Tuesday, June 23, 2009


11:00 a.m.

Registration Opens

 2nd Floor Promenade

12:00 p.m.

Exhibit Hall Opens

 2nd Floor Promenade

Exhibit Hall Networking Refreshments
Hosted by Epsilon

1:00 p.m.

TMC theater Long
 2nd Exhibit  Floor


Anna Ewing
Executive Vice President
Chief Information Officer



Technology and Innovation: Keys to Financial System Recovery

Recent market events have shown how technology has become the driver of change and excellence in all aspects of financial market operations. Ms. Ewing, the Chief Information Officer at NASDAQ OMX, will address the impact of technology in global financial markets, highlighting stability and innovation as twin pillars of successful financial market operations and keys to economic recovery. She will also discuss NASDAQ OMX's expanding global platform.


2:00 - 3:45 p.m.

Opening General Session


Trianon Ballroom, 3rd Floor
Hosted by Red Hat

Welcome and Opening Remarks


T. Timothy Ryan, Jr.
President & CEO
Securities Industry and Financial Markets Association


Mr. Ryan will introduce the Conference and provide insight and an overall industry perspective.


 Mike Blum

Michael Blum
Vice President and General Manager - World Wide Financial Services, TSG
Hewlett Packard Company

 Transforming the Financial Services Industry with Innovative Technology-Led Solutions

Mr. Blum will present HP’s vision on how financial institutions can leverage innovative technology-led solutions to transform their business models. Drawing on recent customer examples, he will share how leading financial institutions affected by the current financial crisis have stabilized and restructured their businesses for sustained competitive advantage using strategies that include cloud computing, technology standardization and optimization, and legacy replacement. For example, the high proportion of fixed IT costs is now a critical issue for many financial institutions. HP is helping customers to eliminate fixed costs and up-front investment by restructuring the management and operation of their technology environments and enabling them to rapidly move to variable cost operating models and usage-based platforms. Mr. Blum will also explore solutions that enable financial institutions to remove silos and drive vast improvements in flexibility, efficiency and productivity at the same time as mitigating risks.


 Bob Moffatt

Robert W. Moffat, Jr.
Senior Vice President and Group Executive
IBM Systems and Technology Group

 Transforming Today's IT Infrastructure
 The current financial crisis is reshaping the global financial system in profound ways. As the information required to run today's businesses continues to grow by orders of magnitude, so does a need for unprecedented control of the IT infrastructure that manages it. Tackling these challenges and preparing for future growth requires a variety of different platforms -- including a mix of operating systems, hardware, middleware and applications -- as well as open standards and deep, industry-specific expertise. Bob Moffat, senior vice president and group executive of IBM's Systems and Technology Group, will discuss how enterprises can create a dynamic infrastructure that supports financial stability while providing a computing environment that can drive financial innovation.

4:00 p.m.

TMC theater Long
 2nd Exhibit Floor


Rick Bookstaber
A Demon of Our Own Design


What was the cause of financial crisis? Mr. Bookstaber will review the current crisis and provide a broader perspective using his book as the starting point. How did risk management fail? Did the mad scientists of Wall Street “blow up the lab” with their esoteric derivatives, or is the problem one of organization and incentives? Where do we go from here and how can technology help?


4:00 - 6:00 p.m.

Exhibit Hall Reception



Hosted by Autonomy   

- Platinum Sponsor -


Wednesday, June 24, 2009

Press Room -
 2nd Floor Promenade

7:30 - 8:00 a.m.

Continental Breakfast


Trianon Ballroom Foyer, 3rd Floor


8:00 - 10:00 a.m.

General Session

 Trianon Ballroom, 3rd Floor

 Carl Trieloff

Carl Trieloff
Senior Consulting Engineer
Red Hat

 Building Financial Use Cases Directly into Messaging Software for Better Performance and Productivity

Financial companies depend upon messaging software for critical activities from trading to providing market data feeds to running stock exchanges. But when a company deploys a messaging system, they must build functionality on top of the messaging system to handle initial value caches, replay queues and buffers, ticker symbol matching and other aspects. This adds cost and complexity, consumes time and resources, and degrades performance. This session will look at the architecture of building in finance use cases into messaging software, how to take advantage of them and the gains that can result. How a major finance company leveraged these capabilities with Red Hat Enterprise MRG Messaging will be explored as a case study.


 Stanley  Young

Stanley Young
NYSE Technologies
and Co-Global CIO
NYSE Euronext

 Technology Driving Change - From Optimizing Infrastructure to Liquidity Hubs


Hal Stern 
Senior Vice President of Systems Engineering
Sun Microsystems, Inc


 Enabling Agility Through Cloud Architectures
 Mr. Stern will present a view of how cloud computing encompasses architectural design points of abstraction, elasticity and infrastructure ownership models, and explore how public, private and mixed cloud environments are changing the relationship between application developers and IT deployers. In conclusion, he will discuss how applications, and our notions of reliability, are changing and whether or not system administrators are an endangered species.

10:00 - 10:20 a.m.

Refreshment Break


10:20 a.m. - Noon

General Session

 Trianon Ballroom, 3rd Floor
 Donald Hopkins

Donald Hopkins
Vice President and Chief Information Officer
SunGard Availability Services


From Business Continuity to IT Cost-Cutting in a Fortune 1000 Company -- Lessons Learned


In this economic downtime, companies are taking a hard look at IT expenditures to identify projects that can be cut. But even in the midst of tough times, business needs for available data and regulatory compliance requirements do not slow down. Don Hopkins, CIO at SunGard Availability Services, will address how to assess the risks to your organization, pinpoint essential programs that must be maintained – and the best approach for them to continue, and discuss the importance of considering the impact of technology changes to disaster recovery plans.


Pat Peck

Patrick Peck
Senior Vice President
Booz Allen Hamilton


Cyber - Are you ready for what’s next?

As systems and people become more interconnected, the ability to view and understand the “Cyber threat horizon” outside corporate boundaries will allow organizations to proactively manage and prioritize risk. This new thinking focuses on moving beyond traditional risk management to building your corporate resilience. Mr. Peck will define an approach to addressing the growing complexities related to managing risk and building resiliency associated with people, planning, and technology as it relates to Cyber security.


Clare Hart

Clare Hart
Executive Vice President
Dow Jones & Company
Dow Jones Enterprise Media Group


Don’t Forget the “I” – Innovation, Information and self-Interest in a time of economic uncertainty. 

Innovation shouldn’t take a vacation in an economic downturn. As IT executives everywhere work to balance the conflicting demands of tighter resources and greater productivity, there’s never been a better time to rethink how IT can drive more value for the organization. This session will explore the convergence of emerging trends in technology, information and the new economy and how they can drive the efficient consumption of information in financial institutions.

Noon - 2 p.m.

Exhibit Hall Networking Refreshments

Hosted by Orange Business Services

- Platinum Sponsor -

Noon - 1:30 p.m.

Luncheon Meeting


Mercury Ballroom, 3rd Floor

Hosted by CA, Inc.

The Economics of IT


John A. Swainson
Chief Executive Officer
CA Inc.


Economics of IT

John Swainson, CEO, CA, Inc., will participate in a fireside chat with BusinessWeek reporter Steve Hamm, where they will discuss how IT can deliver significant business value at lower cost during this challenging global economic climate. The ongoing problem of complexity in the data center is the fundamental issue facing the financial industry and the leading obstacle keeping customers from realizing the full benefits of their IT resources.


1:45 - 2:30 p.m.

Individual Sessions


Note to Editors/Reporters: Individual sessions are open to the media but all comments by speakers, panelists and attendees are considered off the record.

1. in the Cloud

Madison Suite, 2nd Floor

Jeff Bauer

Jeff Bauer
Creative Director

 Joel York

Joel York
Chief Marketing Officer


Everyone is looking for higher quality, more timely financial information. The recession, financial crisis, and the Web have increased demand and raised expectations. is the home page for the world's business leaders and the No. 1 business news source in the world, and must respond to these market demands quickly and efficiently to maintain its competitive edge. This session will discuss how is working with Xignite to leverage cloud-computing and web services to provide real-time BATS Exchange stock quotes to readers of one of the world’s most highly trafficked financial websites.

2.  Data Crunch Meets Economic Crunch: Thank the Heavens for Cloud Cover

Clinton Suite, 2nd Floor


Kevin Haar
Chief Executive Officer
Appistry, Inc.


Across the financial sector , IT executives are looking to broadly adopt cloud computing in 2009 for its ability to deliver applications more efficiently, reliably and with better scalability. Two trends are converging: increasing regulatory pressures and tightening economic conditions. C loud is a cost-effective answer to these challenges. In 2009, financial institutions will begin to migrate applications into private cloud environments behind the firewall. The first applications to migrate to the private cloud will be applications that:

* Experience frequent bursts in load

* Are intermittently used (mission-specific)

* Require scalability beyond what the inistutions’ traditional infrastructure has been able to deliver. 

3.  Virtualization-Better Business Outcomes in a Down Economy

Bryant Suite, 2nd Floor


Mark Melvin
Chief Technology Officer
ePlus Technology, Inc.


Businesses from all sectors can benefit from the cost savings that virtualization brings to the enterprise. Many enterprises do not understand the eight phases of virtualization required for a successful deployment and realization of the full ROI. Without these eight phases, money is being left on the table and undeniable pitfalls wait within your organization. Learn how ePlus has worked with many of our clients to save millions in energy, hardware, facility, and other costs through virtualization initiatives. This session will review two different case studies, outlining the technical and financial benefits each client realized. Learn how you may be missing some of the hard savings attainable from an enterprise wide virtualization strategy.

4.  Stream Computing at Supercomputer Speeds -
       Enterprise Applications Will Never Be The Same

Sponsored by IBM

- Platinum Sponsor -

Morgan Suite, 2nd Floor


Rizwan Khalfan
Chief Information Officer
TD Wholesale Banking Technology Solutions

Nagui Halim
IBM Event and Streaming Systems


Analyzing and processing data streams at ultra-low latencies are required to capture market opportunities ahead of the competition. TD Bank Financial Group recently worked with IBM Research to develop a first-of-a-kind system capable of consuming, analyzing and acting on real-time market data while maintaining sub-millisecond response times, even under extreme data loads. The system is comprised of a IBM InfoSphere Streams application running on a Blue Gene®/P supercomputer. Rizwan Khalfan, CIO - TD Wholesale Banking Technology Solutions, and Nagui Halim, Director - IBM Event and Streaming Systems, will review the architecture, design considerations and the results of this ground breaking next-generation research project.


2:35 - 3:20 p.m.

Individual Sessions

1.  Do or Die - 2009 Mission Critical Projects

Madison Suite, 2nd Floor



Thomas J. Jordan
President & CEO
Jordan & Jordan


Susan Crozier
Product Manager


Irene A. Halpin
Vice President


Thomas Knorring
Vice President, Trading Operations
The Chicago Board Options Exchange


When technology resources are tight and priorities must be carefully set, which initiatives must be at the top of the list? Surviving and profiting through unprecedented market turmoil requires market participants to focus on projects that will promote growth, reduce costs and meet compliance obligations. During this session we will review the non-discretionary initiatives that will remain a priority because of (or in spite of) current market conditions. Options symbology, sponsored access, latency, trade reporting, and risk management initiatives will be reviewed including status of the initiative, open issues, and expected milestones. 

2.  Records Management: Technology and Legal Challenges

Clinton Suite, 2nd Floor


George T. Tziahanas, Esq.
Vice President, Compliance


In today's enterprise, information is often hidden inside end-users' desktops and departmental file systems, embedded in collaboration and email systems, and integrated into business processes, creating a significant challenge for records management and information governance. Microsoft SharePoint (MOSS) brings with it particular risk as its rapid proliferation and insufficient governance tools has led many companies to unknowingly lose control of the very content they had hoped to better manage.

This session will look at methods to securely and automatically identify and classify records, while enforcing retention and disposition schedules to information based on business value or regulatory requirement.  Additional topics for review will include:

  • Automatic classification and clustering to create and extend records management fileplans and taxonomies
  • Managing records in-place, making optional the need to move or copy them to a centralized repository.
  • Close integration with email messaging/IM archives both on-site and hosted
  • Security standards and certification, such as US DoD5015.2, UK TNA2002, Australia's VERS, ISO 15489
  • The use of consolidated enterprise-wide Electronic Stored Information (ESI) index with conceptual and keyword search
  • Dashboards for monitoring and controlling retention and disposition schedules
3. Data Center Design & Optimization

Sponsored by IBM

- Platinum Sponsor -

Bryant Suite, 2nd Floor


Dr. Tom Keller
IBM Distinguished Engineer


Dr. Hendrik F. Hamann
Research Manager for Photonics and Thermal Physics
Physical Sciences Department at IBM’s T.J. Watson Research Center


Today’s modern, well planned data centers have unrealized potential for lowered operating expenses which can yield a 20% savings in annual energy costs. New approaches and technologies to analyzing operations and inventory data recently developed at IBM Research can reduce cooling costs and lower operating expenses while increasing IT equipment density. One approach inexpensively collects hundreds of thousands of temperature, airflow and physical measurements to drive physics-based cooling models. We will review findings of data centers studies for clients across financial services, as well as the methods used. The discussion will provide actionable insights towards data center design and optimization.

4.  RIP: Is The Latency Monitoring Industry Dead?

Morgan Suite, 2nd Floor


John Kain
Product Manager
FTEN, Inc.


Henry Young
TS-Associates plc


Alex Malone
Engineering Manager
NetQoS, Inc.


First there was Cisco/TransactTools, then Helium Systems was gobbled up, and last year Trading Metrics closed it’s doors. A hard look at why companies that catered to Wall Street’s appetite for low latency failed. Is this proof that the low-latency buzz is just hype? We discuss what lessons should be learned and what you need to know. The value and feasibility of an industry standard is also discussed.

3:00 p.m.

TMC theater Long
 2nd Exhibit Floor

Don DeLoach

Don DeLoach
President and Chief Executive Officer


Managing Risk in the Post-2008 Financial Crisis Era

A year ago, managing exposure and limits in real-time, rather than end-of-day, was seen as a “nice to have.” Today, firms are moving quickly to implement real-time risk management systems. This session will focus on how firms are managing risk in the post-2008 financial crisis era, through two case studies—one broker and one institutional bank. Attendees will learn how firms are using a combination of Complex Event Processing technology and LiveOLAP to get an accurate, granular continuous intelligence on risk, and apply controls and actions to mitigate risk in portfolios and positions. How firms will use continuous intelligence as a competitive advantage will also be examined.

3:30 p.m.

TMC theater Long
 2nd Exhibit Floor

Frank Abagnale

Frank Abagnale
Catch Me if You Can


Frank Abagnale, a former con artist extraordinaire whose crimes inspired Steven Spielberg’s 2002 film, Catch Me if You Can, starring Leonardo DiCaprio and Tom Hanks. Mr. Abagnale is now one of the world's most respected authorities on forgery, embezzlement, identity theft and secure documents and heads Abagnale & Associates, a financial fraud consultancy company. After a five-year international crime spree in the 1960’s, he was arrested at age 21 for cashing millions in fraudulent checks worldwide and posing as a doctor, lawyer, and airline pilot. Following his five-year prison term, he was released after agreeing to help the FBI as an expert on fraud. In his presentation Mr. Abignale provides insight into his life as the notorious imposter and fraudster and discusses the latest sophisticated white collar crime techniques made easy by today’s technology.


4:00 - 6:00 p.m.

Exhibit Hall Reception


Co-Hosted by Agilysys, Inc.
                    Collaborative Software Initiative
                    GoldenSource Corporation


- Platinum Sponsor -

Orange Business Services


Thursday, June 25, 2009

Press Room -
 2nd Floor Promenade

9:00 a.m. - Noon.

Exhibit Hall Open


Program content and schedule subject to change. 


SIFMA also thanks the following sponsors for supporting the
2009 Technology Management Conference

Cyber Cafe` Refreshments - Hosted by Coffee Distributing Corporation


- Platinum Sponsor -

 Hotel Room Key Card, Tote Bag & Lanyard - Provided by Davidsohn Global Technologies, Inc.


Wall Street Journal - Provided by Dow Jones

Technology Management Committe Dinner - Hosted by FAST, a Microsoft® Subsidiary

Conference Exhibit Guide - Provided by Kx Systems

Escalator Banner - Provided by Microsoft Corporation


- Platinum Sponsor -

 Conference Attendee Thumb Drive - Compliments of Orange Business Services  

- Platinum Sponsor -

 Participant Folder - Compliments of Orange Business Services


Attendee Notebook - Provided by Penson Financial Services

Technology Management Annual Roundtable Dinner - Hosted by PriceMetrix Inc.

Cyber Café Internet Hot Spot - Hosted by Sun Microsystems, Inc.




Linedata Services, Inc.
Platform Computing
Qualtrics, Inc.
Wall Street & Technology




JUNE 22 - 24, 2010 (TUESDAY - THURSDAY)