ICI Mutual Insurance Company

RISK MANAGEMENT CONFERENCE

April 11-13, 2012

Casa Monica ~ St. Augustine, Florida

FINAL AGENDA

Wednesday, April 11, 2012

7:00 – 9:00 p.m.Welcome Reception

Thursday, April 12, 2012

7:30 – 8:30 a.m.Meeting Registration and Continental Breakfast

8:30 – 8:45 a.m.Welcome and Opening Remarks

Lawrence R. Maffia

President

ICI Mutual Insurance Company

Steven J. Paggioli

Trustee

Managers Funds

Chairman, ICI Mutual Risk Managers Committee

8:45 – 10:00 a.m.Board Reporting & Communication

  • Process and Participants
  • Risk Management Presentations

Annette Capretta

Deputy Managing Director

Independent Directors Council

David M. Goldman

General Counsel & Vice President Business Development

Gabelli Funds, LLC

Steven J. Paggioli

Trustee

Managers Funds

Lawrence R. Maffia, Moderator

President

ICIMutual Insurance Company

10:00 – 10:15 a.m.Break

10:15 – 11:00 a.m.Digital Risks

  • Data Security and Privacy
  • Wireless Access

Claire Burke

Senior Counsel

The Vanguard Group, Inc.

Benjamin Hayes

Director of Legal Services, Data Privacy Compliance – North America

Accenture LLP

David U. Thomas, Moderator

Associate Counsel

ICIM Services, Inc.

11:00 – 11:45 a.m.Claims & Regulatory Update

David U. Thomas

Associate Counsel

ICIM Services, Inc.

Julia S. Ulstrup

Associate Counsel

ICIM Services, Inc.

11:45 a.m. – 12:30 p.m.Shop Talk Discussion Session(optional)

  • Social Media Revisited
  • Other Topics of Interest

12:30 – 1:30 p.m.Lunch

1:30 – 3:00 p.m.Surrounded by Geniuses: Unlocking the Brilliance in Yourself,

Your Colleagues and Your Organization

Dr. Alan S. Gregerman

President and Chief Innovation Officer

VENTURE WORKS Inc.

3:00 p.m.Meet in Lobby for Optional Activities:

“St. Augustine’s Gilded Age” Walking Tour

- OR-

Tour and Tasting at Whetstone Chocolate Factory

7:00 p.m.Reception and Dinner at The Tasting Room

Friday, April 13, 2012

8:00–8:45 a.m.Breakfast

Understanding Your Bond and Policy (optional)

John T. Mulligan

Vice President, Underwriting

ICI Mutual Insurance Company

Daniel T. Steiner

Executive Vice President and General Counsel

ICI Mutual Insurance Company

8:45 – 9:00 a.m.Chairman’s Remarks

Ronald H. Fielding

Chairman of the Board

ICI Mutual Insurance Company

Independent Director

Saturna Investment Trust

9:00 – 10:00 a.m.Preparing for an SEC Exam

  • Types of Exams
  • Common Deficiencies
  • “Hot Topics”

Andrew B. Allard

Deputy General Counsel

Neuberger Berman Management LLC

Shannon Behara

Managing Director

ACA Compliance Group

Patricia Louie

Senior Vice President and Associate General Counsel

AXA Equitable Life Insurance Company

Julia S. Ulstrup, Moderator

Associate Counsel

ICIM Services, Inc.

10:00 – 10:15 a.m.Break

10:15 – 11:15 a.m.Not Your Father’s Mutual Fund

  • ETFs and Closed-End Funds
  • New Products and Investment Structures

Cecilia Gondor

Executive Vice President

Thomas J. Herzfeld Advisors, Inc.

Michael W. Mundt

Partner

Stradley Ronon Stevens & Young, LLP

Robert S. Naka

Managing Director

Forward Management LLC

David U. Thomas, Moderator

Associate Counsel

ICIM Services, Inc.

11:15 a.m. – 12:00 p.m.Seeking Silver Bullets: Trends in Mutual Fund Litigation

Daniel T. Steiner

Executive Vice President and General Counsel

ICI Mutual Insurance Company

12:00 – 12:30 p.m.ICI Mutual Coverage Update

John T. Mulligan

Vice President, Underwriting

ICI Mutual Insurance Company

12:30 p.m.Closing Remarks

12:30 p.m.Boxed Lunches Available