exhibitors conference sponsors

conference sponsors drinks reception sponsor auditorium sponsorrefreshments sponsor

annual conferenceWednesday 14th November 2012

The Plaisterers’ Hall, London EC2Y 5JU

registration from 12.45pmconference presentations starting at 1.30pm

DRINKS RECEPTION SPONSORNAVIGANTNavigant ‘s team of Financial Services professionals apply experience, clear thinking and teamwork to deliver pragmatic solutions to complex problems across the global banking, insurance, and investment management sectors.

As a recognized and respected advisor to many leading organizations, our professionals provide consulting, benchmarking and resourcing solutions to a number of leading financial services organizations. Areas of specialty include operations strategy and transformation, distribution strategy and transformation, and regulatory strategy, risk and compliance.

REFRESHMENTS SPONSORKINETIC PARTNERSGlobal reach, one team, unique focus.

Kinetic Partners is an award winning global professional services firm focused exclusively on the asset management, investment banking and broking industries. Our comprehensive range of consulting and advisory services includes audit & assurance, regulation & compliance, consulting, risk, corporate recovery, tax, and forensic services. Established in 2005, the Firm has grown rapidly, bringing together a multidisciplinary team of industry experts, drawn from regulators, financial institutions and asset management firms around the world. We advise over 1,300 clients across eight offices in London, Dublin, Grand Cayman, New York, Geneva, Hong Kong, Luxembourg and the Channel Islands.

Kinetic Partners’ clients value our global approach and expert advice, and rely on our ability to operate across borders, which is crucial given the global nature of the industries we service. Our unique industry focus makes the Firm less susceptible to conflicts of interest, allowing us to deploy highly experienced professionals in a targeted yet flexible manner across the investment management industry.

www.kinetic-partners.com

AUDITORIUMSPONSORBRAVURA SOLUTIONSBravura Solutions is a global supplier of wealth management and transfer agency applications. We specialise in administration and management solutions for pensions, life insurance, investment, transfer agency and financial messaging.

Our applications support over £900bn in assets under management with a client base that includes some of the world’s leading financial institutions. Software can be implemented on an installed or managed service basis and is maintained by more than 700 professionals across the UK, Continental Europe, South Africa, Asia, Australia and New Zealand.

For more information about how Bravura Solutions can help your business increase operational and cost efficiency, improve speed to market, minimise risk and provide better service to the end customer, visit www.bravurasolutions.com. You can also follow us on Twitter @BravuraFinTech

EXHIBITORSALTUSAltus is a business and systems solutions company founded in 2005 to meet the unique needs of the Financial Services industry. From shaping a detailed outsource deal to automating transfers across the investments sector, our mission is to be at the forefront of the networked financial services business of the future. It is our practical experience of both the business of Financial Services and the IT systems which support it which enable us to solve the right problems with the right technology.

Contact us on 01225 472830 or e-mail enquiries@altus.co.uk for more information today.

FUSIONEXPERIENCEFusionExperience works across the financial services and complementary vertical markets delivering a broad range of outcome based services to an international client base. We provide innovative solutions which add value to our clients, delivering against their business and technology needs.

To deliver maximum benefit, the company has four strategic divisions:

• Investment management: We partner with our clients in the Investment Management sector to drive down costs and increase operational efficiency by focusing on proven business reference models, repeatable processes and service excellence;

• Cloud: We enable our clients to become more adaptive by taking advantage of the Cloud through ready developed apps, advice and guidance, best practice and proven methodologies. These Apps include Enterprise Value Management for Asset Managers and Enterprise Value Management for Project Governance.

• SDLC: We provide a range of high quality and effective services across the full SDLC (systems development life cycle) that reduce timescale and costs for clients;

• Resourcing: We help our clients to respond to the peaks and troughs of project and business life cycles through comprehensive and flexible Resourcing services.

In each area of the business we are passionate about results, maximising the value that our clients achieve from our expertise in financial services, technology and consultancy.

Our consultants are seasoned practitioners delivering services and outcome based propositions with an unrivalled level of skill and business innovation.

The combination of our deep domain expertise and delivery track record is a powerful catalyst, that helps clients take the high ground in their sector.

MDM CONSULTANTS LTDMDM Consultants Ltd is a specialist recruiter of risk, regulation and compliance professionals to the Financial Services industry. We deliver retained search assignments, permanent recruitment and interim consultants. Our clients include investment firms, brokerages, banks, consultancies and insurers. We provide the highest quality of people sourced through our network developed and maintained over the past 15 years. It is the strength of our network, credibility and industry knowledge that differentiates us from our competitors enabling MDM to access and deliver the rare talent in the market.

MDM Compliance Systems Ltd is a specialist provider of scalable and tailored solutions to manage the large shareholding, aggregation and disclosure process. Challenging market conditions, an unprecedented regulatory agenda, restrictive budgets and higher levels of monitoring are stretching compliance departments to the limits. With complicated global organisational structures, multi faceted products and evolving international disclosure rules making the issue of large shareholding a real challenge for firms. MDM can deliver a complimentary service to support current internal processes or provide an entirely new solution on regional or global basis.

THE NATIONAL SKILLS ACADEMY FOR FINANCIAL SERVICES (NSAFS) The Academy is an independent, employer-led, educational charity that supports firms of all sizes within Financial Services in the skills development of their workforce. We have developed with employers a suite of products and services from regulatory online modules to soft skills workshops. We also act as a quality gateway to our network of approved training providers.

We coordinate national corporate social responsibility projects on behalf of employers to help them make their social contribution to the industry and we also provide a new talent programme to help prospective and non-traditional entrants find an access route into financial services.

www.nsafs.co.uk • 0845 618 2353Dowgate Hill House, 14-16 Dowgate Hill, London EC4R 2SU

SWIFTSWIFT is a member-owned cooperative that provides the communications platform, products and services to connect more than 10,000 banking organisations, securities institutions and corporate customers in 212 countries and territories. SWIFT enables its users to exchange automated, standardised financial information securely and reliably, thereby lowering costs, reducing operational risk and eliminating operational inefficiencies.

SWIFT has a strong presence in the investment funds industry and provides comprehensive coverage throughout the funds transactional lifecycle facilitating straight-through-processing (STP) in funds as well as securities, treasury and payments. SWIFT’s value proposition to the funds industry includes the launch of comprehensive fund messaging standards, allowing investment managers, distributors, and administrators to reduce operational costs and risks, whilst enhancing scalability and service levels. www.swift.com/funds

The Board of TISA would like to thank the Sponsors and Exhibitors for their generosity and support in making this annual event such a success.

FUNDSNETWORKFundsNetworkTM is the UK’s online investment platform from Fidelity Worldwide Investment, administering £38.35bn in assets (as at 30/09/2012). Fidelity is one of the UK’s largest investment companies and provides advisers and clients with the reassurance of knowing that investments are administered by an independent and financially strong organisation that they can trust for the long term.

FundsNetwork offers:

A wide ranging choice of product wrappers - Collectives, ISAs (with Phasing and Cash Park facilities), Bonds (Investment and International), SIPP (with Drawdown) and a library of multi-asset trusts.

A comprehensive fund range - over 1,250 funds, including ETFs and Unbundled funds, offered by more than 80 leading fund providers.

A choice in how to submit business - advisers and clients alike have the choice to conduct their business with us by either post, phone or online, with a strong service offering provided to underpin these channels.

An extensive reporting suite - access to a wide range of client reports and adviser based Management Information reports including re-registration status, income distributions, ongoing commission and fees, now complemented by our electronic delivery service which retains online client documentation.

A fully diversified service - Capital Gains Tax Reporting, Bulk Switching, Adviser Fees, Consolidation and much more in our Client Management area.

Investment Modelling Tools - providing advisers with access to a wide range of tools (Portfolio Evaluator, NavigatorTM, Tax Wrapper Analyser, CGT Reporting) to make it easier to choose investments and wrappers, so they can focus on developing portfolios for their client’s needs.

BARCLAYSBarclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people.

Our customers and clients benefit from access to the breadth of expertise across Barclays. We’re one of the largest financial services providers in the world, engaged in retail banking, credit cards, corporate and investment banking, and wealth management.

LEGAL & GENERALLegal & General has the clear vision of being the UK’s most outstanding risk, savings and protection business; which we believe is achieved via the following:

1. Sustained financial strength, as demonstrated by our AA- rating.

2. Multi-distribution strategy giving a comprehensive understanding of the UK financial market place.

3. Extensive fund management expertise within Legal & General Investment Management

4. Service and support provision, with a number of industry awards relating to the quality of our support

Legal & General Group

Legal & General Group has a worldwide multi distribution strategy, with an Insurance Groups Directive (IGD) capital surplus of £4 billion, equal to 238% of the FSA’s minimum requirement (as at 30th June 2011). We are highly rated on the Dow Jones Sustainability Index and three of the world’s leading independent rating agencies, Standard & Poor’s, Moody’s and A.M. Best recognise us for our financial strength.

On average over 55,000 new customers join us each month. In 2010 we were responsible for over eight million policies for over seven million customers. We paid out over £92 million a month in pension payments in 2011, as one of the largest pension managers in the UK.

Legal & General Investment Management

Legal & General Investment Management (LGIM) is one of the leading fund management groups in the UK with £362 billion (as at 30th June 2011) of funds under management. LGIM manage investments for the pension funds of almost half of the companies in the FTSE 100 Index and is one of the biggest and most successful providers of Index-Tracking Investments in the UK managing £232 billion as at 30th June 2011.

Our expertise and range of products enables us to make a positive contribution towards a broad range of societal and public policy issues: for example increasing longevity, health and retirement planning and pensions. Legal & General has worked with TISA for many years to help achieve the right policy outcomes for UK savers.

CONFERENCE SPONSORS

SPEAKERSannual conferenceWednesday 14th November 2012The Plaisterers’ Hall, London EC2Y 5JU

Registration from 12.45pm. The conference presentations will start at 1.30pm and finish by 6.00pm.

A drinks reception will follow the conclusion of the conference.

HENK POTTSEDWARD HARLEYLAWRENCE GOSLINGJUSTIN URQUHART STEWART

LORD JOHN EATWELLTONY SOLWAY STEVE WEBB MP

OPENING REMARKSTONY SOLWAY, CHAIRMAN, TISA

THE CONFERENCEWILL BE CHAIRED BYJUSTIN URQUHART STEWART

Having trained as a barrister, Justin took up corporate finance, working in both Africa and Singapore. He then returned to the UK and helped in the developments towards Big Bang in 1986 in London which led to him helping to found Broker Services in 1986. Broker Services went on to become Barclays Stockbrokers, where Justin was Corporate Development Director. In early 2001, he co-founded Seven Investment Management, an investment management business that innovated the UK investment market with the introduction of the first Sterling Investment Wrap Account. Seven Investment Management now manages and administers around £4.1 billion on behalf of professional financial wealth managers and intermediaries.

Justin has a keen interest in developing the investment market to break down as many of the traditional barriers as possible for both private investors and smaller companies. As part of this he was involved in the original development of the AIM market and the investor educational company, Proshare. He writes regularly for national magazines and newspapers, and is a frequent commentator on television and radio, both in the UK and abroad.

In March, Justin won the ‘Best Industry Commentator 2012’ from the City of London Wealth Management awards, as voted for by professionals and consumers.

He is married with one daughter, two cats and a motorcycle, with an interest in archaeology and writes short stories on the Roman Empire.

LORD JOHN EATWELL

Lord John Eatwell is the President at Queens’ College, Cambridge since 1997. In 1988, together with Mr. Clive Hollick, he founded the Institute for Public Policy Research. Lord Eatwell is a Senior Advisor and a Member of European Advisory Board at Warburg Pincus LLC and an Economic Advisor at Palamon Capital Partners. He is a Non-Executive Director of Cambridge Econometrics and Rontech Ltd. Lord Eatwell served as a Non-Executive Director of Anglia Television Ltd. from 1994 to 2001. From 1997 to 2000, he chaired the British Screen group of companies which included British Screen Finance, British Screen Rights, and the National Film Trustee Company. Lord Eatwell has been a Visiting Professor at Columbia University, New York; the University of Massachusetts, Amherst; and the University of Amsterdam. He has taught Economics at Cambridge since 1970 and also serves as a Professor of Financial Policy in the Judge Institute of Management, University of Cambridge. From 1980 to 1996, Lord Eatwell was a Professor in the Graduate Faculty of the New School for Social Research, New York. He is the Trustee of Institute for Public Policy Research and was its Chairman from 1997 to 2000. Lord Eatwell is the Director of the Cambridge Endowment for Research in Finance. He was a Board Member of the Royal Opera House from 1998 to 2006 and the Chairman of the British Library from 2001 to 2006. Lord Eatwell is a Member

of the Board of Directors of the Covent Garden, with particular responsibility for the Royal Ballet and the Governor of Royal Ballet School. Lord Eatwell also served as the Chairman of Commercial Radio Companies Association from 2000 to 2004. In 1997, he joined the Board of the Securities and Futures Authority (SFA), serving on the Enforcement Committee and the Capital Committee. In this position Lord Eatwell developed his interest in securities regulation particularly with respect to risk management in financial institutions. He was a Member of the Regulatory Decisions Committee of the Financial Services Authority untill 2006. In 1992, Lord Eatwell entered the House of Lords and from 1993 to 1997 was the Principal Opposition Spokesman on Treasury and Economic Affairs. From 1985 to 1992, he served as an Economic Adviser to Neil Kinnock. In that post Lord Eatwell was responsible for much of the work that led to a substantial re-alignment of the Labour Party’s economic policies. His latest publications are Global Finance at Risk: The Case for International Regulation (New Press, New York), International Capital Markets, (2002), Financial Supervision and Risk Management in the EU (2007), and Global Governance of Financial Systems: The Legal and Economic Regulation of Systemic Risk (Oxford University Press, New York). Lord Eatwell was educated at Cambridge and Harvard.

LAWRENCE GOSLING

Lawrence Gosling has been a professional journalist for 25 years working across a range of national and trade media. He is currently editorial director of Incisive Media, publishers of a range of business-to-business in areas such as pensions, asset management, mortgages, and risk management.

He writes a weekly column for one of those magazines Investment Week, called Gosling’s Grouse, and is regular newspaper review for BBC Worldwide TV’s World Business Report.

EDWARD HARLEY

Ed is Head of the Asset Management Department in the FSA. The Department currently supervises Asset Managers, Hedge Funds, Platforms and Administrators and Wealth Managers, and also many Intermediary firms. It also leads on risk analysis of the Asset Management Sector for the FSA. Ed previously led Policy departments at the FSA, and had a range of roles in risk and research. These included producing the first editions of the FSA’s Financial Risk Outlook. Prior to joining the FSA, Ed worked as an economist in the Civil Service. He is married with two children.

HENK POTTS

Director, Global Research & Investments, London. Henk joined Barclays Bank in 1998 as a graduate and worked as a Stock Market Analyst for Barclays Stockbrokers, focusing on UK equities. In 2009 he was appointed Director of Global Research & Investments for Barclays Wealth, where he works as part of a team formulating and communicating investment strategy to internal and external clients.

In his current role, Henk analyses a wide variety of asset classes, including equities, currencies and commodities, as well as ascertaining and explaining the effects of macro economic changes on financial markets. Based in London, he works

in the UK and across a wide range of other jurisdictions including Monaco, Geneva, Cyprus, Bermuda and Africa, where he interacts with private banking and intermediary clients.

Henk is very well known in the media and regularly appears on Sky News, BBC, Bloomberg, CNBC, Channel 4 and CNN. In addition to television appearances, Henk has numerous radio commitments as in-house stock market expert, with regular slots on Talksport, LBC, Riviera Radio (Monaco) and World Radio Switzerland. He also writes regular columns for national UK newspapers and personal finance magazines.

Henk will offer analysis, predictions and investment strategy on the following subjects:

• Recent financial market malaise• US Economy • Euro zone Economy • UK Economy• Emerging Markets • Asset Allocation• Banking sector • Foreign Exchange Markets• Oil • Commodities• Key themes that are likely to influence financial market performance over the next 12 months.

STEVE WEBB MP

In 1997, Steve Webb became the Liberal Democrat MP for Northavon. Boundary changes in May 2010 created a new constituency of Thornbury and Yate. At the last election, Steve became the first MP for this new area, which includes most of his former Northavon constituency, and is where he lives with his wife and two children.

Steve was appointed Minister of State for Pensions in May 2010, in the new Coalition Government. Prior to that, Steve was the Liberal Democrat spokesperson on Work and Pensions (1999 to 2005), Health (2005), Environment, Energy, Food and Rural Affairs (2007), Energy and Climate Change (2008), before returning to Work and Pensions in 2009. Steve also chaired the Liberal Democrat Manifesto Group in 2006.

Before being elected, Steve studied Philosophy, Politics & Economics at Hertford College, Oxford. Between 1986 and 1995, Steve worked as an economist at the Institute for Fiscal Studies before being appointed Professor of Social Policy at Bath University.

Aside from his parliamentary duties, Steve is actively involved in the Parliamentary Christian Fellowship and cites his hobbies as information technology, music, and being an armchair supporter of West Bromwich Albion.

THE CONFERENCE WILL INCLUDE A PANEL SESSION WHICH WILL BE CHAIRED BY:RAY NULTY - MD (FINANCIAL SERVICES), NAVIGANT

Panel Speakers include:

AMANDA BROWN - ALTERRA BUSINESS CONSULTING LTD

PHIL BOWKLEY - BARCLAYS

ANDY HAMILTON - IFDS

CARLTON HOOD - OLD MUTUAL

CLOSING REMARKSTONY VINE-LOTT, DIRECTOR GENERAL, TISA

CONFERENCE THEME

We are delighted to invite you to our Annual Conference. The afternoon is designed to bring attendees up to date with the current thinking, issues and concerns of the government, regulator, media and industry thought leaders – all of whom are likely to have an influence on our future, daily business lives.

The Annual Conference is always a popular and much talked about event and given the excellent speakers making themselves available I am very confident that this year will once again be a first class affair.

The day, including the drinks reception afterwards, will give you the opportunity to meet with friends and colleagues and to build new relationships and contacts and also to discuss the latest offerings and developments from our sponsors and exhibitors.

We look forward to seeing you all once again at the Plaisterers Hall.

TONY VINE-LOTT, DIRECTOR GENERAL, TISA