7th Americas Structured Products & Derivatives Conference 2018

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Felix Hines
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Chicago 23-24 May 2018 @Structured Retail

Partner Media Partners Ned Davis Research

1 7th Americas Structured Products & Derivatives Conference 2018 The Westin Chicago May Retail #SRPAmericas Gold Sponsor Silver Sponsors Bronze Sponsor Associate Sponsor Exhibitors Supporting Partner Media Partners Ned Davis Research

7 th Annual Americas Structured Products & Derivatives Conference 2018 WHAT TO EXPECT ACROSS THE TWO DAY EVENT 7 TH AMERICAS STRUCTURED PRODUCTS & DERIVATIVES CONFERENCE Join senior representatives

2 7 th Annual Americas Structured Products & Derivatives Conference 2018 WHAT TO EXPECT ACROSS THE TWO DAY EVENT 7 TH AMERICAS STRUCTURED PRODUCTS & DERIVATIVES CONFERENCE Join senior representatives from local and international investment banks, insurance companies, retail & private banks, asset managers, hedge funds, IFAs, law firms, regulators, index providers, exchanges and the wider derivatives space to debate the most relevant topics facing the industry today. See page 6 for full programme. NETWORKING OPPORTUNITIES Network with the Structured Products and Alternatives industry throughout the two days and at our celebratory Awards Ceremony. CPD ACCREDITED DERIVATIVES MASTERCLASS Gain a thorough grounding in Structured Products & Derivatives through our CPD accredited workshops run with the support of Tiago Fernandes & Tim Mortimer. See page 5 for more information. WHO WILL YOU MEET? Breakdown of 2017 attendance: 50% SELLSIDE North America 70% Europe 10% 89% Decision-Makers 45+ Speakers 50% BUYSIDE Rest of Americas 20% 190 Delegates Expected

3 7th Americas Structured Products & Derivatives Conference 2018 WHO SHOULD ATTEND? Anyone involved with: Capital Markets Distribution Equities and Derivatives Indices and ETFs Investment Advisors Investment Management Investment Strategy Listed Products Private Banking Retail Distribution Retail Investment Products Structured Equity Distribution Structured Investments Structured Products Structuring & Financial Engineering Wealth Management Company Type Broker Dealers Clearing Houses Exchanges Hedge Funds Investment Advisors Index Providers Industry Bodies Associations Insurance Companies Investment Bank Law Firms Private Banks Regulators Research Companies Securities Companies Technology Providers Trading & Distribution Platforms Trading Companies Wealth / Asset Managers "The best way to catch up with a new market is attending an SRP conference" Head of Structured Investment Services Platform, Natixis WHY YOU SHOULD ATTEND? Join senior representatives from investment banks, wealth managers, product distributors, asset managers, regulators, product developers and actuaries to: Gain a thorough grounding in Structured Products through CPD-accredited workshops run by independent experts. Learn about asset allocation and how and when to use different products in client portfolios. Discuss the latest trends and best practices in product design and regulations. Discover how Fintech are changing the traditional distribution model and where the opportunities are. Network with the Wealth Management & Fintech industry throughout the Conference and at our Awards Ceremony. Call: Joe@StructuredRetailProducts.com

CELEBRATING 15 YEARS OF SRP CONFERENCES 2003 Dr Robert Benson PhD, MSc, BSc (Eng) launches Structured Retail Products 2007 SRP becomes the largest structured products database in the world 2009 The

4 CELEBRATING 15 YEARS OF SRP CONFERENCES 2003 Dr Robert Benson PhD, MSc, BSc (Eng) launches Structured Retail Products 2007 SRP becomes the largest structured products database in the world 2009 The credit crunch and economic downfall had a huge impact on structured products 2011 SRP acquired by Euromoney Institutional Investor % of the public surveyed had very little to no knowledge about structured products (SRP Street Poll) Our second conference focused on the evolving market for structured retail products in Europe 2013 New laws begin impacting the ability of providers to distribute products in many markets (PRIPS, PD, RDR, etc.) 2017 South Korea becomes the biggest structured products market by issuance Inaugural Europe Structured Products Conference SRP becomes the leading online information resource for the global structured products market Lehman Brothers Collapse Structured products market declined by 27% million products in SRP s database Beginning of ECB Quantitative Easing million products in SRP s database

7 th Annual Americas Structured Products & Derivatives Conference 2018 Derivatives Masterclass Wednesday 23 th May MEET THE TRAINERS Accredited by TIAGO FERNANDES Global Head of Data, SRP Tiago

Before that, Fernandes worked at BNP Paribas and at DIF Broker. TIM MORTIMER Founder & Managing Director, FVC Tim Mortimer is the founder and managing director of FVC.

5 7 th Annual Americas Structured Products & Derivatives Conference 2018 Derivatives Masterclass Wednesday 23 th May MEET THE TRAINERS Accredited by TIAGO FERNANDES Global Head of Data, SRP Tiago Fernandes is the Global Head of Data at SRP in London, which he joined from Caixa Geral de Depósitos, where he was an analyst for structured products in Portugal. Before that, Fernandes worked at BNP Paribas and at DIF Broker. TIM MORTIMER Founder & Managing Director, FVC Tim Mortimer is the founder and managing director of FVC. Previously, Mortimer was a quantitative analyst at Paribas, UBS and Zurich Capital Markets, responsible for product development and building models to price and risk manage a variety of derivatives-backed products. STRUCTURED PRODUCTS: INTRODUCTORY WORKSHOP 9.00 Structured Products Market Overview What is a structured product? Global market overview Core Structured Products Strategies Swapping coupons for upside. Simple yield enhancement. Why barriers are popular. The wonder of auto-calls Refreshments The Legal Framework - How to Remain Compliant Identifying Target Market and why this is important. Good practices to observe. Recent examples of where it went wrong Lunch STRUCTURED PRODUCTS: ADVANCED WORKSHOP Cutting Edge New choices in underlyings. Fixed dividend indices and other propietary strategies. New developments in payoffs. Modelling structures and understanding risk Refreshments Wrapping the Solutions & Product Ideas What legal forms fo products take? Where do they fit in a portfolio and how should they be marketed? Product ideas for the future Wrap-up and Final Questions

7 th Annual Americas Structured Products & Derivatives Conference 2018 Conference Thursday 24 th May 08.

6 7 th Annual Americas Structured Products & Derivatives Conference 2018 Conference Thursday 24 th May Registration & Breakfast Women in Structured Products: Breakfast and Talks Chaired by Barbara Mullaney, Managing Director, Global Head, Citi Private Client Solutions, Citi SRP are eager to inspire and connect women in Structured Products, who are, or are keen to become resilient, inclusive, ambitious, confident and responsible leaders. We are enthusiastic about equipping women with the tools, skills and insights to help them achieve their career goals. Come and join the private breakfast session to engage in an active discussion with networking opportunities Welcome Keynote Address: US Market Overview Ed Clissold, Chief US Strategist, Ned Davis Research Group Global Market Overview Tiago Fernandes, Managing Director, SRP Platforms: Will Education be the Catalyst for Further Platform Development in the US? What do clients want and need from platforms and what platforms are capable of? What level of flexibility with structures and underlyings is available? When will platforms improve their analytics tools for the investors to see how easy it is and the benefits of putting structured products into a portfolio? Will education and platform developments stimulate adviser and investor interest in products that are still labelled as complex instruments? Moderator: Chris Schell, Partner, Davis, Polk & Wardwell Donald Pogan, Director, Trading and Operations, Navian Capital Biju Kulathakal, Co-Founder and Chief Executive Officer, Halo Networking Break

7 7 th Annual Americas Structured Products & Derivatives Conference New Product Development: Reflecting the Regulatory Environment and Innovation? What financial advisers want and how to interact with them to inform product design? Delivering fiduciary-based structured solutions via fund-based products? What is the appetite for creating and selling cryptocurrency-linked products? Could UITs complement structured notes? Could indices in a fund format align retail and institutional investors? How can fixed income strategies be delivered? Moderator: Steve Saltzman, Principal, Saltzman Associates Tom Haines, Senior Vice President, Capital Markets & Index Solutions, Annexus Oscar Loynaz, Managing Director and Founder, Alaia Capital Ken Kwalik, Equity Derivatives Portfolio Manager, Harvest Volatility Management Indexing: Trends and Challenges What are the new indexing trends? What strategies are seeing the most growth? Which ones are just being piloted? How to capitalise on the changes in indexing? How to customise a particular index for a specific strategy? Performance driving models: what are the effective ways of using index provider s research and data to implement strategies in an automated way? European benchmarks regulation: the impact in the Americas Edward Allen, Managing Director, Head of Index Client Coverage, North America, MSCI Rahul Saito, Director of Sales, North America, Stoxx SRP Americas Performance & Market Presentations What new products in 2017 are the most exciting? Americas structured products performance. The Good, the Bad and the Ugly. What are the opportunities in the region? Presentation followed by a panel discussion Moderator: Tiago Fernandes, Managing Director, SRP Manuel Meza Piza, Managing Director, Global Structured Solutions, BBVA Bancomer Lunch Time Presentation: Hardeep Walia, Founder & CEO, Motif New Technologies: Artificial Intelligence, Blockchain and Cryptocurrencies What are the risks and benefits of using artificial intelligence? Where does blockchain fit in? Are cryptocurrencies commodities, currencies, or both? Gautham Sastri, CEO, isentium Applying Fiduciary Standards, Here comes the SEC. Stephanie Nicolas, Partner, WilmerHale RegTech: The Regulation of Technology and the Technology of Regulation Is regulation keeping pace with technology? Can technology be applied to regulation? Integrating the law into electronic systems. Are you technologically compliant? Anna Pinedo, Partner, Mayer Brown Tom Selman, Executive Vice President, Regulatory Policy and Legal Compliance Officer, Finra

7 th Annual Americas Structured Products & Derivatives Conference 2018 15.25 Networking Break 15.

8 7 th Annual Americas Structured Products & Derivatives Conference Networking Break Leading Distributors Forum - The Art of Distribution What are the current challenges around distribution? Has creating model portfolios for the client base become a norm? How to choose a product to distribute? Could defined outcome funds be the way forward and bring more business to the structured notes maket? How UITs could open up opportunities in structured products as an alternative wrapper for retail investors? Is a mutual fund regulatory structure more familiar and hence preferred choice to other investment structures such as notes? Specifics of regional markets in the Americas Jerome Cloutier, Managing Director & Head of Sales, BMO Capital Markets Tom Layton, Vice President of Product Management, Raymond James Private Client Group Investment Products Deryk Rhodes, Managing Director & Head of Market-Linked Products Trading & Origination, Incapital Leaders Forum: In Conversation with Leading Manufacturers What can bring scalability to structured products market? Will thematic investment and become mainstream at the time of millenials? Regulation and how to keep your compliance costs at bay Moderator: Richard Jory, Global Head of Content, SRP Abid Chaudry, Managing Director, Head of Global Structured Products, BMO Capital Markets Brooke Hammel, Co-Head of Retail Structured Products, Americas, Morgan Stanley Manuel Meza Piza, Managing Director, Global Structured Solutions, BBVA Bancomer Larry Wilson, Managing Director, Head of Americas Retail Distribution, Structured Investments, JP Morgan Closing Remarks Richard Jory, Global Head of Content, SRP Drinks Reception SRP s Americas Awards Dinner & Ceremony The SRP s Americas Awards are the industry s most prestigious accolade, designed to recognise the best buy and sell-side companies across Americas, as well as identifying the best service providers and distributors. After the first day of the conference, we welcome you to join us for the evening to relax with a few drinks, excellent food and great entertainment. To book your awards table, please contact Joe Burris Joe@StructuredRetailProducts.com Gain Essential CPD Points at both the Derivatives Masterclass and Conference T&C s: Must attend the full day to qualify.

9 7 th Annual Americas Structured Products & Derivatives Conference 2018 "Good opportunity to be updated by the different points of view of different buy- and sell-side" Head of Equity Derivatives Sales, BBVA Bancomer Gain Essential CPD Points at both the Derivatives Masterclass and Conference T&C s: Must attend the full day to qualify.

SRP s Americas AWARDS DINNER & CEREMONY The first day of the conference

SRP s Americas Awards are designed to recognise the best Manufacturers,

As the industry s most prominent awards ceremony, it is a must attend

ADVANTAGE From attending the event you will be one of the first to know

thank them for a successful partnership THANK YOUR TEAM and show your

evening Join us for the evening to celebrate the best in the industry,

10 SRP s Americas AWARDS DINNER & CEREMONY The first day of the conference will be followed by the highly anticipated Awards Ceremony. SRP s Americas Awards are designed to recognise the best Manufacturers, Distributors, as well as identifying the best Service Providers. As the industry s most prominent awards ceremony, it is a must attend event. Reasons to Attend: GAIN PUBLIC RECOGNITION With brand-building amongst Europe s top Structured Products & Derivatives players GAIN COMPETITIVE ADVANTAGE From attending the event you will be one of the first to know which companies are leading the industry this year HOST YOUR CLIENTS and thank them for a successful partnership THANK YOUR TEAM and show your appreciation for all their hard work with a glamourous high-profile evening Join us for the evening to celebrate the best in the industry, relax with a few drinks, excellent food and great entertainment. To book your awards table, please contact Joe Burris Joe@structuredretailproducts.com

Americas Structured Products & Derivatives Conference 2018 SECURE YOUR PLACE NOW: BUYSIDE: SELLSIDE: Early Bird Offer Buyside Conference & Masterclass Pass $499 Offer Expires 20 April 2018 Full Price

com +1 212 224 3458 Sell-side companies include: Investment Banks, Law Firms, Exchanges/Clearing Houses, Tech Companies, Consultancy/ Accounting Firms, Index Providers, any other service provider

structuredretailproducts.com 2. Call us on +1 212 224 3458 3. Email us at Joe@structuredretailproducts.

11 Americas Structured Products & Derivatives Conference 2018 SECURE YOUR PLACE NOW: BUYSIDE: SELLSIDE: Early Bird Offer Buyside Conference & Masterclass Pass $499 Offer Expires 20 April 2018 Full Price Buyside Conference & Masterclass Pass $749 For sponsorship opportunities and sellside passes please contact: Joe Burris Head of Americas Sell-side companies include: Investment Banks, Law Firms, Exchanges/Clearing Houses, Tech Companies, Consultancy/ Accounting Firms, Index Providers, any other service provider Buy-side companies include: Retail Banks, Private Banks, Asset Managers, Fund Managers, Life Insurance Companies Prices are subjected to VAT if applicable 3 EASY WAYS TO REGISTER 1. Online 2. Call us on us at Joe@structuredretailproducts.com AWARDS CEREMONY Limited availability To make sure your company is represented, book now by phoning or ing Joe@structuredretailproducts.com For details on the Awards Dinner please contact SRP One of the best conferences in the financial industry Marketing, Desjardin Venue Information THE WESTIN MICHIGAN AVENUE 909 N Michigan Ave, Chicago, IL Phone: SRP has negotiated a specially discounted room rate for delegates requiring overnight accommodation in Chicago. Once you have confirmed your registration for the conference, we will provide details on how to book your room at the discounted rate.

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