Agenda

Upon arrival, please proceed to the 3rd floor Regency Ballroom Foyer to check in, and receive your name badge and additional Summit information.

Location: Regency Ballroom Foyer, 3rd Floor

Location: Regency Ballroom

Option 1: Understanding the ETF Ecosystem to Optimize Product Success

The ETF ecosystem can seem complex at first glance. This panel of ETF experts will break down the components of the ETF ecosystem to assist you in understanding the roles of the various players and how fund managers/fund sponsors can connect to the ecosystem in the most efficient manner.

Location: Buckeye A

Option 2: Connecting with your Data: uANALYZE and uTRANSACT – Portfolio Performance and Shareholder Web Technologies

The session will begin with brief commentary about Ultimus’ commitment to improving the client experience through technology and a brief overview of session goals. We will follow with demos of uANALYZE, our middle office client portal, and uTRANSACT, our customized shareholder and adviser reporting portal, and highlight key features of each. Audience Q&A will follow.

Location: Buckeye B

Option 3: Cybersecurity: Current Trends & Best Practices

Join our session to hear from a panel of industry experts on current cybersecurity threats and attack vectors, as well as the fundamental components that every firm should have in place to mitigate threats and prevent attacks. The session promises to be highly informative and will include a 10-15 minute Q&A period for the audience to interact directly with the panelists.

Location: Bluegrass A

Enjoy light snacks and beverages in the Regency Ballroom Foyer. 

In this session, the panelists will discuss the SEC’s rulemaking agenda and regulatory developments and challenges impacting the mutual fund industry.

Location: Regency Ballroom

Location: Great American Ball Park, The Handlebar at the Riverfront Club

Enjoy cocktails, dinner, and networking with friends and colleagues at Great American Ball Park while watching the Cincinnati Reds take on the Tampa Bay Rays.

Registration Location: Regency Ballroom Foyer

Breakfast Location: Sungarden

Location: Regency Ballroom

Hear about the most up-to-date happenings at Ultimus from the CEO, Gary Tenkman, and several executive and senior management.

Location: Regency Ballroom

As Charles Dickens famously wrote in his novel A Tale of Two Cities, “it was the best of times, it was the worst of times.” The same can be true of leadership in this present moment. Yet the uncertainty and divisiveness in our current climate gives way to a unique opportunity to Lead Undivided. In this keynote, Chuck Mingo will discuss how both empathy and authority help leaders chart a path forward in uncertain times.

Location: Regency Ballroom

Enjoy light snacks and beverages in the Regency Ballroom Foyer.

Option 1: Registered Alternative Fund Structures: What should you know?

This session will provide a deep dive into registered alternative fund structures and includes multiple perspectives on these products including fund management, legal counsel, audit, and fund accounting.

Location: Buckeye B

Option 2: Enhancing your Distribution Strategy

This panel will build upon previous distribution topics and help identify ways to further focus a distribution strategy. We will be joined by a number of industry veterans that specialize in this area and cover range of topics including digital outreach, articulation of wholesaling teams, leveraging data and many others.

Location: Buckeye A

Option 3: Hot Trends in Audit & Tax

A discussion on recent audit, valuation and tax trends that were observed in the past year, which may come into play for the upcoming year.

Location: Bluegrass B

Option 4: Independent Trustees Focus with IDC

Location: Bluegrass A

Location: Sungarden

This session will feature people, voices, and strategies not often seen in our industry. We will be joined by a panel of industry professionals representing fund management, legal counsel, and Boards of Trustees to discuss the success that results from embracing our differences.

Location: Regency Ballroom

Option 1: The Current ETF Landscape: The Growth Continues

The ETF marketplace continues to expand at a record pace. In this session, industry experts will provide insights into how they are dealing with this explosive growth, covering such topics as the rise in actively managed ETFs, increased product complexities, asset conversions into ETFs, regulatory changes that could impact ETFs, and how the industry is preparing for expected future growth.

Location: Buckeye A

Option 2: Talking Scope and Requirements for Tailored Shareholder Reports (“TSR”)

On October 26, 2022, the SEC adopted a new rule that requires mutual funds and exchange-traded funds that are registered on Form N-1A to send annual and semi-annual “tailored” summary shareholder reports to all shareholders. This panel will discuss the key highlights of the rule and the challenges that face the industry.

Location: Bluegrass A

Option 3: Optimizing your Internal Operations: Middle Office

This session will provide panelist insights on headwinds facing buy-side asset manager’s operating models, including the shift to T+1 settlement, changing technologies, the need for scale and STP, and reporting.

Location: Buckeye B

Option 4: Fund Reorganizations- Everything you wanted to know

With an increasing number of mutual funds converting to ETFs, and funds combining into each other for great scale, fund reorganizations are happening more frequently. The panel is comprised of industry professionals with legal, tax and shareholder communications experience. This panel will discuss various topics associated with Fund Reorganizations such as the timing, board considerations, tax implications, various SEC filings and the proxy solicitation campaigns that are part of a reorganization.

Location: Bluegrass B

Enjoy light snacks and beverages in the Regency Ballroom Foyer.

The goal of the panel will be to help our clients gain a better understanding of how the platform operates and how to position your firm for success. We will discuss a range of topics including product usage, initiatives these firms are pursuing and trends they anticipate as we move forward.

Location: Regency Ballroom

Location: PiNS Mechanical Company

Enjoy a casual evening of cocktails, Cincinnati inspired cuisine, games and networking with friends and colleagues.

Location: Sungarden

What you believe drives what you do, and what you do determines what you achieve. When you operate with belief, you perform smarter, better, and with greater resilience. This is true everywhere: business, athletics, education, and personal relationships. The highest levels of performance are empowered by the deepest levels of belief.

Location: Regency Ballroom

Option 1: Ultimus Compliance Update

During this session, our purpose is to help Chief Compliance Officers by conducting interviews with the relevant Ultimus departments about Ultimus’ compliance efforts.

Location: Regency Ballroom

Option 2: Connecting with your Data: uANALYZE and uTRANSACT – Portfolio Performance and Shareholder Web Technologies

The session will begin with brief commentary about Ultimus’ commitment to improving the client experience through technology and a brief overview of session goals. We will follow with demos of uANALYZE, our middle office portal, and uTRANSACT, our customized shareholder and adviser reporting portal, and highlight key features of each. Audience Q&A will follow.

Location: Bluegrass B

Option 3: R Factor with Tim Kight: Winning – Success Leaves a Blueprint

What does it take to win? What are the key disciplines that produce success? Fortunately, the answer is not a secret. As it turns out, success leaves a blueprint.

Location: Buckeye B

Option 4: Trustee Roundtable

Location: Buckeye A

Location: Regency Ballroom