2014 Annual Conference New Horizons: Investment Marketing in the Age of Globalization Boston, MA April 9 10, 2014

Transcription

1 2014 Annual Conference New Horizons: Investment Marketing in the Age of Globalization Boston, MA April 9 10, 2014 Location: Seaport Boston Hotel 1 Seaport Lane, Boston, MA Agenda As of March 24, 2014 subject to change This year s conference will delve into real world insights and solutions aimed at meeting the unique challenges faced by third party marketers and the investment industry as the global investment arena continues to shrink and different regions begin to converge in areas such as product demand, regulation and distribution. Wednesday April 9, 2014 Day 1 Preconference 3PMs Only 10:00 am Registration Desk and Continental Breakfast Opens 10:00 am 5:30 pm Sponsor Tables Open Stop by to register for the event and pick up your conference package which will contain important information about the event including times and locations for all of the events. Visit our Sponsors throughout the conference. We are pleased to offer our members access to some of the industry s most prominent vendors. Sponsor Trivia Want to win an ipadair?

2 Visit our sponsors, complete your trivia card, and be entered to win! The drawing will be held during the closing remarks on Day 2. You must be present to win. Winners can choose from an ipad3 Wi Fi 32 Gb or ipad3 w/ Wi Fi and 3G 16 Gb which will require a subscription from either Verizon or AT&T. The winner will be responsible for the cost of the 3G subscription. 11:30 am 11:45 am Preconference Welcome and Opening Remarks President Stacy Havener will welcome attendees and review the conference agenda. 12:00 noon 12:45pm Networking Lunch Sponsored by: JCPR Jennifer Connelly Public Relations (JCPR) is an independent public relations agency developing and executing strategic, multichannel communications campaigns for public and private businesses across a broad range of industries. Deeply integrated into the industries it serves, JCPR maintains specialized practice groups in Finance, Financial Technology, Commercial Real Estate, Professional Services, Health & Wellness, Innovation & Leadership and Investor Relations. JCPR offers a full suite of communications services including corporate reputation management, crisis and issues management, graphic design, marketing communications, media relations, social media strategy and execution, thought leadership development and content development. The firm additionally provides complete visual communications through its production company, JCIP. 12:45 pm 1:45 pm Entrepreneur Fire Thy Self As small business owners, 3PM s usually run their day to day operations with little outside help. But given the demands of a small business is this really an efficient use of our time? The answer is probably not in fact, there is probably a more cost effective solution that would allow all of us to off load these responsibilities and focus our attention on selling product. Attendees will hear from a variety of 3PMs who have outsourced or implemented technological solutions to help manage their business more effectively. It is our bet that by the end of this session, all of us will be firing ourselves from those every day non revenue generating tasks and implementing the new software or outsourcing solutions discussed by our panelists. Moderator: Joe Lydon GoaL Consulting Group Speaker: Brian Fitzgibbon Fitzgibbon Toigo, David Frank Stonehaven, and Steven Rubenstein Arrow Partners, 2

3 1:45 pm 2:45 pm Regulatory Update Moderator: Donna DiMaria Tessera Capital Partners, LLC Panelists: Thomas Selman Executive VP, Regulatory Policy, FINRA and Gary Goldsholle General Counsel, MSRB Panelist will provide attendees with important regulatory updates. Tom Sellman will discuss FINRA s proposed Limited Corporate Financing Broker Registration while Gary Goldsholle will provide an update related to the MSRB and Municipal Advisors. 2:45 pm 3:45 pm Speed Dialogue: The Traditional 3PM Open Dialogue Session meets Speed Dating Due to the success of this session at last year s event, Speed Dialogue is back by popular demand. During this session, attendees will be presented with a series of scenarios and/or issues that each 3PM is likely to encounter throughout their tenure in this business. Attendees will be given a limited amount of time to discuss each topic with a small group of their peers and hear differing opinions on how to handle these real life situations. To keep things interesting each group will be shifted around after each issue is presented and discussed. The goal of this session is to give attendees an opportunity to meet as many 3PMs as possible and hopefully come away with some new contacts. Because of the limited time allotted to each discussion group, there will be no time for introductions. As such, each attendee should come with a stack of business cards to give to the other 3PMs they meet. Moderator: Donna DiMaria, Tessera Capital Partners and Stacy Havener, Havener Capital Partners Includes special guests from The Gemini Companies 2:45 pm 3:45 pm Break with Exhibitors Sponsored by: Mick and Associates Mick & Associates, P.C., LLO, based in Omaha, Nebraska is a provider of independent due diligence services for numerous broker dealers, RIA s, family offices and institutional parties throughout the country. Our attorneys have attained various additional professional and educational credentials, including MBA s and securities industry licenses. Through our unique due diligence practice, we apply our investor centric due diligence approach in examining real estate equity funds, TIC/DST investments, REIT s, oil and gas programs, hedge funds, sponsor entities as well as private equity, managed futures and life settlements offerings. Ultimately, we provide thorough and individualized 3

4 legal opinions with a focus on offering and project structure, financing, valuation and exit analysis. 4:15 pm 4:30 pm Conference Welcome and Opening Remarks 4:30 pm 5:30 pm Opening Keynote Address Rising to Meet New Challenges Speaker: Robert L. Reynolds, CEO Putnam Investments Sponsored by: Dilworth Paxson LLP Dilworth Paxson s lawyers provide advice to financial institutions on a broad range of transactional, regulatory, corporate and litigation matters. Our clients include banks, commercial finance companies, securities broker dealers, investment advisors, venture capital companies, leasing companies, mortgage lenders, savings associations and credit unions. Dilworth Paxson represents its financial institution clients in a wide variety of areas, including Loan Documentation and Workout, Real Estate, Bankruptcy and Restructuring, Asset based Leasing and Labor and Employment. 5:30 pm Closing Remarks 6:30 pm 9:30 pm Networking Cocktail Reception and Dinner Rosa Mexicano Boston Seaport 155 Seaport Blvd. Boston, MA Situated just steps from Boston Harbor and the Seaport Hotel, Rosa Mexicano offers contemporary Mexican cuisine rooted in authentic flavors utilizing socially responsible ingredients combined with stylish spaces and festive atmosphere. 4

5 Sponsored by: The Gemini Companies The Gemini Companies have over 30 years of experience in providing comprehensive pooled investment solutions to independent advisors and the investment community. Our services include helping clients bring their own investment vehicles to market and providing full servicing of mutual funds, hedge funds, exchange traded funds and other pooled investment products, including distribution services. The Gemini Companies also offer a Managed Account Platform and are a structured product platform sponsor. While meeting the requirements of investors and regulatory bodies, the Gemini Companies offer operational services, which include transparency, uniform operational setup, risk/guideline management and liquidity enhancements. 6:30 pm 7:30 pm Cocktail Reception 7:30 pm 9:30 pm Dinner Join us for cocktails and hors d oeuvres during which attendees and sponsors will be able to network and socialize. Opening night continues with dinner and festivities. The Committee Chairs will be on hand to give members an update on their activities. Thursday, April 10, 2014 Day 2 For 3PMs, Managers, and Intermediaries 8:00 am Registration Desk Opens 8:00 am 4:00 pm Sponsor Tables Open Don t forget to visit sponsors with your Trivia Card for a chance to win an ipad. Submit your completed entry form and then attend the closing cocktail reception to see if you have won. 8:00 am 8:45 am Continental Breakfast 8:45 am 9:00 am Opening Remarks President Stacy Havener will recap Day 1 and review the agenda for Day 2. 5

6 9:00 am 10:00 am Keynote Address: In a Challenging Economic/Markets Environment How to Revitalize the American Economy and Regain the American Spirit Speaker: C. Bruce Johnstone, CFA Managing Director and Senior Marketing Investment Strategist Fidelity Investments Sponsored by: Meridian IQ Meridian IQ is the newest, deepest and most up to date database of Registered Investment Advisors on the market. We have hundreds of data points on every RIA in the industry with unique and actionable information that no other firm possesses. Meridian IQ has workflow tools that make it easier to perform your job of working with and selling to Advisors. Our system was designed by experts in the RIA industry, and we constantly evolve our database with industry leading product development. 10:00 am 10:45 am Pitch Perfect Industry experts will be on hand to discuss the most effective methods use to write and deliver an effective elevator pitch. The session will also cover effective techniques for working with the press. Moderator: Sandra Powers ARK Global Speaker: Constance Hubbell The Hubbell Group and Andrea Trachtenberg JCPR 10:45 pm 11:15 pm Morning Break with Exhibitors Sponsored by: Pensions and Investments Pensions & Investments delivers news, research and analysis to the executives who manage the flow of funds in the institutional investment market. Written for pension, portfolio and investment management executives at the hub of this market, Pensions & Investments provides its audience with timely and incisive coverage of events affecting the money management business. Written by a worldwide network of reporters and correspondents, Pensions & Investments coverage includes business and financial news, legislative reports, global investments, product development, technology, investment performance, executive changes, corporate governance and other topics of interest to professional money. Visit us at 6

7 11:15 am Noon CIO for Hire Understanding the Outsourced CIO (OCIO) Model In today s investment industry, Plan Sponsors are facing challenges as to how they will meet their investment objectives with limited internal investment staff to oversee their increasingly complex investment portfolios. This is why Institutional investors especially foundations, endowments and pension funds are increasingly deciding to outsource the management of all or parts of their portfolio to OCIOs. While the model is gaining acceptance and growing in popularity just what does it mean for firms trying to garner assets from prospective investors utilizing this model? Our panel of experts will tell you this and so much more. Moderator: Frank Minard XT Capital Panelists: Mike Guido, The CommonFund and Mary Jane Bobyock SEI Investments 12:00 pm 1:00 pm Networking Lunch Presentation By Meridian IQ 1:00 am 1:45 pm Global Regulatory Road Map Nowadays, you can t pick up any industry publication without seeing some article discussing new regulation. The regulatory environment in the US has seen significant changes in the past several years, but now we are also seeing we regulations coming from abroad. Any manager or third party marketer that plans to represent a foreign manager or distribute product overseas needs to be aware of these new rules. Our esteemed panel will discuss many of the regulatory changes that are occurring and help you understand how you can successfully work within the guidelines of these new rules: Understand the JOBS Act and what it means for private fund marketing Compliance with the AIFMD UCITS and vehicles used outside the US Moderator: Donna DiMaria Tessera Capital Partners, LLC Panelists: Robert Cornish, Dilworth Paxson, LLP, Stuart Fross, Foley & Lardner LLP, and Bryan Mick Mick & Associates 1:45 pm 2:30 pm Investor Panel: Global Convergence Investment Opportunities in 2014 Moderator: Stacy Havener, Havener Capital Partners Speakers: Alexander Knapp Ballentine Partners, LLC, Shannon Saccoccia, CFA, CIMA Banyan Partners 7

8 A panel of diverse investors will explore new and emerging trends worldwide and will address how the shrinking global marketplace has affected the launch of new strategies, product distribution and manager selection. 2:15 pm 2:45 pm Afternoon Break with Exhibitors Sponsored by: Patrick Capital Markets Patrick Capital Markets, LLC (Patrick) is a privately held independent broker dealer firm with headquarters in St. Louis, Missouri licensed in over 25 states. Patrick is a member of the Financial Industry Regulatory Authority (FINRA), the Securities Investor Protection Corporation (SIPC) and the Municipal Securities Rulemaking Board (MSRB). Patrick is dedicated to supporting registered representatives with non traditional lines of business including both direct and wholesaling of Alternative Products such as structured notes, oil & gas, REITs and other Direct Participation Programs (DPP). Patrick also supports representatives that raise capital on a direct commission or fee split basis for private equity, hedge fund and fund of funds as well as traditional private placements. Patrick is able to leverage the extensive back office, compliance staff, management team and technology infrastructure of its retail brokerage affiliate Saxony Securities, Inc. (Saxony). Patrick is also able to support traditional retail brokerage transaction and fee based capital management lines of business through Saxony. Saxony is licensed in all fifty states and has offices throughout the United States. 3:00 pm 3:45 pm Closing Keynote Session The Changing Face of the Consulting Industry Speaker: Richard Charlton, Chairman New England Pension Consultants 3:45 pm 4:00 pm Conference Wrap Up / ipad drawing Sponsor Trivia Card Due Last chance to get in your entries for the ipad drawing. Please hand in your trivia card at the registration desk. You must present to win. 8

9 Please stop by our exhibitor hall to catch up with these other conference sponsors: 9