New York Chapter

National Association of Securities Professionals

22nd Annual NASP-NEW YORK

SYMPOSIUM

"New World Order - Accessing Opportunities in Current Markets"

NOVEMBER 8-9

SCHEDULE OF EVENTS

NOVEMBER 8, 2018 4:00 p.m. - 8:00 p.m.

AB Building 1345 Avenue of the Americas, New York, NY

41st Floor

Welcome Remarks Clarence Williams, President, NASP-New York Chapter

James Thompson,

Head of Diverse Markets Strategy Bernstein Private Wealth Management, a unit of AllianceBernstein

Pre-Symposium Fireside Chat

Moderator: Doug Lawrence, Vice President, NASP New York Chapter

Guest Speakers

The Honorable Karl A. Racine, Attorney General, District of Columbia

Rabbi Dr. Hank Sheinkopf, PhD, President, Sheinkopf Communications

Matthew Bennett, Senior Vice President, Public Affairs, Third Way

Opening Reception

NOVEMBER 9, 2018

NASP-NEW YORK SYMPOSIUM

BNY Mellon 101 Barclay Street, New York, NY (Murray Street Entrance)

8:00 a.m. – 8:45a.m. 10th Floor - East Assembly

Registration & Continental Breakfast 9:00 a.m. – 10:00a.m. 10th Floor – West Assemble

Morning Plenary Event Co-Chairs

Hershel Harper, CFA

Chief Investment Officer, UAW Retiree Medical Benefits Trust

William (Bill) Lee, CFA Chief Investment Officer, NewYork Presbyterian Hospital

Opening Remarks

Clarence G. Williams President, NASP-New York Chapter

Welcome Remarks

Michael Santomassimo

Chief Financial Officer, BNY Mellon

Anastasia Titarchuk Interim Chief Investment Officer

New York State Common Retirement Fund, Office of the New York State Comptroller

Introduction of Guest Speaker

Adiam Kiflom Director, US Business Development, Aberdeen Standard Investments

Guest Speaker James McCann

Senior Global Economist, Aberdeen Standard Investments

10:00 a.m. - 11:00 a.m. West Assembly Session I ESG - Have We Moved Beyond Talk To Action - What Is The Real Impact? Investors who only spoke about ESG a few years ago, are now appointing ESG officers and integrating ESG factors into their analysis of companies. What progress has been made in ESG over the past 5 years and what needs to be done to make a real impact? • Moderator: Daniel Ingram, Vice President for Responsible Investment Research and

Consulting, Wilshire Associates • Erin Bigley, CFA, Senior Portfolio Manager - Fixed Income, AllianceBernstein

• Candice Dial, Investment Associate, Church Pension Group (CPG)

• Catherine Banat, Institutional Portfolio Manager, RBC Global Asset Management

• John Hoeppner, Head of US Stewardship and Sustainable Investments, Legal and

General Investment Management America

• Susannah Vickers, Executive Director for Pensions, Office of the New York City Comptroller

11:00 a.m. - 12:00 p.m. West Assembly Session II What Does It Take To Be A Great CIO? This panel featuring prominent pension CIOs, will address the multifaceted nature of their roles, which involves navigating ever changing markets, meeting and/or exceeding return expectations, human resource management, and satisfying their many stakeholders, just to name a few. . • Moderator: Erik L. Knutzen, CFA, CAIA,

Chief Investment Officer – Multi Asset Class, Neuberger Berman

• Bryan Lewis, Chief Investment Officer, Pennsylvania State Employees' Retirement System

• Hershel Harper, CFA, Chief Investment Officer, UAW Retiree Medical Benefits Trust

• Andrew Palmer, CFA, Chief Investment Officer, Maryland State Retirement and Pension

System

LUNCHEON 12:00 p.m. - 1:30 p.m. East Assembly

Mistress of Ceremonies

Mona Williams President, Progress Investment Management Company

Opening Remarks Doug Lawrence

Vice President, NASP-New York Chapter

A Tribute to Henry E. Parker by: Cheryl Marrow, Chair, New York NASP Foundation

Award Presentation

Trustee of the Year Award

The Honorable Toni Nathaniel Harp

Mayor of the City of New Haven, Connecticut

Presenter Daryl Jones, Comptroller of the City of New Haven, Connecticut

Big Apple Statesman Award

William Lee, CFA Chief Investment Officer, NewYork Presbyterian Hospital

Accepted by: Sondra Vitols, CAIA, Director, NewYork Presbyterian Hospital

Presenter

Malik T. Murray, Senior Vice President, Institutional Marketing & Client Services Ariel Investments

1:30 p.m. - 2:30 p.m. West Assembly Session III Emerging Managers - Where Do We Go From Here? Description: Given recent concerns about whether it is safe to invest in emerging managers due to recent merges or collapsing, this session is designed to focus on the current state of emerging managers and where the opportunities are for LPs. • Moderator: Tina Byles Williams, Chief Executive Officer, Chief Investment Officer, FIS

Group

• Clinton L. Stevenson, Investment Director, California Public Employees’ Retirement System (CalPERS)

• Kirk Sims, CFA, Senior Investment Officer, Emerging Managers, Teachers' Retirement

System of the State of Illinois

• Chavon Sutton, Director, Bureau of Asset Management, Office of the New York City Comptroller

• Sheryl Mejia, CFA, CPA CA, Director of Emerging Managers, New York State Common

Retirement Fund, Office of the New York State Comptroller

2:30 p.m. - 3:30 p.m. West Assembly Session IV Venture Capital - A Catalyst For Innovation The panel will discuss how industry verticals are being disrupted by technology and explores how venture capital is the engine that is driving a lot of the innovation from idea generation through company formation, company building and ultimately to the creation of new entrance in some industries that have been dominated by established players for decades. .

• Kolawole Olofinboba, Partner, Fairview Capital Partners

• Aaron Holiday, Co-Founder and Managing Director, 645 Ventures

• Richard Kerby, General Partner, Equal Ventures

3:30 p.m. - 4:30 p.m. West Assembly Session V Today’s Challenges and Opportunities for Endowments and Foundations? This panel will focus on the most pressing issues facing endowment and foundation CIOs. These issues include balancing the core values and missions of their organizations while effectively managing a dynamic investment portfolio against a backdrop of external forces ranging from ever changing technologies, climate change, geopolitical events, and evolving workforce demographics.

• Moderator: David Fann, Co-Founder, President & Chief Executive Officer, TorreyCove

• Brian O’Neil, CFA, Chief Investment Officer, Robert Wood Johnson Foundation

• Brian D. Arsenault, Partner, Managing Director, Chief Market Strategist, Disciplina Group

• Sondra Vitols, CAIA, Director, NewYork Presbyterian Hospital

Closing Reception ~ West Assembly Foyer

DIAMOND SPONSORS

ALLIANCEBERNSTEIN

BNY MELLON

PLATINUM SPONSOR

ARIEL INVESTMENTS

SEMPER CAPITAL MANAGEMENT

GOLD SPONSORS

NEUBERGER BERMAN

SILVER SPONSORS

ABERDEEN STANDARD INVESTMENTS

FAIRVIEW CAPITAL PARTNERS

GARCIA HAMILTON & ASSOCIATES

LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA

MESIROW FINANCIAL INVESTMENT MANAGEMENT

PROGRESS INVESTMENT MANAGEMENT COMPANY, LLC

RBC GLOBAL ASSET MANAGEMENT

CONTRIBUTOR FIS GROUP, INC.

2018 AWARD RECIPIENTS

Trustee of the Year Award The Honorable Toni Nathaniel Harp Mayor City of New Haven, Connecticut

An abiding commitment to social justice steers New Haven Mayor Toni Harp’s career in public service. Her drive for inclusiveness, equality, and integrity is the byproduct of resonant, across-the-board life experiences.

Toni was raised in Salt Lake City, the youngest of six children. Both parents worked to support the household; Toni’s tireless work ethic is a function of lessons learned from her parents. In the 1960s, Toni moved to the south side of Chicago to attend Roosevelt University. After she earned a degree in English she began working for the American Society of Planning Officials, launching a lifelong interest in urban planning and how cities work. From there, Toni was recruited to study at Yale’s School of Architecture where she earned a Master’s degree. Toni’s public service in elected office began first as a member of New Haven’s Board of Aldermen, and then for 21 years as state Senator for Connecticut’s 10th District. Toni is now the first woman ever to serve as Mayor of New Haven; she is presently serving her third term. Throughout her distinguished career, Toni’s policy priorities have never changed: —Full access to affordable healthcare, regardless of ethnic, cultural, or economic differences. —A responsive and effective public safety network working hand-in-hand with an equitable criminal justice system. —Maximizing opportunity for each individual student through public education, with particular emphasis on early childhood learning and development of reading skills. —Job creation and economic development so city residents can enjoy the rewards and responsibilities of productive engagement, and so a vibrant city can provide necessary services without putting an excessive burden on taxpayers. Toni Harp has lived in New Haven for more than 40 years and was the Homeless Service Director at the Cornell Scott Hill Health Center for more than 20 years. She is the proud mother of three grown and accomplished children—Djana, Jamil, and Matthew. In 2017, Matthew’s wife Keisha joined the family, and in 2018 Matthew and Keisha welcomed a son, Wendell.

Presenter

Daryl Jones Comptroller of the City of New Haven

Connecticut

Big Apple Statesman Award William Lee, CFA Chief Investment Officer NewYork Presbyterian Hospital

William (Bill) Lee is Senior Vice President and Chief Investment Officer for NewYork-Presbyterian Hospital, overseeing NYP's $9.5B investment program including endowment, retirement and

current assets, and managing the Office of Investments team responsible for all of NYP's investment assets.

Previously, Bill was Chief Investment Officer and Vice President of Foundation and Pensions Investments at Kaiser Permanente. There he served as chair of Kaiser Permanente Retirement Plans Investment Committee, and the Kaiser Foundation Investment Committee, since 2005. Bill oversaw approximately $78 billion in defined contribution, pension and foundation assets. He managed interest rate and foreign exchange risk for Bank of America's global proprietary desks in the 1980's, then left for eight years to work as a police detective. In 1994 he returned to Bank of America, where he helped develop equity and fixed income risk models before becoming Senior Vice President and Chief Investment Officer for Bank of America's retirement plan investments. Bill served as Chief Investment Officer for the Levi Strauss Foundation and Red Tab Foundation assets as well as the Levi Strauss global pension plans.

He is a Chartered Financial Analyst (CFA) and graduate of Harvard Business School's Executive Leadership Program in 2010.

Presenter

Malik T. Murray Senior Vice President

Institutional Sales & Client Services Ariel Investments

SPEAKERS & PANELISTS Anastasia Titarchuk Interim Chief Investment Officer New York State Common Retirement Fund

The Honorable Karl A. Racine Attorney General District of Columbia

Susannah Vickers Executive Director for Pensions Office of the New York City Comptroller

Brian S. O'Neil, CFA Chief Investment Officer Robert Wood Johnson Foundation

Matthew Bennett Senior Vice President for Public Affairs Third Way

Chavon Sutton Director of Diversity and Inclusion New York City Bureau of Asset Management Office of the New York City Comptroller

Dr. Kolawole Olofinboba Partner Fairview Capital Partners

Erik L. Knutzen, CFA,CAIA Chief Investment Officer Multi Asset Class Neuberger Berman

Erin Bigley, CFA Portfolio Manager – Fixed Income AllianceBernstein

Dr. Henry Sheinkopf, PhD President Scheinkopf Communications

David Fann President & Chief Executive Officer

TorreyCove Capital Partners

Sondra Vitols, CAIA Director NewYork-Presbyterian Hospital

Candice Dial Investment Associate Church Pension Group (CPG)

Kirk Sims, CFA Senior Investment Officer Teachers’ Retirement System of the State of Illinois

Brian D. Arsenault President, Managing Director, Chief Market Strategist Disciplina Group

Sheryl Majia, CFA, CPA CA Director of Emerging Managers New York State Common Retirment Fund Office of the State Comptroller, PICM

Catherine Banat Institutional Portfolio Manager RBC Global Asset Management

Clinton L. Stevenson Investment Director CalPERS

Mona S. Williams President Progress Investment Management Company

Daniel Ingram Vice President Responsible Investment Research Wilshire Associates

James McCann Senior Global Economist Aberdeen Standard Investments

John Hoeppner Head of US Stewardship and Sustainable Investments Legal & General Investment Management America

Richard Kerby Partner Equal Ventures

Aaron Holiday Co-Founder and Managing Director 645 Ventures

Hershel Harper, CFA Chief Investment Officer UAW Retirement Medical Benefits Trust

Michael Santomassimo Chief Financial Officer BNY Mellon

David E. Ourlicht Commissioner New York State Common Retirement Fund

James Thompson Head of Diverse Markets Strategy, Bernstein Private Wealth Management, a unit of AllianceBernstein

Andrew Palmer, CFA Chief Investment Officer Maryland State Retirement and Pension Fund

Doug Lawrence Managing Principal, Asset Management 5 Stone Green Capital LLC

NASP-NEW YORK SYMPOSIUM PLANNING COMMITTEE

Planning Committee Chair

Michele Chow-Tai

Planning Committee Co-Chair Clarence Williams

Planning Committee Members

Adiam Kiflom Doug Lawrence Noelle LeCann

Arthur McClearin Rita Sallis Liz Smith

Lee B. Stephens

Website: www.nasp-ny.org Administrative Office/Fax: 718-468-7914

Layout & Design by HBSMS – 718-468-7914

SAVE-THE-DATE

FEBRUARY 12, 2019

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New York NASP Foundation

Information contained herein is subject to change without notice.