SUNDAY, NOVEMBER 5 MONDAY, NOVEMBER 6

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1 SUNDAY, NOVEMBER 5 12:00 pm Registration & Information Desk (12:00 pm 7:00 pm) 12:30 pm Pre-Conference Activities (Golf; Everglades) 2:00 pm Pre-Conference Activity (Boca Brews & Burgers Tour) 7:00 pm Welcome Reception & Dinner, Grand Pre-Assembly 9:30 pm After-Hours, Marina Boardwalk MONDAY, NOVEMBER 6 7:30 am Registration & Information Desk (7:30 am 5:00 pm) 7:30 am Networking Breakfast, Grand Pre-Assembly 8:45 am Opening Keynote - Peter K. Lambertus, President and CEO, Charles River Development, Grand Ballroom 9:30 am Coffee Break, Various Locations 10:00 am Demo Center (10:00 am 5:00 pm), Grand Ballroom: Salon G & H Compliance 10:00 am Multi-Asset Using the Manager Workbench (MWB) for portfolio analysis and construction Fully integrated risk measurement: ex-post, ex ante, factor model integration What-if analysis including pre-trade risk, compliance with room-to-buy, and scenario analysis Historical portfolio analysis via point in time snapshots and performance attribution Multi-Asset - State of the Industry Accessing global liquidity venues Asset-specific workflows Using trade history to improve decision making Compliance What s New Industry needs and new monitoring capabilities Shareholder disclosure form generation Room-to-buy analysis prior to pre-trade compliance Checking compliance at time of placement Best Practices for High Quality Data Feeds, features and services to get the most out of Charles River IMS Blending vendor-direct data with client data Charles River Data and Data Mgt Services Charles River IMS Data Mgt Platform 11:00 am Managing Credit Bond Portfolios Credit focused risk analysis and portfolio construction using the MWB Leveraging out-of-box configurations Issuer/ticker exposure reports with embedded order generation New issue workflow improvements Stress testing via credit shifts Fixed Income Overview Accessing global liquidity venues and alternate trading systems Optimizing counterparty selection based on firm trade history Satisfying MiFID II requirements for demonstrating best execution Compliance Services Overview Rule Advisory Service Global Shareholder Disclosure Service Compliance as a Service Investment Book of Record (IBOR) Overview of IBOR business cases and capabilities Reconciliation workflow automation Standard IBOR capabilities now in SaaS implementations

2 12:00 pm Networking Lunch, Grand Pre-Assembly MONDAY, NOVEMBER 6 (continued) Compliance 1:15 pm Multi-Asset Fund Workflows Multi-Asset requirements by client type Multi-Asset workflows: Exposure analysis, cash allocations, and overlay hedging Decision Support for Multi-Asset considerations IBOR s role on the Multi-Asset desk 2:15 pm Scenario Analysis Macroeconomic stress scenarios Correlated factor-based scenarios Horizon analysis for hedge validation 3:15 pm Coffee Break, Various Locations 3:45 pm Best Practices for Deploying the MWB Client focused New Manager Workbench deployment System consolidation Strategies and challenges in converting from old MWB to new MWB Future deployment plans Buyside View on Market Liquidity, Best Execution and the Regulatory Landscape Pre-Trade Price discovery and analysis Capturing Best Execution Execution and broker performance venue integration Equity & Exchange Traded Derivatives Workflow enhancements Trade Analytics Price Snap Improvements Futures and Option Chains Market Data in Workflows Using Real time market data and analysis tools to improve execution quality Market Data Alerts (Security and Order) and Market Data Views The Real Time Quotes View OTAS Tech Integration Bloomberg Launchpad integration 4:45 pm One-on-One s with Client Teams, Regional Meetings, Networking Time 7:00 pm Reception & Dinner, Grand Lawn 9:30 pm After-Hours, Cathedral Compliance Monitoring: From Pre-Trade to As-Of Creating a full lifecycle compliance program Techniques for handling open orders, missing data, and other operational issues The role of As-of Compliance in your compliance program Monitoring Exposure Best practices for exposure measurement Aggregating, netting and hedging Regulation and instrument-specific considerations Meeting Global Shareholder Disclosure Obligations Monitoring and rule-writing best practices Using the Global Shareholder Disclosure workspace Regulatory form generation Managing Collateral & Margin Requirements Introducing the Charles River Collateral Management solution Monitoring and tracking margin calls Pledging collateral Margin estimation and forecasting Current state and next steps Charles River Data Service Global, multi-asset coverage Lower data solution cost New security setup Security master, issuer, price, curves Benchmarks, Corporate Actions Transitioning to Software as a Service (SaaS) Industry momentum to SaaS Competitive and cost implications for clients SaaS drivers (frequent upgrades, minimized testing, better data, operations efficiencies & reliability) Transition risk minimization Upgrading approach

3 TUESDAY, NOVEMBER 7 7:00 am 5k Fun Run, Meet at Registration Desk 7:30 am Registration & Information Desk (7:30 am 5:00 pm) 7:30 am Breakfast, Grand Pre-Assembly 8:30 am Demo Center Open (8:30 am 5:00 pm), Grand Ballroom: Salon G & H Compliance/ Wealth 8:30 am Charles River Prepayment and Factor Models Introducing the new Charles River mortgage prepayment model and factor model framework Business drivers Overview and methodology Prepayment results Factor-based investing strategies Update on Charles River s MiFID II Solution Trade & Transaction Reporting with partner APAs and ARMs Achieving best execution using Fixed Income execution analysis and Equity TCA Research commission management Deployment options Wealth Management Solution Showcase The latest Wealth Management capabilities for the front and middle office: Portfolio and model management workflows Wealth Hub Performance attribution for multi-sleeve products Position and transaction reconciliation for multi sleeve accounts with back office systems Data Management, Validation and Remediation Blending sources to create a gold copy Supporting Charles River IMS and other applications with EDM capabilities within Charles River IMS Data validation and remediation 9:30 am Multi-Asset Valuation and Analytics Valuation of illiquid and derivative instruments Sensitivity analysis Exposure-weighted portfolio analytics Global FI and OTC derivative coverage Ask the Experts: MiFID II MiFID II implementation perspectives from the buy-side, sell-side and vendors Common questions around data capture, APAs and ARMs Demonstrating best execution across asset classes Commission management concerns and considerations Wealth Management Industry Challenges & Opportunities Minimizing managed account performance dispersion Keeping up with changing regulatory requirements Meeting client demands for product innovation SaaS Operational Goals, Changes and Improvements Transitioning from Infrastructure as a Service (IaaS) to SaaS Ongoing method for increasing the frequency of upgrades Minimization / elimination of upgrade testing Customization policies and control Issue resolution and reliability 10:30 am Coffee Break, Various Locations 11:00 am Managing Interest Rate/Inflation focused Portfolios Interest rate risk analysis Focused analytics reporting with key rate duration views/construction Reacting to rate risk changes via hedging/ re-positioning Scenario analysis with customizable curve shifting Cash & FX Management Cash Flow Forecast (CFF) enhancements and workflows Desk-specific requirements FX Netting Currency Restrictions & Cash Flow Offsets Regulatory Update & Industry Trends Liquidity Risk Management Report Modernization Future Regulations Firm Discretion & Managed Accounts Managing discretionary accounts (SMAs and UMAs) Product suitability for client portfolios External manager communication Preventing model proliferation while allowing customization of product offerings Performance Measurement & Attribution for Middle Office Managing GIPS composites Asset class-specific methodologies Streamlining PMA processes Product roadmap

4 12:00 pm Networking Lunch, Grand Pre-Assembly TUESDAY, NOVEMBER 7 (continued) Compliance/ Wealth 1:00 pm Incorporating Risk into the Investment Process Using Value at Risk and Expected Shortfall to manage risk Ex-ante risk using factor models Smart beta and other factor-based strategies Portfolio optimization 2:00 pm Equity and Equity Derivatives Equity Portfolio Manager reporting including what-if enhancements Targeting/rebalancing/exception based workflows Risk factor exposures and optimization Equity derivative workflow improvements 3:00 pm Coffee Break, Various Locations 3:30 pm Portfolio Managing risk in multi-asset portfolios, regulatory and industry drivers The role of timely, accurate analytics for understanding risk in derivative-heavy institutional portfolios Factor models in the buy-side investment process: managing risk, portfolio optimization, factor-based attribution Compliance Rule Library Best Practices Creating and managing an efficient rulewriting lifecycle Tracking changes and ensuring auditability Expression-writing tips to minimize the number of rules in your library OTC Derivatives Overview of the latest developments in regulation and market structure Discuss new trading opportunities and operational challenges in the industry Understand how CRD OTC Derivatives solution supports trading initiatives Commission Management for Equity & Exchange Traded Derivatives Unbundling commissions to separately track execution and research commissions Managing to commission targets Commission dashboard Manual commission workflows 4:30 pm One-on-One s with Client Teams, Regional Meetings, Networking Time 5:00 pm Shopper s Shuttle to Mizner Park 7:00 pm Reception & Dinner, Garden Pool 9:30 pm After-Hours, Shuttles to Mizner Park Rep As PM & Rep As Advisor Deployment of advisor-driven strategies Implementing high conviction investment themes Creation and assignment of models Monitoring and handling portfolio drift Managing household relationships Beyond : IBOR, Performance Measurement & Manager/Sponsor Communication Capabilities for supporting wealth managers and sponsors with: IBOR Performance Measurement Surveillance/Compliance Wealth Communications Hub Ask the Experts: Wealth Management Charles River Product Managers and specialists answer questions on Charles River s Wealth Management Solution Client Best Practices for SaaS Rationales for adopting a SaaS-based delivery model Implementations Improvements realized from transitioning to SaaS Upgrade frequencies Data implications Real World Data Experiences How clients bring together vendor data Nuances of blending data sources within Charles River IMS Methodology and best practices combining the Charles River Data Service and Data Management Service

5 WEDNESDAY, NOVEMBER 8 7:30 am Registration & Information Desk (7:30 am 12:00 pm) 7:30 am Breakfast, Grand Pre-Assembly 8:30 am Demo Center (8:30 am 11:30 am), Grand Ballroom: Salon G & H Compliance 8:30 am Performance Measurement and Attribution Incorporating PMA into the portfolio manager s workflows: Granular bottom-up attribution: selection vs allocation Factor-based attribution Performance analysis 9:30 am Ask the Experts: Multi-Asset Charles River Product Managers & specialists answer your questions related to multi-asset portfolio management. 10:30 am Coffee Break, Various Locations 11:00 am Managing Portfolio FX Exposures Overview of FX management in the Manager Workbench FX dashboards and analysis Day in the life FX improvements Supported instruments for FX management (ETD & OTC futures, forwards, options) Ask The Experts: Multi-Asset Charles River Product Managers & specialists answer your multi-asset trading questions Money Market Capabilities and workflows for managing money market instruments and a demonstration of the new Money Market Workspace Investment Decision & Trade Auditability Capturing PM intent Capturing data across the trading lifecycle Challenges of multi-day orders 12:00 pm Take-away Lunch and Conference Concludes, Grand Pre-Assembly SEC Reporting Modernization Discuss SEC initiatives including: Form ADV changes SEC Enforcement and Oversight Compliance program review Client Advisory Meeting Outlook for OTC Derivatives & Market trends, new challenges and initiatives to further shape the OTC Derivatives roadmap. Order generation with fungible instruments Margin requirements after MiFID II Future initiatives Client Advisory Meeting Alternative Assets & Emerging Technologies A look at emerging trends among asset managers using alternative assets and new technologies in trading and operations. Alternative assets Timber, Real Estate, PIPES, Synthetic Securities, Bitcoin Blockchain Security and Compliance in the Cloud Risk issues associated with migrating and operating in a SaaS environment, including: Meeting cybersecurity and data privacy regulations Satisfying requirements from internal and external auditors Best practices for ensuring a secure SaaS operating environment Post-Trade Processing Overview Update on latest post-trade capabilities and enhancements: Match and confirm blocks and allocations Comparison of matching and confirmation workflows by venue Post-trade impact of MiFID II and commission unbundling Settlement Workflows & SWIFT Enhanced settlement workflows: Sending and receiving settlement-related SWIFT messages Monitoring the settlement status of allocations Identifying and resolving exceptions

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