The Gateway to Algorithmic and Automated Trading

Waters USA 2014

Waters

08 Dec 2014

0800 to 1700

New York

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Register: click here

Waters USA is an exclusive event, attracting over 500 senior technology leaders, technology investment decision makers and C-level executives each year.

Hosted by Waters magazine, our industry leading events have the benefit of drawing on the knowledge and expertise of our in-house editorial team to ensure that only the most up-to-date and relevant topics make it into our agendas.

With these foundations in place, we attract some the most experienced and influential speakers in the industry to share their expert knowledge and opinions with our audience.

Running for more than a decade as the largest forum for CIOs and CTOs across North America, Waters USA 2014 offers an unrivalled opportunity to hear from leading industry experts and innovative practitioners whilst networking with senior peers

08.00 Registration and breakfast

08.40 Welcome address

08.50 Keynote Address: Mark Ashton-Rigby, Co-CIO, Investment Banking, JP MORGAN

09.10 "C Level" End user panel: Costs, contracts and change - enhancing technology to exceed business goals

  • How are you bridging the gap from vision to execution regarding advances in technology and infrastructure?
  • How are you continuing to reduce costs from a technology and services perspective when the outlook is less about innovation and more about new functionality and the adaptation of legacy infrastructure?
  • Changing with the times - how can you assess which business functions or applications are suitable to move into the cloud?
  • Assessing the outcome of vendor relationships - how are you evaluating quality of service and deriving the best value from your partners?
  • A catalyst for operational change - is there a need to implement and execute new, advanced platforms and solutions now, instead of waiting for mistakes to happen first?
  • How will the roles of the CIO, CTO and CDO combine to create the technology organisation of the future?

    Moderator: Anthony Malakian, US Editor, WATERS AND WATERSTECHNOLOGY.COM
    Rich Luzzi, Principal, Head of Global Technology Operations & Infrastructure, VANGUARD
    Michael McGovern, CIO, BROWN BROTHERS HARRIMAN
    Michael Radziemski, CIO, LORD ABBETT
    Chris Vickery, COO, NOMURA

Speaker space available

10.00 Exclusive Presentation:

Rob Krugman, VP of Digital Strategy & Innovation at BROADRIDGE FINANCIAL SOLUTIONS, Speaking on behalf of AMAZON

10.25 Morning break and oportunity to network

STREAM ONE: on the trading floor

STREAM TWO: processes and infrastructure

10.50

Chairperson's opening remarks: Joseph Lodato, Chief Compliance Officer, GUGGENHEIM SECURITIES

Chairperson's opening remarks: Rochelle Brenner, CISA, Vice President, Quantitative Solutions, Compliance Architecture & Strategy, CITI

10.55

Panel discussion: Managing risk in a high - speed trading environment

  • To what extend should adequate pre-trade risk management tools be put in place at a firm level?
  • Can kill switches, cancel-on-disconnect and other measures at exchanges truly be relied upon to manage risk?
  • How will Regulation SCI affect how firms approach technology in the future, and can organizations expect more of a focus on their front-office technology from regulators?
  • Is it possible to manage risk on a pre-trade, real-time basis for high-speed trading with an acceptable degree of both accuracy and latency?
  • How can algorithmic behaviour be adequately monitored to insure against disastrous glitches?

Moderator: Richard Johnson, Former Director, Head of Quantitative Electronic Services, Americas, SOCIÉTÉ GÉNERLÉ
Jean-Pascal Chauvet, Chief Architect of Equities DEUTSCHE BANK
Craig Messinger, Executive Vice President, Head of Global Markets Trading, BNY MELLON
Daniel Schwartz, Managing Director, Markets Technology, RBS

Speaker space available

Panel discussion: Aligning data and technology: implementing a successful data governance strategy to ensure quality and compliance

  • How can new technology initiatives aid the challenge of responding to regulatory reporting requirements?
  • What are the current offerings available for increasing the efficiency and transparency of data operations while maintaining quality?
  • How do you see cost saving saffecting or driving data governance efforts and policies?
  • Achieving a holistic view of your data - assessing the benefits of implementing an Investment Book of Record (IBOR) and the implications it has on infrastructure
  • Using data to your advantage - how can you use technology to extract more value from your data assets whilst ensuring regulations are adhered to?

Moderator: Clark Thompson, Director, Regional Lead, IT Strategy, Americas, CREDIT SUISSE
David Blaszkowsky, Senior Vice President, Head of Data Governance, STATE STREET BANK
Mark Reitman, Executive Director, Enterprise Data Analysis and Information,LifeCycle Management, MORGAN STANLEY
Ulku Rowe, Managing Director, Credit Risk Technology, JP MORGAN

Speaker space available

11.40

Presentation:

Joe Pickel, Global Head of Product, IPC and
Ganesh Iyer, Global Head of Product Marketing, IPC

Transforming the Trade Lifecycle: The Case for a Managed Network-as-a-Service Model

Presentation: David B. Weiss, Senior Analyst, AITE GROUP

Dissecting Big Data and the Cloud in Capital Markets

12.10

Panel discussion: Market surveillance in the modern era - tools, technologies and trends to effectively monitor trading activity

  • Complex markets - to what extent are sophisticated surveillance tools now obligatory for modern trading firms?
  • How can complex event-processing (CEP) technology and new innovations such as machine learning assist with this?
  • What are the challenges of implementing a surveillance program that can handle multiple markets and asset classes?
  • To what extent must real time now be part of the surveillance equation, or can most processes still be handled at the end of the day?
  • Intelligent alerting - what tools are available to reduce false positives for compliance officers, and enable more intelligent analytics?

Moderator: Bernard S. Donefer, Distinguished Lecturer and Associate Director, Subotnick Financial Services Center, Baruch College, CUNY
Anand Bhagwat, Managing Director, Lead Global Equities Regulatory and Compliance Technology, JP MORGAN
Richard Huddleston, Executive Director, MORGAN STANLEY
Spencer Greene, CTO, Financial Services Industry, TIBCO
Peter Simpson, Senior Vice President R&D, Data Visualization DATAWATCH

Speaker space available

Panel discussion: "Cloudifying" the business - addressing transition and adapting infrastructure

  • How is the transition to cloud and the use of third-party storage providers being monitored and evaluated?
  • What are the business implications of moving the majority of applications and functions to the cloud?
  • Compliance and regulation - how are you assessing and responding to the challenges of storing and moving data across jurisdictional boundaries?
  • How will the infrastructure of your business change over the next five years to ensure operational efficiency and capability?
  • Responding to threats - do you have a contingency plan in place should your cloud provider fail you?

Moderator: Garrett Nenner, Managing Director, ROSENBLATT SECURITIES INC
Nathan Boylan, Head of IT Operations, LORD ABBETT
Apurva Mehta, Senior Vice President, Enterprise Architecture, NEUBERGER BERMAN
Mike Blalock, Global Sales Director, Financial Services Industry, INTEL

Speaker space available

12.55 Lunch break and oportunity to network

1.45 Industry Thought Leader - Exclusive Keynote Presentation

Ronan Ryan, Chief Strategy Officer, IEX (Featured in Michael Lewis' Flash Boys)

IEX: Institutionalizing Fairness with Technology

2.15

Panel discussion: Are the markets rigged? The HFT debate

  • Does co-location offer an unfair advantage to super-fast traders with deep pockets, or is it simply an expression of technological evolution?
  • How can data providers balance rapid provision of information while ensuring a level playing field for participants?
  • Can randomized pauses, or "speed bumps" as seen in the FX markets help to eliminate so-called predatory HFT in equities?
  • Has the response of US authorities been overblown, or is there a genuine need to investigate high-speed trading and its effect on markets?
  • Does the primary problem lie with HFT, or with a fragmented exchange landscape?

Moderator: Tim Bourgaize Murray, Deputy Editor, Buy Side, WATERS TECHNOLOGY
Martin Jiang, Senior Vice President and Global Head of Client Connectivity, CITI
David Weiss
, Senior Analyst, AITE GROUP
Vladimir Danishevsky, Head of Credit Algorithmic Trading Technology, BARCLAYS CAPITAL

Speaker space available

Panel discussion: An ongoing battle - how are you ensuring that your customer data is secure at all times while complying with regulation?

  • Financial firms as a target - what steps have you taken to strengthen your IT strategy and continuity planning?
  • Working with vendor firms to address potential threats - how can you be sure your provider is safe?
  • Continual planning and testing - how can you prepare for new types of threats given the ongoing advances in technology and knowledge?
  • Securing your cloud and data storage solutions - how has the move to cloud based solutions impacted on your strategy?
  • How have initiatives such as BYOD and a mobile strategy changed the way your organisation addresses security threats?

Moderator: Anthony Vigilante, Managing Director, Head of Global Information Technology, MACKAY SHIELDS
Ryan Bateman, Director of Technology, SANDS CAPITAL MANAGEMENT
Adam Fletcher, VP of information Risk and Security, BLACKSTONE GROUP
Anthony Concolino, Former Executive Vice President of Operations and Technology, CITI

Speaker space available

3.00

Stream 1 Afternoon Keynote Presentation

Gerald LeDonne, Global Head of Production Support, CREDIT SUISSE


Reducing operational risk in a cost efficient environment

Stream 2 Afternoon Keynote Presentation

Tsvi Gal, CTO, MORGAN STANLEY

Disruptive Technology and Buzzword Management

3.25

Panel discussion: Analytics in the new trading landscape

  • Optimizing your real-time decision making abilities through advances in analytics
  • Utilizing unstructured data and complex data feeds in the trading environment
  • Using in-memory analytics to help you trade more efficiently
  • Analytics as an essential part of the regulatory tool kit - how are you using analytics and adapting your infrastructure to aid compliance?
  • Assessing new analytics tools that will enable you to deliver optimal speed and scalability
  • Addressing the skill set gap in trading technology and analytics to benefit from cross-functional collaboration - will 2015 be the year of the Chief Analytics Officer?

Moderator: Takayoshi Wiesner, Vice President, Desk Strategist, Global Capital Markets, MORGAN STANLEY
Paul Cao, Director of Data Services, WELLS FARGO SECURITIES
Matt Schuetze, Director of Product Management, AZUL
Asif Alam, Head of Enterprise Capabilities, Market Development, Americas, THOMSON REUTERS
Dejan Kusalovic, Marketing Director, INTEL

Speaker space available

Panel discussion: Adapting your EDM strategy to ease and adhere to a wave of regulation

  • Is your response to domestic and international regulation putting a strain on IT and business models and how are you managing the implications of change?
  • Addressing the need for an effective infrastructure platform to get ahead of the regulators when it comes to surveillance
  • How are you providing data in an accurate and timely manner to the regulators and what are the cost implications?
  • How have the demands of Fatca and other ongoing regulations impacted on your enterprise-wide data management and operational strategy?
  • As the volume of data from multiple sources continues to increase, how can we ensure that access is secure and timely, whilst mitigating the risks of data loss and leakage?

Moderator: Rochelle Brenner, CISA, Vice President, Quantitative Solutions, Compliance Architecture & Strategy, CITI
Manjeev Kumar, Global FATCA, Regulatory & Compliance Program, DEUTSCHE BANK
Brian Buzzelli, Executive Director, Head of Enterprise Data Management, Americas, NOMURA
Rick Aiere, Former Architect, CREDIT SUISSE

Speaker space available

4.10 Afternoon break and and oportunity to network

4.30 Afternoon plenary keynote address:

Gregg E. Berman, Associate Director, Office of Analytics and Research, Division of Trading and Markets, U.S. SECURITIES AND EXCHANGE COMMISSION

4.55 C-level panel: The technology of tomorrow - setting the scene for 2015

  • Merging the customer-firm gap: Will there be a need for a Chief Digital Officer to manage the technology required to stay "current"?
  • Digital, social and innovative progression - how can firms attract the best talent when the financial industry is trailing behind consumer firms that have addressed a new way of working?
  • Data leakage and reputational risk - how can the use of social media within firms be monitored and regulated?
  • How can vendor firms work to reduce operational risk whilst increasing optimal performance and functionality? Will it take the likes of google or apple to produce platforms that enable firms to download apps for their operational needs for other "traditional" financial vendor firms to change their strategy and offerings?
  • Disrupting the status quo - How can vendor firms create new ways of providing to institutional financial services to change the way they work?
  • What does the technology organization of the future look like after "cloudifying" everything and potentially losing staff to outsourcing?

Moderator: Edmund Flynn, Vice President, Global Market Data Sourcing, MORGAN STANLEY
Michael Nadeau, CIO, PIONEER INVESTMENTS
Steve Randich, CIO, FINRA
Philip Chew, CIO, DILLMAN CAPITAL PARTNERS
Bert Shen, Director, Product Management, SUPERMICRO

Speaker space available

5.40 Closing Remarks

5.45 Cocktail reception

7.00 American Financial Technology Awards 2014

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