Agenda

Upon arrival, please proceed to the Lone Star Tower 3rd Floor to check in and receive your name badge and additional Summit information.

Location: Mustang 5

Enjoy cocktails, Tex-Mex cuisine, and networking with friends and colleagues at the Riverwalk Cantina inside the Gaylord Texan.

Location: Riverwalk Cantina

Registration Location: 3rd Floor Convention Center Grapevine Registration Desk 

Breakfast Location: 3rd Floor Convention Center Pre-Function Area

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

Hear about the most up-to-date happenings at Ultimus from the CEO, Gary Tenkman. He will touch on the strategic direction of the company and the exciting opportunities presented at the Client Summit. Don’t miss this chance to hear directly from our leadership, celebrate our collective achievements, and get inspired for the future!

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

Admiral Michelle Howard, Retired Admiral United States Navy

A ground-breaking leader during her 35-year career in the U.S. Navy, Michelle Howard was the first female to achieve the rank of four-star admiral and the first woman to be appointed to the position of Vice Chief of Naval Operations (the second highest rank in the Navy). She was also the first African-American woman to command a ship in the Navy as well as the first African-American woman to reach three star and four star flag rank in any branch of the U.S. Armed Forces.

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

*Please refrain from taking pictures of Admiral Howard while on stage. There will be photo opportunities directly after the keynote speech.

Option 1: Seeding Options for New ETFs

There are various pathways available to enter the ETF marketplace. One option is the use of 351 in-kind contributions from existing mutual funds, SMAs or LP structures as a source of seed capital for a new ETF. Our industry experts will discuss the legal, operational, and tax considerations, including the comparative benefits and challenges of each option.

Location: Mustang 2

Option 2: Cybersecurity Risk Management

With a deep understanding of prevailing threats to network and digital safety, experts will provide valuable insight on risks related to cybersecurity and third-party oversight.

Location: Mustang 6

Option 3: The Tidal Wave of Alternatives in the Wealth Management Channel

One of the fastest growing trends in ’40 Act products is registered alternative funds. Various industry experts will provide information, insight, and the latest developments for unlisted closed-end interval and tender offer funds.

Location: Mustang 4

Option 4: Enterprise-Wide Operating Models: Promoting Operational Efficiency

How are investment managers and fund companies leveraging an integrated back, middle and front office platform across their entire business, creating greater operational efficiency, enhanced reporting and more predictable expenses.

Location: Mustang 1

Enjoy light snacks and beverages outside the Mustang breakout area in the 3rd Floor Lone Star Tower .

Option 1: Avoiding Regulatory Pitfalls: Connecting the Dots from SEC Cases and Priorities to Your Compliance Program

The panel will discuss recent cases, trends, and areas of risk, as well as provide suggestions for bolstering your compliance program.

Location: Mustang 4

Option 2: Valuation Under Rule 2a-5

A deeper dive valuation into the policy and procedures of fund valuation, including implementation and documentation.

Location: Mustang 1

Option 3: Two AI Solutions – From Ideas to Reality

Join us for a discussion with FilePoint and Confluence, who will share an overview of their new AI solutions and how they approached the development and implementation.

Location: Mustang 2

Option 4: 15(c) Discussion – Recent SEC Outreach

Our independent trustee guests are invited to join this private session where panelists will dive into the 15(c) process and recent developments surrounding that crucial independent trustee responsibility.

Location: Mustang 6

Location: 3rd Floor Convention Center Pre-Function area

Reggie Brown of GTS will introduce the America250 organization and his work on the board as they focus on commemorating America’s 250th anniversary. Spoiler alert: We turn 250 in 2026!

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

What products are large intermediaries focused on as we close out 2024 and head into the new year? We will explore the future of mutual funds, exchange-traded funds, and alternatives.

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

Please use this time to prepare for the Dynamic Discovery Sessions. 

Golf & Kayak Meeting Location: Tour Bus Lobby

Spa Meeting Location: Relache Spa Entrance

Rodeo Round Up Location: Vineyard Terrace

Meeting Location: Tour Bus Lobby

Enjoy a casual evening of cocktails, Texan Smoked BBQ, games, and networking with friends and colleagues.

Location: Glass Cactus

Location: 3rd Floor Convention Center Pre-Function area

Panelists will have a lively conversation about regulatory developments impacting the fund industry and the latest inside scoop from Washington DC insiders about the upcoming election and how various outcomes could impact the regulatory agenda going forward.

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

Option 1: Evolving the Front Office: Outsourced Trading

Explore the growing trend that investment managers are outsourcing all or portions of their trading desk. By utilizing a third-party execution desk, advisers are able to reduce costs and shift focus to more alpha-generating business areas.

Location: Mustang 6

Option 2: Transforming Boards and Executive Teams

Panelists will discuss the evolution of the trustee role and the growing demands, responsibilities and oversight of fund boards and senior executives.

Location: Mustang 1

Option 3: Data Governance The Triad of Trust: Risk, Compliance, and Security

Discussing the three pillars of data governance, industry professionals will help you understand how to keep your data safe.

Location: Mustang 2

Option 4: Properly Executing a Section 351 Exchange

This panel will discuss when a Section 351 exchange should be considered and how to properly structure the transfer. We will examine how to structure the exchange so that it is eligible for tax deferral and any pitfalls that advisors should be thinking about.

Location: Mustang 4

Option 1: Understanding the Current ETF Landscape to Optimize Product Success

ETFs continue to grow at a rapid pace. These ETF panelists will discuss the latest industry trends, connecting into the ETF ecosystem, and the support required to successfully launch new products and enable future growth.

Location: Mustang 2

Option 2: Tactics for Distribution Success

We have assembled a round table of industry peers that have successfully implemented varied plans for growing their firms and the funds for improving their distribution strategy. They will discuss a range of distribution related topics including wholesaling, marketing, data, technology, conference tactics, and many others.

Location: Mustang 4

Option 3: Independent Trustee Roundtable

Independent Trustees are invited to join Lisa Hamman, Associate Managing Director of the Independent Directors Council, for an informal conversation about the increasing challenges mutual fund board members face in the current environment. Discuss board practices, governance trends, and the current regulatory landscape with other trustees. This session is for Independent Trustees-only.

Location: Mustang 1

Location: 3rd Floor Convention Center Pre-Function area

Presenters will help prepare you for an AI future including understanding proper use cases while managing risks.

Location: 3rd Floor Convention Center Grapevine C-D Ballroom

Location: 3rd Floor Convention Center Grapevine C-D Ballroom