| Monday, April 2, 2012 |
| 2:00PM - 6:00PM |
Onsite Registration |
|
| Tuesday, April 3, 2012 |
| 7:00AM - 4:00PM |
Onsite Registration |
|
| 7:30AM - 8:30AM |
Breakfast |
Bonnet Creek 1, 2 |
| 8:30AM - 9:30AM |
General Session: Revenue Through Relationships - The Power of Collaboration
Keynote: Troy Hazard, recent Global President of the elite Entrepreneurs' Organization
Opening remarks from Steve Sabin, COO, SunGard’s Protegent |
Bonnet Creek 4, 5 |
9:30AM - 11:00AM
|
Synapse 6.0 – Technology that grows with your business
User Focus: All Protegent Users
This session is to cover the integrated platform strategy and demonstrate the new Synapse 6.0 platform. Topics will include: · Benefits of an Application Platform Strategy · Synapse 6.0 Development Update · Demo new foundation components (UI, Dashboard, Case Management) · Discuss Application Migration Schedule Speaker: Jeff Call, SunGard |
Bonnet Creek 4, 5 |
PTA 5.0 Overview
User Focus: PTA
Major features of Protegent PTA 5.0 will be introduced along with a brief demo.
Speaker: Lauren Mahoney, SunGard |
Citrus/Collier/Columbia |
| 11:00AM - 11:30AM |
Networking Break |
|
11:30AM - 1:00PM
|
Regulatory Priorities Roundtable
User Focus: Protegent Surveillance, Customer Onbaord and Social Media Surveillance
Compliance officers to discuss how firms have prepared for FINRA 2111 and other 2012 regulatory priorites.
Speakers: Carla Pipes and Rex Gooch, SunGard |
Bonnet Creek 6 |
AML and Client Risk Roundtable
User Focus: Protegent Surveillance
This is a best practice session for AML and compliance officers to discuss the process firms use to identify high risk profiles and related suspicious activity for detecting and managing risk at a client level. What works well and what doesn’t? What gaps and pain exist that can be improved?
Speakers: Bryan Bateman and Ben Feinauer, SunGard
|
Bonnet Creek 6 |
PTA 5.0 Control Room
User Focus: PTA
PTA 5.0 Control Room functionality, demonstration of use case, explanation of data requirements and configuration capabilities.
Speaker: Jared Olkkola, SunGard |
Citrus/Collier/Columbia |
Valdi Trading Compliance: Year in Review (new functionality) User Focus: VTC Overview of the product enhancements for 2011, including a discussion on the compliance initiatives for 2012. Speaker: Anthony Becker, SunGard |
Dixie |
| 1:00PM - 2:00PM |
Lunch |
Bonnet Creek 1, 2 |
2:00PM - 3:30PM
|
Social Media Surveillance Update
User Focus: All Protegent Users
Last year Protegent unveiled a new offering for Social Media Surveillance. This session looks at how the social media space has evolved, including new application features, roadmap details as well as how firms can leverage their social media compliance technology to track their online presence and performance.
Speakers: Suman Garhwal and James Cella, SunGard |
Bonnet Creek 4 |
PTA 5.0 Conflicts Detection
User Focus: PTA
PTA 5.0 Conflicts detection session will demonstrate the usage of the new Conflicts functionality. Along with presenting the new forensic functionality we will review the existing forensic reporting capabilities of PTA.
Speaker: Victoria Caviasca, SunGard |
Citrus/Collier/Columbia |
Valdi Trading Compliance: Regulatory Roundtable
User Focus: VTC
This roundtable will focus on general compliance industry trends, including new areas of focus for regulators.
Speakers: Anthony Becker and Tom Giglio, SunGard |
Dixie |
| 3:30PM - 4:00PM |
Networking Break |
|
4:00PM - 5:30PM
|
Protegent Policy Manager
User Focus: All Protegent Users
Learn how to migrate and manage your firm's policies and procedures to an online venue. Document and manage your annual branch audits and provide training on key regulatory and product issues including CE qualified trainings.
Speaker: TBD |
Bonnet Creek 6 |
Customer Onboard User Group Roundtable
User Focus: Customer Onboard
Roundtable discussion with the user community and those with Onboarding needs. Topics will be solicited by the attendees prior to the Summit and presented for discussion at the session. Potential session topics include: · Front-end vs. back end suitability alerts · Onboarding needs by product – insurance, MF, brokerage · STP processing for direct business · e-Signature adoption and implementation · Workflows Speakers: Rex Gooch and Greg Orgill, SunGard |
Bonnet Creek 3 |
PTA Best Practices: Client Round Table
User Focus: PTA
Engage in peer to peer discussions covering general compliance best practices within your specific industry as it relates to Protegent PTA in current and future states.
Moderator: Laurie Mahoney, SunGard |
Citrus/Collier/Columbia |
Valdi Trading Compliance: 2012 Roadmap
User Focus: VTC
An overview of the Valdi Trading Compliance product strategy for 2012. Topics include: - Application Development Schedule
- New Functionality
Speaker: Anthony Becker, SunGard |
Dixie |
| 5:30PM - 6:30PM |
Break |
|
| 6:30PM - 8:30PM |
Welcome Dinner |
Island |
Wednesday, April 4, 2012
|
| 7:30AM - 8:30AM |
Breakfast |
Bonnet Creek 1, 2 |
| 8:30AM - 9:30AM |
General Session
Larry Tabb, Founder & CEO, TABB Group |
Bonnet Creek 4, 5 |
9:30AM - 11:00AM
|
Protegent Surveillance Roadmap Review
User Focus: Protegent Surveillance
Protegent Surveillance development initiatives and product strategy for 2012. Review of Rep Review and other new module developments. Speakers: Bryan Bateman and Rex Gooch, SunGard |
Bonnet Creek 3 |
PTA Panel: Insider Trading Other Regulatory Hot Topics User Focus: PTA Speaker: Janaya Moscony, CFA President, SEC3 and Buddy Doyle, Managing Director, Oyster Consulting |
Citrus/Collier/Columbia |
Valdi Trading Compliance: Interactive Training and Maximizing VTC Data and Functionality
User Focus: VTC
An in-depth training on the capabilities of the VTC and its modules with a spotlight on the Ad Hoc reporting module, including best practices for using VTC in preparation of regulatory exams.
Speaker: Anthony Becker and Linda Tamburro, SunGard |
Dixie |
| 11:00AM - 11:30PM |
Networking Break |
11:30AM - 1:00PM
|
Reporting Best Practices Roundtable
User Focus: Protegent Surveillance
This is a best practice session for Protegent staff and compliance officers to discuss effective reporting methods and approaches relative to: - Data mining the application (UI Filtering) li>
- Auto detection and alerting
- Ad Hoc reporting
Speaker: Ben Feinauer, SunGard |
Bonnet Creek 3 |
Customer Onboard and Managed Data Services
User Focus: Customer Onboard, Protegent Surveillance
Discussing Onboard related topics including: span> · Cleaner and better data using Onboard and MDS · Giving Onboard access to current positions, balances, and activity data · Accessing imaged documents from Onboard · Development roadmap and 6.0 preview Speakers: Greg Orgill and Rex Gooch, SunGard |
Bonnet Creek 6 |
PTA Round Table: Protegent PTA Roadmap
User Focus: PTA
Participate in the development of the Protegent PTA roadmap. This opportunity to discuss desired functionality both with your peers and the Protegent PTA product team will allow our clients to take an active role in future releases.
Speaker: TBD |
CiCitrus/Collier/Columbia |
Protegent Market Abuse (new offering)
User Focus: VTC, Protegent Surveillance
US regulators are looking more closely at manipulative trading behaviors across enterprises and exchanges. Protegent now offers a solution to help firms manage risk by detecting scenarios that are perceived to be abusive. Detection includes scenarios such as price analysis, riskless trading, marking the close, cornering, spoofing and profit and loss.
Speaker: Bryan Bateman, SunGard |
Dixie |
| 1:00PM - 2:00PM |
Lunch |
Bonnet Creek 1, 2 |
| 2:00PM - 4:00PM |
Ask the Expert: Protegent Surveillance
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items.
Speaker: Ben Feinauer |
Bonnet Creek 3 |
Ask the Expert: Customer Onboard and MDS Expert
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items. Speakers: Rex Gooch and Greg Orgill |
Bonnet Creek 3 |
Ask the Expert: PTA
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items.
Speakers: Adam Clough and Laurie Mahoney |
Bonnet Creek 6 |
Ask the Expert: VTC
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items.
Speaker: Anthony Becker |
Bonnet Creek 6 |
Ask the Expert: Social Media Surveillance
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items. Speakers: Suman Garhwal and James Cella |
BoBonnet Creek 6 |
Ask the Expert Sessions: Protegent Market Abuse Protegent product personnel will be available in an informal setting for general questions or discussion items. Speaker: Bryan Bateman |
Bonnet Creek 3 |
Ask the Expert: Policy Manager Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items. Speakers: Beth Murphy and Teresa Myers |
Bonnet Creek 6 |
|
Ask the Expert: Synapse 6.0
Protegent product personnel will be available to our customers in an informal setting for general questions or discussion items.
Speaker: Jeff Call |
Bonnet Creek 6 |
| 4:00PM - 5:30PM |
Break |
|
| 5:30PM - 9:30PM |
Customer Appreciation Event: Scavenger Hunt through Epcot
Sponsored by Oyster Consulting |
|
| Thursday, April 5, 2012 |
| 7:30AM - 8:30AM |
Breakfast |
Jackson |
8:30AM - 12:00PM
|
Protegent Surveillance Module Training
This training session will cover each of the review modules with special emphasis on Account Review. Q&A is encouraged for attendees who what to know how better to use and leverage the application.
Speaker: Bryan Bateman, SunGard |
Citrus/Collier |
Ad Hoc Module Training
This training session will provide an in-depth training on the capabilities of the Ad Hoc reporting modules as well as advancements in the Synapse 6.0 version.
SpSpeaker: Jeff Call, SunGard |
Flagler/Gilchrist |
Synapse Workbench Training
This training session provides users an update on techniques for building testing and modifying business rules.
Speaker: Ben Feinauer, SunGard |
Columbia |
PTA Client Wish List Forum
This session is to allow clients to with meet and discuss with product management their firms' needs, priorities and other "cool" items they'd like to see in Protegent's product offering.
Speaker: TBD |
Dixie |