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  • The Advisor Landscape: 2020 and Beyond

    Includes a Live Web Event on 07/29/2020 at 2:00 PM (EDT)

    Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors.

    Get the latest insight into the 2020 advisor landscape. Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors. Join Cogent for up-to-the-minute thought leadership on advisor preferences and insightful guidance on how to strengthen partnerships. 

    Learning  Objectives:

    ·       Current trends in model portfolios

    ·       Technical (investment-focused) vs. non-technical (client-focused) advisors

    ·       Trends in products and asset classes

    ·      Strategies for effective advisor engagement 

    Who Should Attend: Marketing, Communications, Product & Distribution professionals

    Sponsored By:

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    Meredith Lloyd Rice (Moderator)

    Vice President, Cogent Syndicated, a division of Escalent

  • A Global View on Alternative Investments

    Includes a Live Web Event on 07/22/2020 at 10:00 AM (EDT)

    Alternative investments continue to attract attention from investors around the globe. To help asset managers plan for the future, we have assembled a panel of global experts to review the likely changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2020 and beyond.

    Alternative investments continue to attract attention from investors around the globe. To help asset managers plan for the future, we have assembled a panel of global experts to review the likely changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2020 and beyond.

    This webinar will focus on market trends in alternatives, such as the variation of product structures, when and why firms decide to enter the alternatives space, and the opportunities and challenges associated with implementing and servicing alternatives.

     

    Learning Objectives:

    ·       Understanding the market trends supporting alternative investments

    ·       Identifying product development trends in the global alts space

    ·      Exploring the opportunities and challenges associated with servicing alternatives

     

    Who Should Attend: Product development and distribution professionals, operations and compliance professionals

    Sponsored by:


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    Marah Marshall (Moderator)

    Vice President, Head of Platform Engagement, Alternative Investments & Manager Selections (AIMS), Goldman Sachs

    Claude Niedner

    Partner, Arendt & Medernach

    Claude Niedner is a founding partner of Arendt & Medernach and a member of the firms strategy board. He specialises in investment funds and works in the UCITS, hedge funds and real estate areas. He has been a member of the Luxembourg Bar since 1993. He is chairman of the Alternative Investments Committee of the Association of the Luxembourg Fund Industry (ALFI). Claude is chairman of the AIFMD working group of ALFI and has liaised intensively with the public bodies participating in the negotiation process of the directive. Claude is a regular speaker at international conferences on investment funds related topics. He was a lecturer in financial law at the Université Robert Schuman de Strasbourg (France). Prior to joining the Luxembourg Bar, Claude Niedner worked in the capital markets department of a major Luxembourg bank. Claude Niedner holds a Masters degree in law from the Université Robert Schuman de Strasbourg (France) as well as a Masters degree in business administration from the Hautes Etudes Commerciales (HEC), Paris (France).

    Gillian Jevens

    Assistant Department Head, Luxembourg Depositary team Brown Brothers Harriman (Luxembourg) S.C.A.

    Gillian joined BBH Luxembourg in 2007. Initially Gillian worked in the Client Service Department prior to joining the Alternatives Client Service Group where she gained experience servicing various Alternative Investment Fund Structures with direct and indirect investment strategies. In December 2017, Gillian assumed her current role as Assistant Department Head in the Depositary Bank Team servicing funds with both liquid and illiquid strategies.  Gillian is an active member of the ALFI Depositary Bank working group forum.  Prior to joining BBH, Gillian had 16 years’ experience in 2 large Irish insurance companies, Allianz plc. and Aviva Group Ireland plc. in Dublin, Ireland, working primarily in the field of insurance liability claims.

    Kevin Wolf

    EVP, Head of Fund Administration and Product

    Kevin Wolf joined Gemini (now Ultimus Fund Solutions) in 2001 and currently serves as EVP, Head of Fund Administration and Product. Prior, Kevin served as the Executive Vice President of Gemini, overseeing the fund and legal administration units. Kevin also serves as an officer to certain clients of Ultimus.

    Kevin started in the mutual fund industry in 1991. Prior to joining Ultimus, Kevin was an assistant vice president in the financial reporting department for Salomon Smith Barney Asset Management. There, he was responsible for the preparation of shareholder reports for over 200 mutual funds while supervising a staff of reporting specialists. Kevin’s other prior experience includes work as a mutual fund accountant for both Dean Witter (currently Morgan Stanley) and Chemical Bank (currently JP Morgan Chase).

    Kevin received a Bachelor of Science degree in Accounting and Business Administration from the State University of New York at Albany.

  • The Future of Marketing and Regulatory Communications

    Includes a Live Web Event on 07/15/2020 at 2:00 PM (EDT)

    Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.

    Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.

     

    Learning Objectives:

    ·       Best practices for managing marketing communications

    ·       Updates on the regulatory environment

    ·       An exchange of top priorities and focus for improvement

     

    Who Should Attend: Marketing and communications professionals; compliance professionals


    Sponsored by:

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    Mike McLaughlin (Moderator)

    President, Naissance Partners

    Mike has spent almost twenty years in consulting, with the last 10+ focused on financial services clients. Most firms have been asset managers; some have been insurers, broker/dealers, banks, and others. The questions I help answer center on business and marketing strategy. 

    This experience reflects what I’ve done; at least as important is how I approach my work. Three things in particular matter to me: 

    ·       Combine ideas and idealism with pragmatism

    ·       Communicate clearly in order to avoid the dreaded “so what does that mean?”

    ·       Balance my belief that I do excellent work with humility

    I have been fortunate to be around some really intelligent people at places like kasina, Accenture, the Yale School of Management, and Northwestern University.

    John Closson

    Vice President, Broadridge

    Duane Mattson

    VP, Senior Compliance Officer, PIMCO

    Mr. Mattson is a vice president and senior compliance officer for PIMCO, where he heads up the firm’s Compliance Marketing Review team for the Americas (U.S., Canada and Latin America). Prior to joining PIMCO in 2018, he was with Dimensional Fund Advisors as a vice president in compliance, supporting the firm’s marketing and global institutional sales efforts. Previously, he was chief compliance officer for two registered investment advisers and chief supervisory officer for a large independent broker-dealer/RIA. He began his financial services career at Lutheran Brotherhood (now Thrivent Financial). He has 23 years of compliance experience and holds an undergraduate degree in journalism from the University of Minnesota (Twin Cities).

    Ed Hrybenko

    Vice President, Broadridge

  • Developing a “Return to the Workplace” Roadmap

    Includes Credits Recorded On: 07/01/2020

    Join us for an open discussion around the development of policies and processes for returning to the workplace in a post-lock-down landscape. Our panel of senior executives in the asset management industry will talk candidly about challenges, solutions, and lessons learned around return to work policies.

    Join us for an open discussion around the development of policies and processes for returning to the workplace in a post-lock-down landscape. Our panel of senior executives in the asset management industry will talk candidly about challenges, solutions, and lessons learned around return to work policies.

    Learning objectives:

    ·       Establishing transition teams

    ·       Complying with evolving health protocols

    ·       Aligning processes with critical business goals and policies

    ·       Developing an effective employee communications plan

    ·       Understanding the variations of policies globally, state by state, etc.

    Elizabeth Arnall (Moderator)

    Managing Director, Head of Sales and Client Management for the Americas, HSBC

    Elizabeth is a Managing Director in the Securities Services division of HSBC, where she is Head of the Americas Business Development and Client Management teams covering asset owners and asset managers.  Based in New York, Elizabeth is responsible for overseeing a team of sales and relationship management executives focused on delivering securities services solutions, including global custody, fund administration, middle office and trustee and fiduciary oversight services to clients based in North and South America. 

    Prior to joining HSBC, Elizabeth was a Director at BNP Paribas where she managed and developed the Bank’s top hedge fund relationships within the Securities Services division.  Prior to working in securities services, Elizabeth worked in institutional equity sales at BNP Paribas, Bank of America, Citigroup, and Credit Agricole.  Elizabeth started her career in the investment banking division at Merrill Lynch.

     

    Dan Houlihan

    Executive Vice President, Head of North America Asset Servicing, Northern Trust Company

    Dan Houlihan is Executive Vice President and Head of Northern Trust Asset Servicing - Americas, a leading provider of custody, banking, fund
    administration, investor servicing and outsourced solutions across the front, middle and back office to both institutional asset owners and fund managers
    throughout the region. The broad client range includes fund management firms, large corporations, insurance companies, public funds and not-for- profit entities, including endowments, foundations and healthcare companies.

    Dan joined Northern Trust in 2008 as the Global Head of Product and Strategy for the Investment Operations Outsourcing business. He then spent eight years as Head of Global Fund Services in North America, responsible for servicing the region’s fund manager clients.

    Prior to joining Northern Trust, Dan spent 19 years in numerous leadership positions for investment management, technology, and services companies.
    Among these, he was President of Citisoft, Inc. where he was responsible for executing their North American strategy.

    Dan currently serves as Chairman of the Board for the National Investment Company Service Association (NICSA) and as a Director on the Advisors
    Investment Trust.

    Gem Pushpaharan

    Managing Director, COO US, AllianzGI

    Gem Pushpaharan started his career with Ernst & Young in London as a Financial Services Auditor, following which he worked in various risk
    management roles within the Asset Management sector. He joined AllianzGI in 2007 as UK Head of Risk, RCM then moving to Global Head of Risk, RCM
    in 2010 and Global Head of Risk – Investment Platform, AllianzGI in 2012.

    He moved into a new role, Global Head of Vendor Relations & Operations Strategy in November 2013. Following this, in March 2016 Gem was
    appointed Global Head of Operations, responsible for delivering AllianzGI’s Operations Target Operating Model on a global basis and ensuring that the
    function is set up in the most optimal and efficient manner to support the business’ expansion ambitions.

    In August 2019, Gem took on the role of COO US based in New York responsible for overseeing all support functions in the region. AllianzGI US
    currently employs approx. 650 employees across four key centers: New York,
    Dallas, San Francisco & San Diego.

    Chris Boruff

    Head of Operations, Talent & Culture, Morningstar

    Chris Boruff is head of operations for Morningstar’s Talent & Culture (T&C) team. In this role, he leverages his years of experience as a business leader and familiarity with Morningstar to lead operational and culture initiatives aimed at improving the effectiveness of the T&C function and the experience of managers and employees in Interacting with T&C. He also heads key leadership development initiatives including our leadership coaching program and our organizational insights/analytics program. Most recently Chris has been serving as Morningstar’s Global Response Leader for the Covid-19 pandemic.

    Chris joined Morningstar in 1996 as product manager for Principia, the firm’s CD-ROM-based investment research and planning software for advisors. For the subsequent 12 years, his responsibilities increased in scope as he and his team launched a number of additional offerings for financial advisors including Morningstar® Advisor Workstation SM and Morningstar Office SM . In 2009, Chris was named president of Morningstar’s Softwaredivision, overseeing the firm’s consumer and institutional software products in addition to its advisor-focused offerings. He became head of the Information Products group,
    which is responsible for product development and innovation at Morningstar, in 2013, before transitioning to a part-time role as head of operations, Talent & Culture in 2014.

    Chris holds a bachelor’s degree in economics and psychology from Northwestern University.

  • SEC Proposed Rule 2a-5: What you need to know.

    Recorded On: 06/25/2020

    Learn more about the SEC's Proposed Rule 2a-5 and its impact on the asset management industry.

    Amid an evolving regulatory environment, asset management industry professionals are focused on synching up valuation processes with the SEC's proposed Rule 2a-5. Our panel of experts will discuss best practices for a consistent, modern approach to the determination of fair value. Join us for key takeaways of the proposed rule and its potential impact on boards, advisers, and auditors.

     

    Learning objectives:

     

    ·       Developing best practices for fair value methodologies

    ·       Updating testing (e.g. back-testing or calibration) and record keeping processes

    ·       Assessing material risks

    ·       Evaluating third party services

    Paul Kraft (Moderator)

    Lead Partner, US Mutual Fund & Investment Adviser Practice Leader, Deloitte

    Chris Maher

    Deputy Treasurer, Fidelity Funds

    Chris Maher is Vice President and Deputy Treasurer of the Fidelity funds. In this role, he is responsible for oversight of the funds’ valuation and liquidity risk management operations; fund policy setting and interpretation with respect to valuation and liquidity risk management matters; leading the funds’ Fair Value Committees & Liquidity Risk Management Committees; and liaising with the funds’ boards of trustees. Prior to assuming his current responsibilities Mr. Maher led Fidelity’s Asset Management Regulatory Reform Program Office providing governance and implementation support for new financial regulations.

    Mr. Maher earned a Master of Science degree in finance from Brandeis University, and a Bachelor of Science degree in accounting from Nichols College. He has been in the investments industry since 1994.

    Ira Cohen

    Independent Chairman, Angel Oak Funds Family of Funds

    Ira Cohen is a successful mutual fund executive with over 39 years of retail, offshore and institutional experience.  He currently serves as an Independent Chairman of the Angel Oak Funds Family of Funds.  He is also Chairman of the Audit Committee of the Griffin Capital Funds and the Governance Chairman for the Valued Adviser’s Series Trust Funds .

    Ira  is also Executive Vice President of Recognos Financial which is  a developer of AI  data and software solutions.

    In addition, over the last fifteen he has run his own successful consulting company.  His client list includes DTCC, Fidelity, Goldman Sachs, Waddell & Reed, DST Systems and FINRA. 

    Prior to becoming a consultant, Ira spent 13 years as a Senior Vice President of INVESCO Fund Services, formerly known as AIM Investments.  He was responsible for all Transfer Agent Operations and Services for retail, retirement, institutional, and offshore funds.  Before joining INVESCO he held senior management positions at Bank of New York and Prudential Mutual Fund Services.

    Ira has held FINRA Registered Series 6, Series 26, and Series 63 licenses.  While regarded as a mutual fund expert, Ira has been a keynote speaker at many industry conferences and has been an active member on several industry wide committees.

  • Everyday Engagement

    Staying inclusive and connected to colleagues has different meaning in a virtual, work-from-home environment. Intentional behavior changes aimed at keeping inclusion at the forefront can result in a more engaging and productive environment.

    Staying inclusive and connected to colleagues has different meaning in a virtual, work-from-home environment. Intentional behavior changes aimed at keeping inclusion at the forefront can result in a more engaging and productive environment.

  • Toolkit | Work from Home Cybersecurity Tip Sheet

    Nicsa’s Compliance & Risk Management Committee and TA Committee explore best practice tips for cybersecurity compliance in a work-from-home environment.

    Nicsa’s Compliance & Risk Management Committee and TA Committee explore best practice tips for cybersecurity compliance in a work-from-home environment.

  • Toolkit | Battling Fraudsters and Bad Actors Tip Sheet

    Nicsa’s Compliance & Risk Management Committee and TA Committee explore best practices for battling fraud during the time known as COVID-19, which brings with it its own trends and nuances.

    Nicsa’s Compliance & Risk Management Committee and TA Committee explore best practices for battling fraud during the time known as COVID-19, which brings with it its own trends and nuances. 

  • The Global Pandemic & Its Impact on the Future of the Transfer Agency

    Recorded On: 06/10/2020

    Learn more about the industry in motion and how TAs can prepare for the post-crisis recovery period. Join our panel of experts to learn how the COVID-19 crisis has impacted the future of the TA and explore best practices for enhancing the immunity of the transfer agency in the event of another crisis.

    Learn more about the industry in motion and how TAs can prepare for the post-crisis recovery period. Join our panel of experts to learn how the COVID-19 crisis has impacted the future of the TA and explore best practices for enhancing the immunity of the transfer agency in the event of another crisis.

    Learning Objectives:

    ·       Lessons learned during the COVID-19 pandemic

    ·       Preparing transfer agencies for the post-crisis recovery period

    ·       Impact of M&A transactions on transfer agent operations

    ·       Best practices to enhance the future of the transfer agency


    Sponsored by:

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    Jeff Young (Moderator)

    Enterprise Strategist, Asset Management Solutions, FIS

    Jeff oversees product operations for FIS’ Asset Management businesses as well as the client services/relationship management team within the FIS Transfer Agency. He brings over 30 years of experience in the mutual funds, wealth management, and investment services industries. Prior to joining FIS in 2017, he worked as Vice President and Director of Relationship Management of Ultimus Fund Solutions, LLC., where he was responsible for the firm’s relationship management team. Prior to the acquisition of Huntington Asset Services by Ultimus Fund Solutions, he functioned as President of both Huntington Asset Services, Inc., and its affiliated broker-dealer, Unified Financial Securities, Inc., which represented over $48 billion in assets. Earlier in his career, he held several leadership positions with BISYS Fund Services and served as a senior consultant with Broadway & Seymour.

    In addition to holding various officer positions for several fund families, he had also served as the Chairman of the Board of Valued Advisers Trust since its inception in 2008, as Chairman of the Board of the Capitol Series Trust since its inception in 2013, and on the Board of Trustees of the Coventry Group and The Coventry Funds Trust. He currently serves on the NICSA Fund Administration Committee, and previously served as a board member and secretary to the Greater Cincinnati Mutual Fund Association. He is a former member of the faculty of the Harry Blythe School of Banking, a current member of the Ohio University Trustees Academy, and a member of the Ohio University College of Business Finance Advisory Council.

    He has been an industry panelist and speaker and has authored, co-authored, and published articles and papers on topics ranging from social media to fund governance. Jeff earned his bachelor’s and master’s degrees in business administration from Ohio University, where he frequently serves as a guest lecturer.

    Kim Zavislak

    Partner, KPMG LLP

    Kim Zavislak is an Audit Partner at KPMG LLP and has been with the firm 21 years.  She leads the Asset Management practice in Mid-America and is very active in the investment management industry, both locally and nationally.  Kim has extensive experience in providing financial reporting guidance and audit services to a wide spectrum of financial services clients, including investment advisors, banks, broker dealers, exchange traded funds, mutual funds, separate accounts and alternative investment funds.  In her role as an audit partner, Kim serves a large number of SEC registrants and works with several different boards throughout the United States.  Other activities include: conducting governance training for both fund advisors and their boards and, assisting clients with complex matters including valuation, multiple sub advisory relationships, master-feeder fund structures, multi-class structures, derivatives, reorganizations, common trust conversions and fund accounting/transfer agent conversions.    Kim is passionate about and well respected within the investment management industry and is a regular speaker and contributor at investment management forums and regularly attends Investment Company Institute conferences. 

    Kim is a member of the KPMG Columbus office leadership team and also serves as the HR Partner and Alumni Committee Chair.  Kim also serves as the Mid America Audit Innovation leader.  She previously served as the Columbus office People First Chair and is very active in KPMG’s Network of Women (KNOW).  Kim makes it a personal priority to create a compelling work environment and to inspire young professionals to develop confidence and realize their full potential, and to that end she has been instrumental in the mentoring of several young professionals in both her office and her region.  She has shown a special ability to connect with young female professionals and due to this has been requested to mentor and counsel high performing females across the country to assist in their career progression at KPMG. Kim’s involvement in the community includes serving as past Board Chair of Lutheran Social Services of Central Ohio (LSSCO) whereby she also served on the Executive, Finance and Nominating Committees.  During her role as Board Chair, she helped oversee a nationwide CEO search and the onboarding of the new CEO.  In addition, during Kim’s tenure as Board Chair, LSSCO completed two acquisitions and she was instrumental in the restructuring of the board.  Kim currently serves on the Board and Co-Chairs the Development Committee for Junior Achievement of Central Ohio, whose mission is to prepare kids for the business of life. Kim is also co-chair of the Ohio Chapter of Women Corporate Directors

    Kathy Stelter

    VP, Chief Operations Officer, Thrivent Funds

    Kathy Stelter is the VP, Chief Operations Officer for Thrivent Funds. She has worked in all aspects of the transfer agent space for the last 20+ years and recently celebrated 6 years at Thrivent. Today she has responsibility for all operations of the transfer agent, as well as the principal underwriter/distributor. Passionate about efficiency, compliance and execution, Kathy has spent many years working with various partners and committees and has developed strong relationships with many people throughout the industry. Kathy and her husband spend their days at their lake home in Wisconsin. In their spare time they love being with their grandchildren and traveling.

     

    Fred Naddaff

    Lead Independent Trustee, Symmetry Panoramic Funds Board of Trustees

    Fred Naddaff has a proven track record of leadership success in both executive management and board level environments spanning a career of over 40 years. He is knowledgeable in all aspects of fund operations, including transfer agency, fund accounting, administration, technology and regulatory and compliance. Fred currently serves as Lead Independent Trustee of the Symmetry Panoramic Funds Board of Trustees.

    Before retiring, Fred served as Chief Operating Officer of Transfer Agency and Investor Services at FIS Global. Prior to FIS Global, Fred joined Citi Investor Services as part of the BISYS acquisition in 2007 and assumed the role of North America Business Head for Citi Fund Services. He also served as President of Citi Fund Services, Inc. and provided executive oversight of Citi’s North America outsourcing services. Pre-Citi, Fred was President of BISYS Fund Services, Inc., responsible for all aspects of the business, including domestic and international operations, technology, and strategic development. Before joining BISYS, he spent 10 years with First Data Investor Services Group (now BNY Mellon Asset Servicing), serving the last three years of his tenure in the role of Chief Operating Officer, managing all aspects of the operation. In addition, he previously held senior management positions at State Street Bank
    and Boston Financial Data Services.

    Fred is a frequent speaker at industry conferences and is widely quoted in areas of asset management. He has authored numerous published articles and papers on a wide range of industry topics. He is actively involved in industry groups including previously serving as Chairman of the Board of Directors of Nicsa. He is also a member of the Independent Directors Council, as well as the Expect Miracles Foundation Leadership Council, an industry- based cancer charity. Fred was the recipient of the 2016 Robert L. Gould Award which recognizes outstanding achievement by an individual who has helped the
    mutual fund industry better serve its investors by improving the quality of customer service, providing thought leadership in the areas of regulation and compliance, and reducing shareholder expenses through implementation of technology and back office streamlining.

  • CARES Act and the Effect on the Retirement Ecosystem

    Recorded On: 06/04/2020

    Learn more about the the CARES Act and its impact on the retirement community.

    Join our panel of experts for an overview of the CARES Act and Secure Act. Explore how to strike a balance between them and hone your internal project planning. Get timely insights into how to develop the right policies and procedures for your firm.

    Learning objectives:

    Ø  Developing internal project plans

    Ø  Addressing outstanding questions

    Ø  Best practices for policies and procedures

    Ø  Marketing relations with advisors



    Sponsored by:

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    Blaine Aikin (Moderator)

    Fiduciary Subject Matter Expert, Fi360 a Broadridge company

    Blaine Aikin is the founder and principal of Fiduciary Insights, an independent provider of fiduciary subject matter expertise for organizations that employ or provide services to investment advisors,. During the 15 years prior to founding Fiduciary Insights in 2019, Blaine served in the executive leadership of Fi360, Inc. He progressed from chief knowledge officer to CEO in 2007, became executive chairman of Fi360 and CEFEX in 2016, and continues to serve as fiduciary subject matter expert for Fi360.

    Blaine is a well-known speaker and author of numerous articles on fiduciary responsibility and investment management. He has been named to Investment Advisor magazine's IA25 list of the most influential people in the investment advisory community and one of the ten most influential individuals
    in the 401(k) industry by RIABiz. He served as a Director of the CFP Board of Standards from 2013 through 2016 and Chair of CFP Board in 2017.
    Currently, Blaine chairs CFP Board’s Standards Resources Commission that is tasked with providing guidance on the new Code and Standards to CFP® professionals.

    Blaine holds a bachelor’s degree in economics and political science from Allegheny College and Master of Public Management and Policy from the Heinz School of Carnegie-Mellon University. He is a Certified Financial Planner® (CFP®) professional, Chartered Financial Analyst (CFA) charterholder, and Accredited Investment Fiduciary Analyst® (AIFA®) Designee. An avid outdoorsman, Blaine serves as an Executive Committee of the Center for Private Forests at Penn State Council. The Center promotes sound forest stewardship practices by forest landowners, which he applies on his forestland in northwest Pennsylvania.

    Rob O'Brien

    Senior Operations Manager, Putnam Investments

    Mr. O'Brien is a Senior Operations Manager in the Investor Services group. He is responsible for overseeing the Defined Contribution Investment Only Service team and supporting Putnam's retail retirement plan operations. He is currently a member of the ICI Bank Trust and Retirement Advisory Committee, the NICSA Retirement Committee, and the Coalition of Collective Investment Trusts. Mr.O'Brien joined Putnam in 1997 and has been in the investment industry since 1995.

    Alvin Hasegawa

    Sr. Compliance Consultant, Global Shareholder Services, Franklin Templeton

    Mr. Hasegawa is a Senior Compliance Consultant in the Global Shareholder Services Risk & Control division. His responsibilities include retirement plan consulting and regulatory compliance. He is currently a member of the ICI Pension Committee, the NICSA Retirement Committee, and the ABA IRA Steering Committee. Mr. Hasegawa joined Franklin Templeton in 1984.