Americas Wealth Management & Derivatives Conference

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Aloft Boston Seaport Boston @SRP_Insider

1 Part of: Americas Wealth Management & Derivatives Conference June 14-16, 2017 Aloft Boston Seaport #SRPAmericas SRP Structured Retail Products Hear from the industry's leading experts: Hardeep Walia Chief Executive Officer, Motif David Roscum Manager, Advertising & Regulation, FINRA Matteo Andreetto Chief Executive Officer, Stoxx Bobby Samuelson Head of Solution Development, Brighthouse Financial Luciano Diaferia Angelo Head of Derivatives & Structured Products, Itau Unibanco Rick Silva Managing Director, Co-Head of Equities & Investment Solutions, Wells Fargo Securities Sponsors: Gold Sponsor: Silver Sponsor: Bronze Sponsors: Exhibitors: Associate Sponsors: Media Partners: Carly Greenberg ESG Analyst, Walden Asset Management President, BASIC Sébastien Vallée Principal Director, Desjardins Societe de Placement

Americas Wealth Management & Derivatives Conference WHERE THE AMERICAS WEALTH MANAGEMENT AND DERIVATIVES MARKET MEET Following last year s success, we are delighted to present you with the sixth

The two-day conference will bring together senior representatives from retail banks, insurance companies, investment banks, fund managers as well as law firms, regulatory bodies and independent

Our line-up of expert panellists from across the industry will come together to provide an informative and educational day of lively discussion.

2 Americas Wealth Management & Derivatives Conference WHERE THE AMERICAS WEALTH MANAGEMENT AND DERIVATIVES MARKET MEET Following last year s success, we are delighted to present you with the sixth annual Americas Wealth Management & Derivatives conference. The two-day conference will bring together senior representatives from retail banks, insurance companies, investment banks, fund managers as well as law firms, regulatory bodies and independent investment advisors to discuss the major challenges to be faced this year. Our line-up of expert panellists from across the industry will come together to provide an informative and educational day of lively discussion. 82% of the delegates in attendance last year had executive decision making power and consisted of C-level, Presidents, Founders,Global Heads, Senior Directors, Head / Managers A very professional event with lots of insight into the industry on all different levels! Managing Director, Commerzbank WHAT TO EXPECT IN speakers BREAKDOWN OF COUNTRIES: 2 DAY conference 64% delegates from the USA 9% delegates from Europe 190+ delegates 25% delegates from Americas (excl. USA) 2% delegates from Africa Register now at:

3 14 & 16 June 2017 Aloft Boston Seaport Boston, MA. USA A WORD FROM RICHARD JORY Global Head of Content SRP We are delighted to present an event that offers an insight into the state of the Americas Wealth Management & Derivatives market, offering sessions dedicated to Strategies and Proprietary Indices, with panels and an audience that include institutional investors and strategists that serve this market, as well as the effectiveness of the Broker- Dealer and other distribution channels. Further sessions have been created to meet the needs of Wealth Management, with panels that will include discussions of the major themes in private banking, which will also appeal to a more sophisticated audience. The interests of institutional investors and product creators will also be addressed in the Investing in Alternative Assets and Asset Allocation panels. Some of this year s themes are further investigated in The Strategic View panel, which incorporates an investigation of Thematic, Quantitative and ESG Investing. A version of this panel was one of the most popular and lively sessions at the event. On Day 2 this year, we will also include a panel dedicated to the Role of Derivatives in Pensions and Insurance, as well as an emphasis on new product development and an assessment of the performance of the best and the worst products in the market. The second day will culminate in an exchange of intelligence on regulation and the legal aspects of the structured products industry. Laws as well as market practices outside the Americas will also be offered in A View from Europe. As far as other subject matter, we have included talks on Volatility and Option Pricing, the Marketing & Advertising of Structured Products, and Taking Technology to the Middle of the Solution. Regards, Richard Jory Richard@ StructuredRetailProducts.com WHO SHOULD ATTEND? Anyone involved with: Company Type 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 Broker Dealers Clearing Houses Exchanges Hedge Funds Investment Advisors Index Providers Pension Funds Associations Insurance Companies Investment Banks Law Firms Private Banks Regulators Research Companies Securities Companies Technology Providers Trading & Distribution Platforms Trading Companies Wealth / Asset Managers Call: or Joe@StructuredRetailProducts.com

Americas Wealth Management & Derivatives Conference PROGRAM Pre-conference Training Day (Tuesday 14 June 2017) A CPD Accredited Derivatives Masterclass Tiago Fernandes Global Head of Data Course

global database for Structured Products.

Operations IFAs Training to provide greater understanding of: Building blocks used to make structured solutions Delivering solutions that meet customers needs Risks of Structured Products and ways to

4 Americas Wealth Management & Derivatives Conference PROGRAM Pre-conference Training Day (Tuesday 14 June 2017) A CPD Accredited Derivatives Masterclass Tiago Fernandes Global Head of Data Course Trainer, Tiago Fernandes Tiago Fernandes is the Global Head of Data at SRP, where he is in charge of a global team, responsible for sizing, understanding and putting together the most comprehensive global database for Structured Products. This pre-event training is ideal for: Newcomers to the industry & graduate hires Regulators Sales In-house Legal Product development & marketing professionals Compliance, Risk Functions and Operations IFAs Training to provide greater understanding of: Building blocks used to make structured solutions Delivering solutions that meet customers needs Risks of Structured Products and ways to mitigate them for providers and end users 09h00 Introduction 09h15 Structured Product Market Update & Global Market Update What products are popular and why? How do they compare with other types of investment? 10h00 Building Blocks What are the key ingredients of a structured product? How do they work? 10h45 Refreshment break 11h15 Structuring Products How can the ingredients be combined to meet customers differing needs? Covering protected products and reverse convertibles and smart indexing 12h00 Wrapping the Solutions & Legal framework What legal forms do products take? How do different wrappers address needs? 13h00 Lunch 14h00 Managing Risks & Commercial Drivers to Maximise Sales What are the risks of issuing and investing in structured products versus other investments? How can those risks be mitigated? What are the benefits of structured products: why issue or invest in them? 14h45 Value of Structured Products and Structured Portfolio Construction Behavioural Finance and the benefits of structured products Where do they fit in a portfolio and how should they be marketed? 15h30 Refreshment break 16h00 Structured Products Assessment Wrap-up and final questions SRP is the leading intelligence provider for the structured product community and is dedicated to sharing its expertise and knowledge to better educate the market about best practices and strategies. CPD Accreditation: If you are an Investment Advisor, you are now mandated to advise on structured products sales practices. It is important that this is done correctly. Our training workshop and conference are both Continuing Professional Development (CPD) accredited and will enable you to keep learning throughout your career and keep your skills and knowledge up to date to work safely, legally and effectively. Register now at:

5 14 & 16 June 2017 Aloft Boston Seaport Boston, MA. USA DAY ONE THURSDAY, 15 JUNE 07h45 Registration & Welcome Break Available for sponsorship 08h40 08h50 09h20 09h45 Welcome Jan Scibor-Kaminski, Managing Director, SRP Keynote Address Hardeep Walia, Chief Executive Officer, Motif Global Market Overview Tiago Fernandes, Global Head of Data, SRP Broker-Dealer Expert Session: New Channels, Clients & Challenges What are the biggest challenges to your industry? What are the essential factors when choosing a product to distribute? What creativity do you from sell-side? What do you need to have double digit growth in structured product sales? What product features are most important in your market? Tiago Fernandes, Global Head of Data, SRP George Barbar, Senior Managing Director, Institutional Sales & Trading, Mesirow Financial Matt Ginsburg, Vice President, Head of Retail Sales & Marketing, Investment Solutions Group, Wells Fargo Jeffrey Miller, Managing Director, Fixed Income Business Development, Fifth Third Securities John Tesser, Senior Vice-President, Head of Structured Products, JVB Financial Group 10h20 Networking Break Available for Sponsorship 10h50 Creating Strategies & Developing Proprietary Indices Do proprietary and smart beta indices deliver value? How do independent index creators compete with banks? Are proprietary indices overengineered? How is the implementation of Iosco and Esma benchmark rules working? Matteo Andreetto, Chief Executive Officer, Stoxx Rick Redding, Chief Executive Officer, Index Industry Association 11h30 The Marketing & Advertising of Structured Products 10-minute introduction of marketing initiativies What is the quality of marketing and advertising literature? Is there a sharper focus on structured products? How to market a complex product? David Roscum, Manager, Advertising Regulation, Finra Call: or Joe@StructuredRetailProducts.com

6 Americas Wealth Management & Derivatives Conference PROGRAMME 12h10 View from Europe What are the political risks from Brexit, French elections, and the European Union? Is Trump good for European banks? How will European practices affect banking in the Americas? Making the most of volatility in product creation. Eric Dutruit, Managing Director, Head of Prime & Equity Derivatives Sales, EMEA, HSBC Oumar Diawara, Managing Director, Structured Investment Services Platform, Natixis Asset Management Shane Edwards, Managing Director, Global Head of Structured Solutions, UBS 12h50 Lunch Available for Sponsorship 13h50 Academic Presentation: The impact of issuance of structured retail products on dividend futures market Donghwa Shin, PhD in Economics, Princeton University Investing in Alternative Assets How do structured products fit within asset allocation models? Which alternative investments compete with structured products in portfolio allocations? Are structured products an alternative investment, a yield enhancement tool, or both? How have alternative assets, such as hedge funds performed over the last 12 months and what is the outlook for them? Ed Condon, National Director Client Solutions, Merion Capital Group 14h30 Masterclass in Volatility & Options The effect on pricing. How to hedge your exposure as part of a wider portfolio. The place for volatility in product creation. Shane Edwards, Managing Director, Global Head of Structured Solutions, UBS Kevin Amell, Vice-President, Director of Equity Derivatives Trading, Eaton Vance Greg King, Founder & CEO, MACS, RexShares Ken Kwalik, Equity Derivatives Portfolio Manager, Harvest Volatility Management Shailesh Parmar, Vice-President, Associate Portfolio Manager, MACS, Acadian Asset Management How to Hire and Build Teams How to identify and hire talent. Man versus machine. Teams; How to create and develop. How to retain the talent you want to keep. 15h10 Break Available for Sponsorship Register now at:

7 14 & 16 June 2017 Aloft Boston Seaport Boston, MA. USA 15h40 Taking Technology in the Middle of the Solution Front to back office solutions: pre-trade, execution and post trade. The European versus the US Fintech model. The European model is driven by regulation, but how is the US model crafted? Pre-execution versus post-trade. EU regulations make it an obligation for buy-side to go to technology. How have the sell-side played that game? What is the US experience from a technology and regulation prospective? What are the requirements and what are the main differences in executive and post-trade? 10-minute presentation followed by a panel Geraldine Laussat, Head of Structured Products, RFQ Platforms, ITG 16h20 Leaders' Forum: In Conversation with Leading Manufacturers Fiduciary rules will be good for investors, but what is the route to implementaation? When will secondary trading of structured products become part of the landscape? Does the benefit of regulation outweigh the costs? Demystifying the myths: how to get rid of the black box image. Richard Jory, Global Head of Content, SRP Rick Silva, Managing Director, Co-Head of Equities & Investment Solutions, Wells Fargo Securities 17h00 Champagne Debate Ethical versus unethical investing. Artificial versus human intelligence. Carly Greenberg, ESG Analyst, Walden Asset Management and President, Walden Asset Management, Building a Sustainable Investment Community (BASIC) 17h40 Closing Remarks Richard Jory, Global Head of Content, SRP Drinks Reception Available for sponsorship Awards Dinner DAY TWO FRIDAY, 17 JUNE 08h20 Registration & Welcome Break Available for sponsorship 09h00 Keynote Call: or Joe@StructuredRetailProducts.com

8 Americas Wealth Management & Derivatives Conference 09h30 SRP Americas Performance & Market Presentations The most successful products of Americas structured products performance. The Good, the Bad and the Ugly. What are the opportunities in the region? minute presentation followed by a panel Tiago Fernandes, Global Head of Content, SRP Luciano Diaferia Angelo, Head of Derivatives & Structured Products, Itau Unibanco Sebastien Vallee, Director, Desjardins Societe de Placement 10h20 The Role of Derivatives in Pensions & Insurance What will be the top 10 themes for 2017? Index Annuities. Rsik Premia. Trump. Where does the credit-linked note market go now? The ever-increasing popularity of risk premia and bank strategies. The use of ETFs as underlyings for structured products. 10 minute presentation followed by a panel Bobby Samuelson, Head of Solutions Development, Brighthouse Financial 11h00 Break Available for sponsorship 11h30 Law Firm Roundatable The Priips implementation. Introducing the Kid: How could it become commodity? What is the right risk methodology? Priips and the Kid: translating, scope of products; territoriality. What does the Prospectus Directive 3 mean in practice? 10 minute presentation followed by a panel 12h10 Regulator Roundtable Has regulation been effective in the post-crisis world? Is there too much direct regulation; are there other ways? Is the cost of regulation a factor in law creation? 10 minute presentation followed by a panel Richard Jory, Global Head of Content, SRP Ronak Patel, Partner, Kelly Hart & Hallman Closing Remarks Richard Jory, Global Head of Content, SRP 13h00 Lunch Available for sponsorship 14h00 Conference Ends Register now at:

Americas Wealth Management & Derivatives Conference SRP AWARDS The SRP Awards are designed to recognise the best buy-

Join us for the evening to celebrate excellence in the industry across the Americas region and relax with a few drinks,

The Awards are based on a survey conducted with the relevant industry participants.

strength of relationships that come as a result of a decade of unstinting dedication across all continents and 80

9 Americas Wealth Management & Derivatives Conference SRP AWARDS The SRP Awards are designed to recognise the best buy- and sell side firms as well as identifying the best service providers and distributors. Join us for the evening to celebrate excellence in the industry across the Americas region and relax with a few drinks, excellent food and great entertainment. The Awards are based on a survey conducted with the relevant industry participants. To this, we add the knowledge that we have from the extensive data we collect, the in-house intelligence and the strength of relationships that come as a result of a decade of unstinting dedication across all continents and 80 markets. SRP AWARDS We only have 20 tables available! To book your table, please contact Joe Burris: Joe@StructuredRetailProducts.com or Call: Register now 224 at: or Joe@StructuredRetailProducts.com

SECURE YOUR PLACE NOW AND SAVE UP TO $1000 14 & 16 June 2017 Aloft Boston Seaport Boston, MA. USA All the sessions I attended were very informative.

It was great to see so many industry specialists gathered in the one place. Counsel, Clifford Chance It was very interesting and also great fun!

Director, Nasdaq The conference sets a high benchmark in providing the buy-side with a comprehensive insight into the industry s challenges and opportunities.

10 SECURE YOUR PLACE NOW AND SAVE UP TO $ & 16 June 2017 Aloft Boston Seaport Boston, MA. USA All the sessions I attended were very informative. Interesting and practical information was shared, together with cutting edge insights as to where we may be heading in the future. It was great to see so many industry specialists gathered in the one place. Counsel, Clifford Chance It was very interesting and also great fun! Director, OIC Options Industry Council Excellent networking, interesting panels and relevant topics. The SRP team was very informative and useful as always. Director, Nasdaq The conference sets a high benchmark in providing the buy-side with a comprehensive insight into the industry s challenges and opportunities. Director, Fiduciam 3 EASY WAYS TO REGISTER 1. Online 2. Call us at us at Helga@StructuredRetailProducts.com Super Early Bird valid until 16 April 2017 Conference Pass $499 Save $500 Training Pass $199 Save $ Conference + Free Training Pass Save $1000 $998 BEST VALUE Early Bird valid until 14 May Conference Pass Save $250 Training Pass $ Conference + Free Training Pass $749 Save $200 $1,498 Save $500 Standard Price Conference Pass $999 Training Pass $ Conference + Free Training Pass $1,998 FOR SELL-SIDE PASSES, PLEASE JOE@STRUCTUREDRETAILPRODUCTS.COM Sellside companies include: Investment Banks, Law Firms, Save Exchanges 1798/ Clearing Houses, Tech Companies, Consultancy Accounting Companies, Index Providers, other service providers companies include: Retail Banks, Private Banks, Asset Managers, Fund Managers, Life Insurance Companies Prices are subjected to VAT if applicable Venue Information ALOFT BOSTON SEAPORT D Street, Boston, MA 02210, United States Phone: SRP has negotiated a specially discounted room rate for delegates requiring overnight accommodation in Boston. Once you have confirmed your registration for the Conference, we will provide details on how to book your room at the discounted rate. Call: or Joe@StructuredRetailProducts.com

Americas Wealth Management & Derivatives Conference

Part of: Americas Wealth Management & Derivatives June 15-16, 2017 Aloft Boston Seaport Boston @SRP_Insider #SRPAmericas SRP Structured Retail Products Hear from the industry's leading experts: Hardeep