AML2016 SPONSORSHIP OPPORTUNITIES ANTI-MONEY LAUNDERING & FINANCIAL CRIMES CONFERENCE APRIL 5-6, 2016 NYC NEW YORK MARRIOTT MARQUIS
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1 TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: Nicole Rossi Vice President, Sponsorship and Exhibit Sales, SIFMA AML2016 SPONSORSHIP OPPORTUNITIES
2 SIFMA s Anti-Money Laundering & Financial Crimes Conference is the only conference in the AML and financial crimes space tailored to broker-dealers and other members of the securities industry. New in 2016 is a full two-day program, providing additional branding exposure and business development opportunities for your firm. The two-day program will offer attendees opportunities to discuss current developments in AML and financial crimes, obtain practical guidance for implementing effective compliance programs, and participate in a number of networking opportunities. The event will take place April 5-6, 2016 at the Marriott Marquis in New York City. The anticipated audience will include leading experts from the financial services industry, regulatory agencies and law enforcement to discuss new trends in financial crime; emerging issues relating to anti-money laundering, elder fraud, economic sanctions and anti-bribery/anticorruption compliance; and changes in regulatory expectations and requirements. Sessions will address risk assessment, monitoring, AML control framework, CDD, KYC, EDD, anti-bribery and anti-corruption as well as senior investors and sanctions. Industry partners with solutions in the anti-money laundering and financial crimes space are invited to showcase their offerings through sponsorship. 1
3 ALL SPONSORSHIP PACKAGES INCLUDE: 2015 SIFMA AML CONFERENCE DELEGATE BREAKDOWN Pre-Event Marketing: Complete mailing lists of all conference attendees in electronic format (Microsoft Excel file) will be sent directly to each sponsoring firm in advance of the conference and a final list will be sent in the same format post-event Sponsor logo listing on SIFMA.org/aml2016 and in select event marketing Event Branding and Business Development: Complimentary conference registrations providing education and networking opportunities to attendees Tabletop exhibit space for conference duration Sponsor branding displayed on all program material with inclusion in the printed sponsor listing placed in the conference program with full color company logo, contact information, and product description Recognition on signage at the sponsored function Recognition in welcome remarks Post-Event Branding: Recognition in post-event marketing and highlights Other C-Suite MD-Senior Executives 15% 26% 9% 3% General Counsel *Includes professionals focused on privacy, risk, cyber, data breach and elder fraud 47% VP-Director* TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: CONTACT Nicole Rossi Vice President, Sponsorship and Exhibit Sales, SIFMA nrossi@sifma.org 2
4 Sponsorship Investment Includes PLATINUM SPONSORSHIP OPPORTUNITY Wifi for Conference Attendees AVAILABLE $18,500 $20,000 4 Complimentary Conference Registrations & Reserved Table during Luncheon (to be filled with registered attendees by sponsor firm) Event App AVAILABLE $18,500 $20,000 4 Complimentary Conference Registrations & Reserved Table during Luncheon (to be filled with registered attendees by sponsor firm) GOLD SPONSORSHIP OPPORTUNITIES Reception April 5 th AVAILABLE $14,500 $16,000 3 Complimentary Conference Registrations Committee Dinner April 5 th AVAILABLE $14,500 $16,000 3 Complimentary Conference Registrations & 3 Invitations to Dinner Luncheon April 5 th AVAILABLE April 6 th AVAILABLE $14,500 $16,000 3 Complimentary Conference Registrations, Reserved Table during Luncheon (to be filled with registered attendees by sponsor firm) & Opportunity to contribute a seat drop TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: Nicole Rossi nrossi@sifma.org Vice President, Sponsorship and Exhibit Sales, SIFMA 3
5 Sponsorship Investment Includes SILVER SPONSORSHIP OPPORTUNITIES General Session Co-Sponsorship Sponsored by: 1 Complimentary Conference Registration & Opportunity to contribute a seat drop Morning Refreshment April 5 th Sponsored by: 1 Complimentary Conference Registration April 6 th AVAILABLE Afternoon Refreshment April 5 th RESERVED April 6 th AVAILABLE 1 Complimentary Conference Registration TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: Nicole Rossi nrossi@sifma.org Vice President, Sponsorship and Exhibit Sales, SIFMA 4
6 Sponsorship Investment Includes SILVER SPONSORSHIP OPPORTUNITIES Attendee Thumb Drive Sponsored by: 1 Complimentary Conference Registration & Sponsor firm s logo imprinted on each thumb drive Event Guide RESERVED 1 Complimentary Conference Registration & Sponsor firm s full page ad printed on outside back cover of each book Attendee Registration Packet RESERVED 1 Complimentary Conference Registration & Sponsor firm s branded on front side of each packet Attendee Lanyard Sponsored by: 1 Complimentary Conference Registration Sponsor firm to provide pre-approved lanyards Attendee Tote Bag AVAILABLE 1 Complimentary Conference Registration Sponsor firm to provide pre-approved tote bags TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: Nicole Rossi nrossi@sifma.org Vice President, Sponsorship and Exhibit Sales, SIFMA 5
7 Sponsorship Investment Includes ADD ON PURCHASE Event Guide Tab Advertising $2,000 CONTRACTED FIRMS ONLY Full Page Ad on front page of one of the following dividing Tabs (8 ½ x 11 ): Program Tab, Speaker Bio Tab, Attendee Tab or Notes Tab TO RESERVE YOUR SPONSORSHIP, PLEASE CONTACT: Nicole Rossi nrossi@sifma.org Vice President, Sponsorship and Exhibit Sales, SIFMA 6
8 AML Delegates: Prior year participation includes representation from the firms listed below. ABN AMRO Clearing Chicago LLC ACA Compliance Group Holdings, LLC ACAMS Alabama Securities Commission Alacra, Inc. AlixPartners LLP Allen & Overy LLP Allianz Global Investors American Funds Distributors, Inc. Ameriprise Financial Services, Inc. AML Audit Services, LLC Apex Clearing Corporation Appway Inc. AXA Advisors, LLC Babson Capital Management LLC Bank of America Merrill Lynch Bank of New York Mellon Banorte-Ixe Securities International, Ltd. Barclays Bloomberg Tradebook LLC BMO Harris Financial Advisors, Inc. BNP Paribas BNY Mellon Boies, Schiller & Flexner LLP Brean Capital, LLC Brown Brothers Harriman & Co. BTIG, LLC Cantor Fitzgerald & Co. Capital Forensics, Inc. Capital Group International Capital One Bank (USA), National Association Capital One Investment Services LLC Capital Research and Management Company Charles Schwab & Co., Inc. Citadel Securities LLC Citigroup Global Markets Inc. Citigroup Inc. Clarient Global LLC Clifford Chance US LLP Columbia Management Commerzbank AG Commonwealth Bank of Australia Concentrix Corporation Concept Capital Markets, LLC Continental Stock Transfer & Trust Company ConvergEx Group, LLC COR Clearing LLC Cordium Credit Agricole Credit Suisse Group AG Credit Suisse Securities (USA) LLC Crowe Horwath LLP Danske Markets David Lerner Associates, Inc. Dechert LLP Deloitte Deloitte Financial Advisory Services LLP Deloitte LLP Department of Finance Canada Deutsche Bank AG Deutsche Bank Securities Inc. Development Corporation for Israel Dow Jones Risk & Compliance DST Market Services, LLC DTCC E*TRADE Financial Corp. eclerx Edward D. Jones & Co., L.P. Empire AM 7
9 Equifax, Inc. Ernst & Young LLP Essex Financial Services, Inc. Eton Park Exiger Exprentis, Inc. Federal Bureau of Investigation (FBI) Federal Housing Administration Federal Reserve System Fidelity Investments Financial Crimes Enforcement Network (FinCEN), US Department of the Treasury Financial Industry Regulatory Authority Inc (FINRA) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) First Clearing, LLC First Republic Bank First Republic Private Wealth Management First Southwest Company Firstrade Securities Inc. FOLIO (fn) Investments, Inc. Forex Capital Markets, LLC (FXCM) Franklin Templeton Investments Friends Provident International Limited GE Capital Markets, Inc. General Electric Capital Corporation Global Compliance Analytics Goldman, Sachs & Co. Gordian Investment Solutions, LLC Grant Thornton LLP HSBC Bank USA, N.A. HSBC Securities Inc. ICICI Bank Ltd. Intercontinental Asset Management Group, Ltd. InterSystems Corporation J.P. Morgan Asset Management Jane Street Markets, LLC Jefferies LLC John Hancock Funds, LLC JPMorgan Chase & Co. KCG Holdings Inc KeyBanc Capital Markets Inc. KGS-Alpha Capital Markets, LP Korea Eximbank KPMG LLP Kroll Inc Ladenburg Thalmann & Co. Inc. Landesbank Hessen-Thueringen Girozentrale Leumi Investment Services Inc. LexisNexis Lincoln Financial Group Liquidnet Holdings Liquidnet, Inc. Lloyds Banking Group Lockheed Martin Cyber Security Solutions Loop Capital Markets LLC Lord, Abbett & Co. LLC LPL Financial LLC Macquarie Holdings (USA) Inc. Massachusetts Mutual Life Insurance Company McGraw Hill Financial, Inc. MFS Fund Distributors, Inc. MFS Investment Management Mitsubishi UFJ Trust and Banking Corporation Mizuho Securities USA Inc. Morgan Stanley Morgan Stanley Fund Services Inc. Morgan Stanley Wealth Management Morgan, Lewis & Bockius LLP Moss Adams LLP Motif Investing, Inc. MUFG Union Bank, N.A. National Futures Association (NFA) Natixis Navigant Consulting, Inc. New York Life Insurance Company NICE Actimize Nomura Securities International, Inc. 8
10 Northwestern Mutual Investment Services, LLC Oppenheimer & Co. Inc. Oracle Corporation Orrick, Herrington & Sutcliffe LLP OTC Markets Group, Inc. Park Avenue Securities LLC Patterson Belknap Webb & Tyler LLP PCAOB Perficient, Inc. Pershing LLC, A BNY Mellon Company PFS Investments Inc. Piper Jaffray & Co. PNC Capital Markets LLC PriceMetrix Inc. PricewaterhouseCoopers LLP Protiviti Inc Prudential Financial, Inc. Puma Capital, LLC Raymond James Inc. Raymond James Financial, Inc. RBC Capital Markets, LLC RBS Securities Inc. Regulatory DataCorp, Inc. Resources Global Professionals Robert W. Baird & Co. Incorporated Sapiens Americas Corp. Schulte Roth & Zabel LLP Scottrade, Inc. SMBC Nikko Securities America, Inc. Societe Generale Corporate & Investment Banking Solus Alternative Asset Management LP SS&C GlobeOp Standard & Poor s Ratings Services Standard Chartered Bank State Street Corporation Stifel, Nicolaus & Co., Inc. Stroz Friedberg LLC Sullivan & Cromwell LLP Sutherland Asbill & Brennan LLP Sutton Advisory Services Corp. TD Ameritrade Clearing, Inc. TD Ameritrade Holding Corporation TD Ameritrade, Inc. TD Securities (USA) LLC The Capital Group Companies, Inc. The Depository Trust & Clearing Corporation (DTCC) The Goldman Sachs Group, Inc. The Northern Trust Company The Royal Bank of Scotland plc Thomson Reuters TIAA-CREF Individual & Institutional Services, LLC Tomorrow s Financial Services Transamerica Financial Advisors, Inc. Treliant Risk Advisors U.S. Department of Justice U.S. Department of the Treasury UBS AG UBS Financial Services Inc. UBS Investment Bank UBS Securities LLC UBS Wealth Management UniCredit Capital Markets LLC US Securities & Exchange Commission (SEC) Vanguard Brokerage Services Visa, Inc. W. H. Reaves & Co., Inc. Waddell & Reed Inc. Wells Fargo Advisors, LLC Wells Fargo Bank William Blair & Company L.L.C. WilmerHale Wunderlich Securities, Inc. Safe Banking Systems, LLC TIAA-CREF 9
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