. A credit card guarantee is required as the full fee is due upon receipt of your registration number. Conference Organiser: ALFI Association of the Luxembourg Fund Industry Phone: Fax: Web: New address as from 20 May 2011: 12, Rue Erasme - L-1468 Luxembourg Contact: ALFI events team; events@alfi.lu For the access map, programme, hotel and other information, please refer to (conference section).

10 fees/payment options Conference fees must be paid prior to the conference. All payments are to be made in Euro. Please quote name, company and invoice number for each attendee. 1) By bank transfer to the following bank account: ING Bank Luxembourg - 52, Route d Esch - L-2965 Luxembourg Account holder: Stg. Parthen R&S Derdengelden BIC/Swift Code: CELLLULL Account number: IBAN LU ) By Credit Card: Please register online and choose the credit card payment option. For registrations by fax who wish to pay by credit card, please contact the registration office «Parthen». Invoice address: An invoice will be ed to the invoice address contact provided at registration. VAT will be applied according to the new VAT legislation. fees & vat legislation Fees *: Day 1 or Day 2 Package: (Day 1 & 2) Non-Members ALFI/NICSA/HKIFA Members *** Early bird rate ** Normal rate Early bird rate ** Normal rate ,470 1,570 1,260 1,360 * Fees are subject to 3% VAT. ** Early Bird Rate for registration payments made by 1st August *** In order to benefit from the member rate, the invoice has to be addressed to the member company. VAT Legislation VAT applies in accordance with European regulation. Please complete the VAT Number section according to one of the following options: For companies within the EU: 1. For registrations from a VAT registered company it is mandatory to provide a VAT number (for reporting purposes) in order to process your registration. 2. For registrations from companies that are not VAT registered - please mark N / A in the VAT number section/field. For companies outside the EU: 3. For registrations received from all companies outside the EU, it is not mandatory to provide your VAT number, but please mark Non EU in the VAT number section/field.

11 registration form PLEASE COMPLETE IN BLOCK CAPITALS First & Last Name: r Mr. r Ms Title: Department: Company: Street: ZIP-Code, City: State/Country: for confirmation : Phone: Fax: Remarks: r Day 1 r Day 2 r 2 Day package FEES and VAT legislation: Please refer to previous page. Important: In order to benefit from the member rate, the invoice has to be addressed to the member company. Completing the VAT field is mandatory. The VAT number provided must be that of the company to be invoiced. Invoice address: Company: VAT number: see previous page r ALFI/NICSA/HKIFA member (please check, if applicable) Street: ZIP-Code, City: State/Country: for sending invoice: I herewith register for the above mentioned event and confirm that I have carefully read and accept the registration conditions and VAT information set out in this document. Date: Signature: Register by fax: Register by registration@parthen.nl

12 sponsors alfi association of the luxembourg fund industry Tel: Fax: , rue Erasme L Luxembourg

UCITS IV introduced significant changes to UCITS management companies and to selfmanaged

UCITS IV introduced significant changes to UCITS management companies and to selfmanaged Dear Fund Industry Professional, The Association of the Luxembourg Fund Industry, ALFI, together with the Luxembourg Association of Risk Management, PRiM, have the pleasure of informing you of the third