Day One: June 15, 2005
6:45 - 8:00AM	Continental Breakfast and Registration
8:00 - 8:15AM	Summit Chairman Opening Remarks
	Speaker:	Cal Braunstein, Chairman/CEO and Executive Director of Research, ROBERT FRANCES GROUP
8:15 - 9:00AM	THE CIO OF THE FUTURE Will today's CIOs remain as they are, become tomorrow's CEOs, or possibly be rendered obsolete? Joseph Rhyne, Senior Vice President of Technology, The Thomson Corporation, will present how he sees the job of the CIO morphing to keep up with the increasing importance of technology in business.
	Speaker:	Joseph Rhyne, SVP, Technology, THE THOMSON CORPORATION
9:00 - 10:00AM	REGULATORY BURDENS: HINDERING OR HELPING ENTERPRISES AND CONSUMERS? With regulatory compliance being pushed to the forefront in the minds of IT and executive boards alike, the question arises: Is the federal government taking this too far? With exorbitant fines levied against those institutions failing to fully comply with regulations such as SOX and CA Privacy Legislation, can institutions really afford not to heed warnings from the Fed, OCC, etc? Indeed, what are the affects of overbearing regulations on the business and the subsequent delivery of value to the customer? This session will examine the role of the information technology bank examiner, and discuss common findings (where do they excel, where do they fall short) among highly regulated industries. In addition, the panelists will attempt to uncover the true impact of regulatory burden on the business.
	Moderator:	Frank Fanzilli, Jr., Strategic Consulting Partner, ROBERT FRANCES GROUP
	Panelists:	Gili Raanan, Founder, President, Chief Executive Officer, NLAYERS Mario Mosse, VP, Corporate Risk Management, PRUDENTIAL FINANCIAL Claude Rollin, Special Assistant to the Vice Chairman, FDIC Nick Akerman, Partner, Co-Chair, Computer Fraud & Abuse, DORSEY & WHITNEY LLP Jon Snider, Associate Counsel, JOHN HANCOCK INSURANCE AND FINANCIAL SERVICES Bill Harrod, Vice President, Intelligence Division, CYBERTRUST Lloyd Gauntlett Hession, VP, Chief Security Officer, BT RADIANZ
10:00 - 10:45AM	Refreshment Break and Exhibit Viewing
10:45 - 11:45AM	TECHNOLOGY RISK AND BUSINESS RISK: REACHING ACCEPTABLE RISK LEVELS In today's world many of the daily business risks are managed, manipulated and maintained by IT and require constant mitigation from the exposure caused by human frailties and the enhancements or shortcomings in the processes and/or technology. Executives need to identify, establish, enforce, and monitor key risk processes if the IT-related business risks are to reach and maintain an acceptable level of risk exposure. This session will examine the key elements of risk that executives view as necessary and sufficient for attainment of acceptable residual risk levels.
	Moderator:	Cal Braunstein, Chairman/CEO and Executive Director of Research, ROBERT FRANCES GROUP
	Panelists:	Sharad Gupta, VP, Risk Management, FIDELITY EBUSINESS GROUP Richard Steinberg, Founder and Principal, STEINBERG GOVERNANCE ADVISORS, INC. Bruce Pomeranz, Head of IT Infrastructure and Architecture for CIBM, HSBC SECURITIES (USA) INC. Graham S. Seel, SVP, Global Treasury Services Technology Risk Executive, BANK OF AMERICA Jonathan Squire, Information Security Architect, DOW JONES & COMPANY Mario Mosse, VP, Corporate Risk Management, PRUDENTIAL FINANCIAL
11:45 - 12:45PM	THE ROLE OF BREAKTHROUGH TECHNOLOGIES AND PROCESS IN REDUCING TECHNOLOGY RISK LEVELS IN THE ENTERPRISE While technology has been applied to reduce financial risks for most of the last 20 years, enterprise technology risk has grown with system complexity and the nearly complete reliance on information technology for necessary business processes. In recognition of this, auditors and regulators have classified technology risk as a leading element in operational risk. New technologies and portfolio management approaches to understanding and mitigating technical risk have begun to dramatically change the risk profile of leading enterprises. In this session we will examine areas where dramatic changes in the technology risk profile can be achieved.
	Moderator:	Evan Bauer, Principal Research Fellow, ROBERT FRANCES GROUP
	Panelists:	Laura Belle Sachar, Co-chairman and Founder, STARVEST PARTNERS Chris Parker, CEO, 4FRONTSECURITY Deidre Paknad, CEO, PSS SYSTEMS Gidi Cohen, Chief Strategy Officer, SKYBOX SECURITY Anne T. Ferraro, VP, Regional Information Risk Manager, Latin America, JPMORGAN CHASE Dr. Martin Carmichael, CTO, MYC.R.O. SOLUTIONS
12:45 - 2:30PM	Lunch, Exhibit Viewing, and Roundtable Discussions
1:00 - 2:15PM	Roundtables: Specific Risk Concerns Informal, roundtable discussions, led by moderators on specific risk-related topics. Select one. To pre-register for a roundtable, please email your request to Carolyn Crocker. A: OUTSOURCING- IN HOUSE VERSUS VENDOR? This roundtable will look at the elements of an application development cycle and examine those components that cannot be outsourced, with a focus on QA and protection of company assets, data, and intellectual property. These are the component areas that can determine a project's success versus overruns or failures, or can cause the compromising of critical elements that can damage a company's reputation and result in legal actions.
	Moderators:	Mark Skoda, CEO, AEGIS INTERWORLD Bruce Allen, VP, Service Director, ROBERT FRANCES GROUP Warren Axelrod, Director, Global Information Security, PERSHING
	B: CHARGEBACKS - REDUCING RISK, MANAGING GROWTH, AND REDUCING COSTS AT THE SAME TIME This roundtable will discuss the issues, challenges, best practices, and processes for managing risks associated with charge backs cost effectively. The discussion will analyze risk across the entire business (finance, operations, IT, etc); and the subsequent impacts on decision-making. ˇ    Growing company ˇ    Proper planning; informed decision making ˇ    Identifying issues/challenges to cost effective chargebacks ˇ    Managing risk and complexity ˇ    Compliance
	Moderators:	Lerry Wilson, VP, Strategic Alliances, BLAZENT Ted Knodel, VP, Consulting, ROBERT FRANCES GROUP
	C: DISPOSAL OF OBSOLETE IT ASSETS Have you been told the truth about data destruction? Is a one-time overwrite acceptable for your retired hard drives? Do you know whether you're receiving a one-time or a three-time overwrite? How do you measure? If the security of your company's confidential data and ensuring regulatory compliance is a major objective, you won't want to miss this important discussion.
	Moderators:	Adam Braunstein, Senior Research Analyst, ROBERT FRANCES GROUP Jeff Zellmer, VP, QSGI
	D: PROCEDURE AND PROCESS IMPROVEMENT Many of the factors that make up the risk profile for IT and operations are a result of how critical tasks are undertaken. In this session, we will discuss experiences and best practices in controlling risk through careful assessment and management of procedures and processes within the IT organization.
	Moderators:	Dalton Weekley, President, HUMAN SYSTEMS KNOWLEDGE NETWORKS, INC. Evan Bauer, Principal Research Fellow, ROBERT FRANCES GROUP Gene Kim, CTO & Co-Founder, TRIPWIRE, INC.
	E: MONEY CENTER BANKING IT RISK MANAGEMENT (INVITE ONLY)
	Moderators:	Richard Steinberg, Founder and Principal, STEINBERG GOVERNANCE ADVISORS, INC. Cal Braunstein, Chairman/CEO and Executive Director of Research, ROBERT FRANCES GROUP
	F: RISKS IN EVOLUTION TO NETWORK INFRASTRUCTURE This roundtable will examine the implementation of a next generation technology in the enterprise infrastructure. The roundtable discussion will be based on a real-life implementation and/or examination the potential implementation of a next generation technology on an enterprise.
	Moderators:	Jerry Murphy, Service Director, ROBERT FRANCES GROUP Ray Gilbert, AVP, Lucent-IT, Enterprise Collaboration, LUCENT
	G: USER IDENTITY LIFE CYCLE MANAGEMENT Every enterprise is increasingly dependent upon IT to compete effectively, and to meet evolving business and regulatory requirements. For IT to deliver maximum business benefit, however, it must be reliably, demonstrably secure. Such security starts with effective management of user identities across their entire life cycles, from their creation through their "retirement" and deletion - in other words, user identity life cycle management. This roundtable will offer insight into user identity life cycle management, and how it can translate directly into maximum risk mitigation and ROI for the enterprise. Lively discussion will be encouraged.
	Moderators:	Michael Dortch, Principal Business Analyst, IT Infrastructure Management Practice Leader, ROBERT FRANCES GROUP David Confalonieri, Director of Marketing, SECURED SERVICES
	H: COMPLIANCE TRENDS: EVOLVING AUDIT EXPECTATIONS AND BEST PRACTICES This roundtable will help IT and general business executives prepare for the next wave of compliance audit requirements. After the grueling exercise of preparing for the initial audits under the Sarbanes-Oxley Act, we can expect refinements in enforcement. As best practices emerge- along with a few failures - prudent management will update policies and procedures for IT management to mitigate risk. Some firms, however, will go beyond the requirements to leverage their compliance activities to produce real business value. In this roundtable we will present a framework for factoring the requirements, adopting emerging standards for best practices, and planning for compliance as an ongoing set of requirements that become increasingly stringent throughout the decade.
	Moderator:	Murray S. Mazer, VP, Corporate Development, Co-Founder, LUMIGENT Don Ryan, VP, Consulting, ROBERT FRANCES GROUP David Kipin, 2nd VP, Internal Audit, BAYERISCHE LANDESBANK Lucas Kowal, Audit Manager, MORGAN STANLEY
2:30 - 3:30PM	ON-GOING COMPLIANCE: TECHNOLOGY INVESTMENTS AND BUILDING A LONG TERM, FLEXIBLE COMPLIANCE FRAMEWORK Compliance investments and activities up to now have been viewed as a cost of doing business with limited value to the corporation outside of financial reporting and control activities. We are now starting to see compliance initiatives having a larger impact on overall technology and management decision-making. In this session, we will examine the management, operational and technological benefits that enterprises have achieved through investments in compliance infrastructure and processes.
	Moderator:	Don Ryan, VP, Consulting, ROBERT FRANCES GROUP
	Panelist:	Marv Tseu, Co-Founder and CEO, ACTIVE REASONING Jon Snider, Associate Counsel, JOHN HANCOCK INSURANCE AND FINANCIAL SERVICES Dr. Ratinder Paul Singh Ahuja, COO & CTO, RECONNEX Lucas Kowal, Audit Manager, MORGAN STANLEY Gene Kim, CTO & Co-Founder, TRIPWIRE, INC.
3:30 - 4:15PM	Refreshment Break and Exhibit Viewing
4:15 - 5:15PM	INFORMATION SECURITY GOVERNANCE: ALIGNING INFORMATION SECURITY STRATEGIES WITH BUSINESS OBJECTIVES In many ways, effective strategies for protecting enterprise intellectual property is the linchpin linking IT strategies with business goals and objectives such as regulatory compliance and demonstrably transparent governance. In addition, sound information security policies, procedures, and processes are essential elements of effective strategies for IT governance. This session will compare and contrast various approaches to enterprise information security, and for determining and prioritizing business objectives. The potential contributions of these approaches to IT and business governance efforts, and to IT-business alignment and enterprise elasticity, will also be focal points of this session.
	Moderator:	Michael Dortch, Principal Business Analyst, IT Infrastructure Management Practice Leader, ROBERT FRANCES GROUP
	Panelists:	Art Drake, VP, Business Assurance Services, MYC.R.O. SOLUTIONS Patrick Gray, Director, X-Force Operations, INTERNET SECURITY SYSTEMS (ISS) Charles R. Merrill, Partner, MCCARTER & ENGLISH, LLP Peter A. Rabinowitz, Governance, Risk and Compliance Advisory Services, PRICEWATERHOUSE COOPERS LLP Jonathan Squire, Information Security Architect, DOW JONES & COMPANY Lloyd Gauntlett Hession, VP, Chief Security Officer, BT RADIANZ
5:15-6:15PM	MITIGATING OUTSOURCING RISK THROUGH AN OUTSOURCING LIFE CYCLE MANAGEMENT PROCESS While a company can outsource task responsibility, the fiduciary responsibilities remain with the enterprise. To mitigate the risks associated with outsourcing companies must institute an effective outsourcing life cycle management process that can be used with all outsourced efforts -- regardless of who manages the projects or where the work is performed. The RFG analyst will outline the best practices associated with outsourcing life cycle management. The panelists will share their experiences and lessons learned on the benefits of the process, the critical success factors required to make it work, and the primary steps and checklist items that need addressing to lessen the exposures.
	Moderator:	Cal Braunstein, Chairman/CEO and Executive Director of Research, ROBERT FRANCES GROUP
	Panelists:	Dr. Warren Axelrod, Director, Global Information Security, PERSHING Keith W. Fiveson, Managing Consultant, ITESA Preston Futrell, Director of Managed Security Services, INTERNET SECURITY SYSTEMS (ISS) Jerry Bartlett, VP, Application Development, AMERITRADE HOLDING CORPORATION Ann E. Rodriguez, Institutional Risk Management, CIBT, WACHOVIA BANK
6:15 - 6:30PM	Day One Ends: RFG Closing Remarks
6:30 - 7:30PM	Cocktails and Hors D'oeuvres in Exhibit Hall
Day Two: June 16, 2005
7:00 - 8:00AM	Continental Breakfast and Day Two Registration
8:00 - 8:45AM	GOVERNANCE & OUTSOURCING: IT AS PARTNER AND LEADER Technology plays a critical role in the success of nearly every business. IT as a business partner is essential, but IT as a business leader is powerful. Learn how Ameritrade’s technology organization plays both partner and leader in creating effective governance and outsourcing strategies. The governance discussion will focus on how Ameritrade’s business and technology initiatives are identified, prioritized and managed. The Outsource discussion will focus on what strategies are used to drive benefit to clients, while managing costs and mitigating the potential negative impact of staff.
	Speaker:	Jerry Bartlett, VP, Application Development, AMERITRADE HOLDING CORPORATION
8:45 - 9:45PM	MANAGING REPUTATIONAL RISK IN A DIGITAL ENVIRONMENT: A DISCUSSION OF FRAUD, DATA PRIVACY AND BRAND EQUITY Organizations invest time and money in developing a brand reputation that consumers understand is high quality and one that they can turn to without having to evaluate alternatives. Developing a great reputation and large consumer following is a long and often arduous process. Protecting it from those who misuse it to sell imitations or abuse reseller agreements is a necessary part of on-going brand maintenance, as a reputation can take significantly less time to erode that it did to build.
	Moderator:	Ronald Exler, Service Director, Business of IT and Director of Channels and Marketing, ROBERT FRANCES GROUP
	Panelists:	Thomas Oscherwitz, Director of Government Affairs & Privacy, ID ANALYTICS Christopher Keegan, SVP, Information Risk Group Lead, MARSH INC Ted Morris, SVP, Strategy and Corporate Development, BRANDIMENSIONS Donal O’Shea, Executive Director, LIBERTY ALLIANCE PROJECT
9:45 - 10:45PM	INFORMATION LIFECYCLE MANAGEMENT: ACCOUNTING FOR INFORMATION’S CHANGING VALUE AND ALLOCATING STORAGE RESOURCES ACCORDINGLY Panelists will discuss how their organizations have addressed the challenges of Information Lifecycle Mangement (ILM), how they have gotten their arms around the whole data classification dilemma and what impact these have had on their storage IT infrastructure. Attendees should walk away from this session with a better knowledge of what to do/what to avoid - the do's and don'ts - as they try and reap the benefits (cost savings!) of ILM.
	Moderator:	Ed Broderick, Principal Business Analyst, ROBERT FRANCES GROUP
	Panelists:	Thom Bailey, Director of Product Management, Enterprise Administration, SYMANTEC CORPORATION Jeff Porter, Vice Chairman, SNIA DATA MANAGEMENT FORUM Cliff Rizzo, VP, Corporate MIS, VOLT INFORMATION SCIENCES
10:45 - 11:30AM	Refreshment Break and Exhibit Viewing
11:30 - 12:30PM	THE HUMAN AND ORGANIZATIONAL FACTORS FOR SUCCESSFUL RISK MANAGEMENT: LESSONS LEARNED People do not naturally and readily sign on for greater levels of governance, oversight, and accountability. It is one thing to impose measures and processes for increased security, oversight and governance; it is another entirely to get people to follow them. The implications of risk are immediately clear for the executives, and much less so for everyone else. We will explore methods for eliciting awareness and true support for risk mitigation at all levels of the organization.
	Moderator:	Ted Knodel, VP, Consulting, ROBERT FRANCES GROUP
	Panelists:	Venu Nagali, Distinguished Technologist, Procurement Risk Management, HEWLETT PACKARD Peter A. Rabinowitz, Governance, Risk and Compliance Advisory Services, PRICEWATERHOUSE COOPERS LLP Thomas M. McGovern, VP, IT Policies & Compliance, JPMORGAN CHASE Sergio M. Pedro, Senior Director of Professional Services - East, MCAFEE FOUNDSTONE Graham S. Seel, SVP, Global Treasury Services Technology Risk Executive, BANK OF AMERICA Dalton Weekley, President, HUMAN SYSTEMS KNOWLEDGE NETWORKS, INC.
12:30 - 2:00PM	Roundtables: Specific Risk Concerns Informal, roundtable discussions, led by moderators on specific risk-related topics. Select one. To pre-register for a roundtable, please email your request to Carolyn Crocker at ccrocker@rfgonline.com. A: VENDOR MANAGEMENT This session will examine more deeply the workforce life cycle management process that was outlined in the "Mitigating outsourcing risk through an outsourcing life cycle management process." In addition to the process, this roundtable will discuss the ecosystem that must be created for the process to be effective and the tools that can make the process self-controlling and can eliminate many of the errors and exposures that exist with current approaches.
	Moderators:	Cal Braunstein, Chairman/CEO and Executive Director of Research, ROBERT FRANCES GROUP Graham S. Seel, GTS Technology Transition Risk & Compliance (TRaC), BANK OF AMERICA
	B: PHISHING - THE THREATS POSED BY PHISHING SCAMS Phishing erodes consumers' faith in the Internet as a viable commercial medium. Therefore organizations should devote attention and resources to phishing in a proactive fashion. There are a number of vendors offering tools and services to combat phishing, but even these should be augmented with campaigns to educate consumers.
	Moderators:	Michael Lipham, Research Analyst, ROBERT FRANCES GROUP Dan Hubbard, Senior Director of Security Technology and Research, WEBSENSE David Lawson, VP/Director of the Global Security Practice and FSO, GREENWICH TECHNOLOGY PARTNERS (GTP)
	C: RISKS IN EVOLUTION TO NETWORK INFRASTRUCTURE This roundtable will examine the implementation of a next generation technology in the enterprise infrastructure. The roundtable discussion will be based on a real-life implementation and/or examination the potential implementation of a next generation technology on an enterprise. Moderators:   Jerry Murphy, Service Director, ROBERT FRANCES GROUP                    Ray Gilbert, AVP, Lucent-IT, Enterprise Collaboration, LUCENT D: PROCEDURE AND PROCESS IMPROVEMENT Many of the factors that make up the risk profile for IT and operations are a result of how critical tasks are undertaken. In this session, we will discuss experiences and best practices in controlling risk through careful assessment and management of procedures and processes within the IT organization. Moderators:   Dalton Weekley, President, HUMAN SYSTEMS KNOWLEDGE NETWORKS, INC.                     Evan Bauer, Principal Research Fellow, ROBERT FRANCES GROUP                     Gene Kim, CTO & Co-Founder, TRIPWIRE, INC. E: DISPOSAL OF OBSOLETE IT ASSETS Have you been told the truth about data destruction? Is a one-time overwrite acceptable for your retired hard drives? Do you know whether you're receiving a one-time or a three-time overwrite? How do you measure? If the security of your company's confidential data and ensuring regulatory compliance is a major objective, you won't want to miss this important discussion.
	Moderators:	Adam Braunstein, Senior Research Analyst, ROBERT FRANCES GROUP Jeff Zellmer, VP, QSGI
	F: IT INFRASTRUCTURE MANAGEMENT Risk mitigation is a critical success factor for every enterprise, but every enterprise faces a different mix of risks and possible responses to them. In this lively, interactive session, attendees will hear and discuss the specifics of corporate risk, from business- and IT-centric perspectives. The Roundtable will also focus on ways IT can help enable and empower strategies for mitigation of business and technological risk at almost any enterprise.
	Moderators:	Michael Dortch, Principal Business Analyst, IT Infrastructure Management Practice Leader, ROBERT FRANCES GROUP Marv Tseu, Co-Founder and CEO, ACTIVE REASONING
	G: COMPLIANCE TRENDS: EVOLVING AUDIT EXPECTATIONS AND BEST PRACTICES This roundtable will help IT and general business executives prepare for the next wave of compliance audit requirements. After the grueling exercise of preparing for the initial audits under the Sarbanes-Oxley Act, we can expect refinements in enforcement. As best practices emerge- along with a few failures - prudent management will update policies and procedures for IT management to mitigate risk. Some firms, however, will go beyond the requirements to leverage their compliance activities to produce real business value. In this roundtable the presenters will present a framework for factoring the requirements, adopting emerging standards for best practices, and planning for compliance as an ongoing set of requirements that become increasingly stringent throughout the decade.
	Moderators:	Murray S. Mazer, VP, Corporate Development, Co-Founder, LUMIGENT Don Ryan, VP, Consulting, ROBERT FRANCES GROUP David Kipin, 2nd VP, Internal Audit, BAYERISCHE LANDESBANK Lucas Kowal, Audit Manager, MORGAN STANLEY
2:00 - 2:30PM	RFG Closing Remarks, Summit Conclusion
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