INSITE 2013

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1. Beyond Emerging Markets: The Evolution of Frontier Markets CFA CFP CWS IMCA

   Emerging markets can widely be viewed as a major asset class that has garnered considerable assets over the past few decades. More recently, however, investors have been looking for additional growth and diversification opportunities outside the increasingly saturated emerging market regions which may offer long-term growth potential. This session will have industry experts delve into the emerging asset class of frontier markets to explain what they are, the potential benefits of incorporating them into an equity allocation as well as challenges that come with these sometimes underdeveloped regions.

   Moderator: Jamie Spruyt, Managing Director, BNY Mellon
   Robin Anderson, Economist, Principal Global Investors
   John Derrick, Director of Research, U.S. Global Investors
   Paul Herber, Portfolio Manager, Forward

2. Closing the Gap Between Mobile and Desktop Applications CWS

   The lines between the workplace and “life” are blurring due in part to anytime, anywhere access through mobile technologies. Now that the Bring Your Own Device (BYOD) trend is gaining momentum, where should you focus to gain the productivity benefits of mobile, without hitting security and compliance pitfalls?

   Moderator: Darrin Courtney, Research Director, CEB TowerGroup
   Eric Bondar, Assistant Vice President, Pershing, a BNY Mellon company
   Jeremy Major, Global Account Director, Good Technology
   Dheerj Soni, Head of Trading Technology, First Republic Securities Company

3. The Convergence of Traditional Mutual Fund and Hedge Fund Strategies CFA CFP CWS IMCA

   Mutual funds have shifted from offering traditional long-only strategies to offering a variety of products, including long-short mutual funds and other products that use alternative strategies. This has resulted in historic collaboration between hedge fund and mutual fund managers, including hedge fund managers sub-advising for mutual funds and mutual fund complexes offering new and more complex products to retail investors. A panel of '40 Act fund managers and hedge fund managers will discuss how this collaboration has changed their business model and what this collaboration means for the future of the asset management industry.

   Moderator: Lisa Lewin, Vice President, Pershing, a BNY Mellon company
   Joel Greenblatt, Managing Principal, Gotham Asset Management
   Phil Ordway, Principal and Portfolio Manager, Chicago Fundamental Investment Partners
   Ethan Powell, Executive Vice President, Highland Capital Management

4. Fiduciary Redefined and Compensation Transparency CFA CFP CWS IMCA

   New regulatory initiatives are forcing many firms to evaluate their business models and reassess compensation structures for their brokerage and managed investments businesses. The Securities and Exchange Commission’s proposal would likely extend a fiduciary standard to brokers, and the Department of Labor is expected to release a revised proposed rule that significantly expands the scope of fiduciary activity under ERISA. This session will discuss the current state of the regulatory environment and the impacts of anticipated regulation on brokers and registered investment advisors, including their ability to make retirement products and services available to clients.

   Moderator: Tonia Bottoms, Director, Pershing, a BNY Mellon company
   Jon Breyfogle, Principal, Groom Law Group
   Robert Lewis, Jr., Vice President, Financial Services Institute
   John Watts, Senior Vice President, PFS Investments Inc.

5. How to Deal with Low Interest Rates CFA CFP CWS IMCA

   With interest rates expected to stay at historically low levels this year, implementing strategies to generate yield has become essential. This session will feature several of today’s top investment portfolio managers discussing smart approaches to take in the current low rate environment.

   Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
   Tom Nelson, Chief Investment Officer, Reich and Tang
   James Pass, Senior Managing Director, Guggenheim Investments
   Kevin White, Senior Vice President, Cole Real Estate Investments

6. The Impact of the Evolving Fiduciary Standard on Capturing Rollover Assets CFA CFP CWS IMCA

   Successfully capturing rollovers from employer-sponsored plans requires a thorough understanding of the ERISA rules that govern that activity. Learn from an industry expert on what this means for your business and how to navigate this complexity.

   Robert Cirrotti, Director, Pershing, a BNY Mellon company
   Fred Reish, Partner, Drinker Biddle & Reath LLP

7. Investor of the Future: The New Modern Family CFA CWS IMCA

   The classic image of the American family has evolved. The investor of the future no longer meets the stereotype of a couple with two children, living in a colonial house with a white picket fence. In fact 51% of Americans are single, many women are breadwinners in the family, same sex marriages are legal in several states, self-made millionaires are more prevalent than inherited wealth and it is estimated that racial minorities will become the majority by 2042. Hear what experts say are the key demographic trends and how you can better serve and market to the investor of the future.

   Jyoti Chopra, Head of Global Diversity and Inclusion, BNY Mellon
   Kim Dellarocca, Director, Pershing, a BNY Mellon company

8. Navigating NOW: Opportunistic Ideas for Seeking Growth and Income in Today’s Markets CFA CFP CWS IMCA

   Now. It's not the past. It's not the future. It's the moment and it's always new. And when that moment arrives on the heels of "the new normal," that moment takes on new importance. Against this backdrop, we invite you to join us for an exploration of some very timely ideas. Our distinguished panelists will explore their best thinking from three very unique perspectives -- opportunistic equity, global fixed income, and U.S. high yield. In a highly correlated, risk on/risk off world, we'll share compelling insights from around the globe for enhancing diversification, improving asset allocation, hedging inflation and achieving more consistent returns. We look forward to sharing our best ideas with you.

   Moderator: Jamie Lewin, Chief Investment Officer, Lockwood Advisors, Inc., an affiliate of Pershing, a BNY Mellon company
   David Daglio, Senior Managing Director, The Boston Company Asset Management
   Paul Hatfield, President and Head of U.S. Operations, Alcentra
   David Leduc, Chief Investment Officer, Standish

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9. Outlook and Trends for Today’s Equity Market CFA CFP CWS IMCA

   Should you be optimistic about equity markets—or leery? Get an overview of the equity markets—current trends as well as a forecast on domestic and international equity markets. Listen as today’s top investment portfolio managers illustrate investment opportunities that can enhance returns in your clients’ equity allocations.

   Moderator: Derek Penn, Managing Director, Pershing, a BNY Mellon company
   Bill Gannon, Director, BlackRock
   David Polak, Vice President, Capital Group Institutional Investment Services
   Jason White, Vice President, T. Rowe Price

1. Beyond Emerging Markets: The Evolution of Frontier Markets CFA CFP CWS IMCA

   Emerging markets can widely be viewed as a major asset class that has garnered considerable assets over the past few decades. More recently, however, investors have been looking for additional growth and diversification opportunities outside the increasingly saturated emerging market regions which may offer long-term growth potential. This session will have industry experts delve into the emerging asset class of frontier markets to explain what they are, the potential benefits of incorporating them into an equity allocation as well as challenges that come with these sometimes underdeveloped regions.

   Moderator: Jamie Spruyt, Managing Director, BNY Mellon
   Robin Anderson, Economist, Principal Global Investors
   John Derrick, Director of Research, U.S. Global Investors
   Paul Herber, Portfolio Manager, Forward

2. Breaking Out of the Box: The Next Frontier of Recruiting CFA CWS

   Leading edge firms have looked to new heights to address changing demographics, shrinking margins and new recruiting models. Learn about the latest trends and innovations in recruiting. Hear how a focus on recruiting women and younger advisors has helped firms exponentially grow their businesses. Additionally, hear experts discuss new models of recruiting with online platforms, fewer middlemen and greater confidentiality.

   Moderator: Ken Louie, Assistant Vice President, Pershing, a BNY Mellon company
   Tom Daley, Chief Executive Officer, The Advisor Center
   Mindy Diamond, President and Chief Executive Officer, Diamond Consultants
   David Tateosian, President, First Republic Securities Company

3. Emerging Trends with Alternative Investments CFA CFP CWS IMCA

   How is the current alternative investments landscape shaping up and what’s in store for 2013 and beyond? In this session, you will hear more about which investment vehicles are being used today given the current market environment and practical portfolio implementation strategies for the high-net-worth investor and the global economy.

   Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
   R. Scott Henderson, Vice President, Calamos Investments
   Neil Menard, Senior Vice President, Steben & Company, Inc.
   Jeffrey Reemer, Senior Analyst, INVESCO

4. Get in the Game: The Best Social Media Strategy CFA CWS

   Like it or not, social media is ingrained within our culture and daily lives. For financial organizations and investment professionals, social media has the potential to significantly generate new business and accelerate existing revenue serving as a powerful marketing and product research/collaboration tool. Just like investing, social media requires a defined plan and is coupled with inherent risk. This panel discussion will detail the steps needed to get started within social media, provide best practices to maximize your social media investment, and explore the compliance concerns to help you avoid potential pitfalls.

   Introduction: Neil DiCicco, Vice President, Pershing, a BNY Mellon company
   Moderator: Sarah Carter, General Manager, Social Business, Actiance
   Kristin Andree, President, Andree Media & Consulting
   Eric Christophersen, Chief Executive Officer, Northwestern Mutual Wealth Management
   Tom Selman, Executive Vice President, FINRA
   Brian Tietje, Strategic Account Executive, LinkedIn

5. Introducing Managed Investments to Investors CFA CWS IMCA

   The concept of managed investments is still unfamiliar to many investors. This session, which consists of a panel of industry experts, will walk you through how to introduce the idea of managed investments to both new and existing clients. We will discuss how to educate your clients about the different types of managed accounts, explain how fees are charged and why moving to this type of investment might be beneficial to them.

   Moderator: John Wren, Director, Pershing, a BNY Mellon company, and Head of Business Development, Lockwood Advisors, Inc., an affiliate of Pershing
   Michael McLaughlin, President, McLaughlin Asset Management, Inc.
   Wael Rashidi, Financial Consultant, Associated Investment Services, Inc.
   Alan Roycroft, Senior Regional Vice President, MetLife Broker-Dealer Group

6. The Power of Document Storage CWS

   Most firms have one or more e-delivery initiatives in place, but how do you know you are doing all you can? This session will explore findings from the Beacon Strategies report highlighting best practices from the industry on targeting and executing programs for e-delivery adoption. Then we will discuss data storage needs for investors and financial organizations and the growing demand and expectations for more streamlined and secure cloud storage solutions.

   Moderator: Margaret Weaver, Vice President, Pershing, a BNY Mellon company
   Jon Herstein, Senior Vice President of Customer Success, Box
   Chip Kispert, Managing Partner, Beacon Strategies
   Ram Nagappan, Chief Information Officer, Pershing, a BNY Mellon company

7. The Regulatory Exam: What to Expect and How to Prepare CFA CFP CWS

   The priorities of regulators change constantly, depending on the economic environment and the risks they see for investors. Join us to understand some of the current regulatory requirements and learn best practices to better prepare for an examination.

   Moderator: Joan Schwartz, Managing Director, Pershing, a BNY Mellon company
   Ben Indek, Partner, Morgan, Lewis & Bockius LLP
   Andrew Sidman, Member, Bresser, Amery & Ross P.C.

8. The Study of Advisory Success and the Anatomy of an Outperformer CFA CWS

   How are you doing after five years of uncertainty and change? Are you growing despite the considerable market turbulence or achieving success by accident? Attend this interactive session to gain insight into your performance against the top advisors’ level of optimism and critical strategies to enhance your prospect for success.

   Moderator: James Spiegelhoff, Vice President, Pershing, a BNY Mellon company
   Kevin Beard, Senior Vice President, The Advisor Group
   Nick Ventura, Chief Executive Officer, Ventura Wealth Management

9. This is What Bull Markets Are All About CFP CWS IMCA

   This session will provide an outlook on global markets for 2013 and beyond. Key themes covered will include a contrarian view of U.S. manufacturing, U.S. dollar competitiveness and which markets to avoid globally.

   Joseph Zidle, Portfolio Strategist, Richard Bernstein Advisors LLC

   Presented by

1. Emerging Trends with Alternative Investments CFA CFP CWS IMCA

   How is the current alternative investments landscape shaping up and what’s in store for 2013 and beyond? In this session, you will hear more about which investment vehicles are being used today given the current market environment and practical portfolio implementation strategies for the high-net-worth investor and the global economy.

   Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
   R. Scott Henderson, Vice President, Calamos Investments
   Neil Menard, Senior Vice President, Steben & Company, Inc.
   Jeffrey Reemer, Senior Analyst, INVESCO

2. Get in the Game: The Best Social Media Strategy CFA CWS

   Like it or not, social media is ingrained within our culture and daily lives. For financial organizations and investment professionals, social media has the potential to significantly generate new business and accelerate existing revenue serving as a powerful marketing and product research/collaboration tool. Just like investing, social media requires a defined plan and is coupled with inherent risk. This panel discussion will detail the steps needed to get started within social media, provide best practices to maximize your social media investment, and explore the compliance concerns to help you avoid potential pitfalls.

   Introduction: Neil DiCicco, Vice President, Pershing, a BNY Mellon company
   Moderator: Sarah Carter, General Manager, Social Business, Actiance
   Kristin Andree, President, Andree Media & Consulting
   Eric Christophersen, Chief Executive Officer, Northwestern Mutual Wealth Management
   Tom Selman, Executive Vice President, FINRA
   Brian Tietje, Strategic Account Executive, LinkedIn

3. Introducing Managed Investments to Investors CFA CWS IMCA

   The concept of managed investments is still unfamiliar to many investors. This session, which consists of a panel of industry experts, will walk you through how to introduce the idea of managed investments to both new and existing clients. We will discuss how to educate your clients about the different types of managed accounts, explain how fees are charged and why moving to this type of investment might be beneficial to them.

   Moderator: John Wren, Director, Pershing, a BNY Mellon company, and Head of Business Development, Lockwood Advisors, Inc., an affiliate of Pershing
   Michael McLaughlin, President, McLaughlin Asset Management, Inc.
   Wael Rashidi, Financial Consultant, Associated Investment Services, Inc.
   Alan Roycroft, Senior Regional Vice President, MetLife Broker-Dealer Group

4. Making the Case for Staying Fully Invested CFA CFP CWS IMCA

   You know how critically important it is to stay fully invested in the market over time. So how do you address client concerns regarding volatility in the market or overcome their behavioral bias when it comes to certain investments? Learn how to craft an asset allocation core that encourages investors to commit to a long-term focus on the market.

   Moderator: Benjamin Ludwig, Director, Pershing, a BNY Mellon company, and Director of Investments, Lockwood Advisors, Inc., an affiliate of Pershing
   Donald Bennyhoff, Senior Investment Analyst, Vanguard
   David Loeper, Chief Executive Officer, Wealthcare Capital Management, Inc.
   Brendan Murray, Senior Investment Director, Putnam Investments

5. Offshore Funds—Opportunity and Insight Tailored to the Non-U.S. (Global) Investor CFA CFP CWS IMCA

   Which fund models and investment strategies are gaining popularity? What countries and regions offer future opportunity? How has transitioning to fees and increasing regulation impacted regionally or globally? Join leading fund companies as they discuss how financial intermediaries can provide investment strategies and products to meet (and exceed) global investor financial needs.

   Moderator: Ricardo Brunstein, Vice President, BNY Mellon
   Gil Addeo, Director, Pershing, a BNY Mellon company
   Antonio Miranda, Head of Asset Management, Compass Group
   Tom Nelson, Chief Investment Officer, Reich & Tang
   Dominik Rohe, Managing Director, BlackRock

6. Outlook and Trends for Today’s Fixed Income Market CFA CFP CWS IMCA

   Conditions in fixed income market are currently extremely volatile. Hear from panelists as to what they think the fixed income market will do overall, and which segments may be the best performing in a difficult environment. The views of select investment managers will provide insight and perspective to help advisors manage investor investments.

   Moderator: Marvin Loh, Managing Director, BNY Mellon Capital Markets, LLC
   Eric Fine, Managing Director, Van Eck Global
   Stephen Hillebrecht, Fixed Income Product Strategist, Lord Abbett
   Paul Reisz, Executive Vice President, PIMCO

7. The Power of Document Storage CWS

   Most firms have one or more e-delivery initiatives in place, but how do you know you are doing all you can? This session will explore findings from the Beacon Strategies report highlighting best practices from the industry on targeting and executing programs for e-delivery adoption. Then we will discuss data storage needs for investors and financial organizations and the growing demand and expectations for more streamlined and secure cloud storage solutions.

   Moderator: Margaret Weaver, Vice President, Pershing, a BNY Mellon company
   Jon Herstein, Senior Vice President of Customer Success, Box
   Chip Kispert, Managing Partner, Beacon Strategies
   Ram Nagappan, Chief Information Officer, Pershing, a BNY Mellon company

8. Promising New Strategies in the World of ETFs CFA CFP CWS IMCA

   This panel of industry experts will take a deeper look at various ETF investing strategies that may work best for your clients. This session will cover new strategies and offer tips on how to assist your clients in using ETFs to hedge risk, gain market and industry exposure, and diversify their investments.

   Introduction: Justin Fay, Vice President, Pershing, a BNY Mellon company
   Todd Rosenbluth, Senior Director, S&P Capital IQ Equity Research
   Ryan Issakainen, Senior Vice President, First Trust
   David Mazza, Vice President, State Street Global Advisors

9. The Study of Advisory Success and the Anatomy of an Outperformer CFA CWS

   How are you doing after five years of uncertainty and change? Are you growing despite the considerable market turbulence or achieving success by accident? Attend this interactive session to gain insight into your performance against the top advisors’ level of optimism and critical strategies to enhance your prospect for success.

   Moderator: James Spiegelhoff, Vice President, Pershing, a BNY Mellon company
   Kevin Beard, Senior Vice President, The Advisor Group
   Nick Ventura, Chief Executive Officer, Ventura Wealth Management

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