SPA-2016 Delegate Registration Form

Transcription

1 SPA-2016 Delegate Registration Form March 15, 2016 TUESDAY, MARCHTuesday, 15, 2016 / NEW YORK ATHLETIC CLUB SPA-2016 The 12th Annual Spring Conference The Structured Investments Industry s Benchmark Event Tuesday, March 15, 2016 New York Athletic Club Register today at For Sponsorships / Team Discounts: structured.products.events@gmail.com A Pomegranate Events conference SPA You know it as the industry s longest-running, best-attended event. This highly cost-effective, premier single-day conference on all-things-structured is set for Tuesday, March 15, 2016 at the New York Athletic Club. Registration is now open for SPA Join 250+ of your colleagues and clients from over 100 firms to discuss the industry s latest developments from a stellar group of speakers. This year s event features a TED-style, one-on-one interview format and a cost-effective admission program for first-movers. Register today to lock-in the optimal discounted rate. Feb 15 Mar 1 After Mar 1 ISSUER $695 $795 $995 OTHERS $595 $695 $750 BUYSIDE $295 $395 $395 Qualified buyside personnel and professionals between opportunities are eligible for complimentary prices Contact Sholeh Janati at Structured.Products.Events@gmail.com for details. Business gets done at SPA Conferences.

2 SPA Photo Gallery

3 Draft Agenda Opening Remarks The Top Ten Developments in Structured Notes 2015 Best Trades of the Year 2015 Around the World with Joe Burris. Panel 1: The Distribution Landscape Where the Growth Is, Where It Will Be In Losing 3 Wealth Firms, Did the Industry Take a Step Backward in 2015? Why Some Firms Won t Offer Structured Investments Too Many Issuers, Not Enough Distributors? Panel 2: Wrapper Agnostic / Convergence Insurance (annuities) Funds (ETFs / mutual funds) UITs Bonds and Market-Linked CDs: What s Next? Panel 3: Distribution -- Asset Classes by the Numbers Rates: the Fed Dilemma and Its Impact on RLNs Equities: What Goes Up Must Keep Going Up? Funds/FX/Credit: Opportunities Panel 4: Legal / Regulatory / Compliance TLAC FINRA focus for 2016 Tax Issues Me and Mr. Volcker: The Ripple Effect on Structured Notes. Regulatory Oversight Panel 5: Wish List for Distributors Education Advertising / Marketing LUNCH TUESDAY, MARCH 15, 2016 / NEW YORK ATHLETIC CLUB Compliance guidance Investor Education: RBS Wealth s Example Panel 6: Various Distribution Channels Where Do We Stand? Insurance Wholesalers RIAs RIAs: Living Up to the Promise? Banks Wirehouse Report: Hot wires and why. Wirehouses Wholesaling: How s the Paradigm Shift Coming Along? Pension Plans Institutions: Are Institutions Finally Buying Notes? Why?/Why Not? Panel 7: Indexing: The State of Play Baskets: A Proposed New Framework a la Morgan Stanley. Research Driven: Latest Developments in High Profile Opportunity. Panel 8: The Structured Products Community: Leveraging the Strengths of Issuers / Distributors / Vendors History of Structured Investments Websites: Dos and Don ts, Cans and Can Nots. Unsung Heroes: Back Office Risk, Valuations. The New Generation: The Up-and-Comers. The view from Corporate Treasury: Structured Products Panel 9: The Business: A 360 View Your Career Path Longevity, Job Security and Salary Expectations. P&L: The Be-All and End-All Performance Metric? Closing Remarks Crystal Ball The Final Word on the Business 2015 and Beyond. Structured Asteroids what risks to the business? Our Business At Risk: What Asteroids Are Headed Our Way?

4 Registration Form PLEASE PRINT AND SEND BY FAX: OR CREDIT CARD VISA/MC/AMEX NUMBER: EXPIRATION DATE: CVV: Your Name: Title: Address 1: Address 2: City/State/Zip: Tel: Signature: Date: Please scan and this completed form to via fax to: or go to SPA-2016.info to register online. CONTACT US FOR Team Discounts Sponsorship Info Complementary Badge Other:

5 STRUCTURED PRODUCTS ASSOCIATION PROFESSIONAL CERTIFICATION COURSE OUTLINE STRUCTURED PRODUCTS 101: STRUCTURING, PRICING, MARKETING, REGULATORY Monday, March 14, 2016 Morrison & Fo erster - New York City It s back by popular demand... SPA s half-day training and certification program. STRUCTURED PRODUCTS 101! COURSE OVERVIEW As the STRUCTURED INVESTMENTS industry continues to grow, regulatory scrutiny of professional sales practices and adequate compliance procedures has increased significantly. Are your front office, compliance and legal personnel fully conversant in the vernacular, nomenclature and discipline of Structured Investments? The SPA is offering a special half-day training and certification program in New York that s intended to familiarize you and your colleagues with the nuts and bolts of this rapidly growing investment vehicle, from structuring, marketing, compliance. COST Single attendee...$775 Two attendees (each)...$675 Three or more attendees (each)... $595 DISCOUNT OPPORTUNITIES 10% off for those signing up before March 1 10% off for attendees of SPA-2016 COURSE OBJECTIVES Upon completion of this certification course, the participant will understand: A brief history of structured investments; The various structures and payoff investor profiles; Legal-regulatory and compliance framework; Taxation of structured investments; Risk and performance considerations; FINRA suitability/selling standards; The lifecycle of a structured investment filing, launch, pricing, hedging, distributing, making markets; The case for Structured investments as an innovative approach to investing in the capital markets; and Real world examples of recent structures reverse engineered and broken down into its component parts. WHO SHOULD ATTEND This course is appropriate for anyone who desires to obtain a strong working knowledge of structured investments how they are created, the conditions that affect performance, and the regulatory environment that affects the sales and distribution of these investments. Previous attendees of the SPA certification program include: Junior professionals on a structured investments desk Product managers at distribution firms Wealth managers and RIAs Legal, compliance, regulatory and tax professionals Middle office personnel responsible for booking, trading, clearing structured notes Finance professionals interested in career opportunities in structured investments PROGRAM LEVEL Program Level: Beginner to intermediate Prerequisites: None Advanced Preparation: None Delivery Method: Group Live with interactive models and visual diagrams. LOCATION The New York offices of Morrison & Foerster 250 W 55th Street, New York, NY Register now:

6 STRUCTURED PRODUCTS ASSOCIATION PROFESSIONAL CERTIFICATION COURSE OUTLINE STRUCTURED PRODUCTS 101: STRUCTURING, PRICING, MARKETING, REGULATORY Monday, March 14, 2016 Morrison & Fo erster - New York City AGENDA 11:45 LUNCH 12:30 Welcome/Intro 12:45 Introduction to Structured Products 1:30 Overview of Legal-Tax-Regulatory Environment 2:15 Pricing Structured Products and the Major Product Types 3:00 BREAK 3:15 DEAL-FLOW: How Products Are Brought to Market 4:00 Structured Products Closing Remarks/Q&A 5:00 CLOSING RECEPTION 5:45 SPA TRAINING CONCLUDES INSTRUCTOR: TIM MORTIMER Tim Mortimer is Managing Director of Future Value Consultants (FVC), a research, product design and analytics consultancy specialising in structuring products. He has worked for 20 years in derivatives and structured products, previously as a Quantitative analyst at Paribas, UBS and Zurich Capital Markets before founding FVC in He is at the forefront of his company s development of systems and services to provide transparency and information within the structured products market. This includes the first product by product research service analysis for advisers and brokers, a stress testing system to satisfy regulatory requirements worldwide and comprehensive independent structured product valuation services. His experience includes model development and product structuring as well as the business, mathematical and technical aspects of creating innovative services in the structured product market. He speaks regularly at conferences and has provided training to clients on all areas of structured products on many occasions. CONTACT US Register online: structured.products.events@gmail.com Call: CUSTOMIZED TRAINING SPA also offers customized training and elearning solutions to help you maximize your training investment. Our hands-on approach benefits companies of all sizes and requirements from those with just a few local employees to those with staff dispersed around the globe. Contact us to learn more and to work with one of our training consultants to design the right program for your organization. FEES & CANCELLATIONS The fee listed is per participant and includes refreshments, lunches and seminar materials. Seminar fees do not include tax, transportation or hotel accommodations. Payment must be received in full prior to the start of the seminar. Registrations may be cancelled in writing via letter or at least 30 days before the first date of the training for a full refund. Cancellations received less than 30 days in advance are eligible for substitution with another seminar, but fees will not be refunded. We reserve the right to cancel or reschedule seminars at any time. ABOUT THE SPA The U.S. Structured Products Association (SPA) is the trade association for the American structured investments industry. Comprised of nearly 17,500 professionals, the SPA advocates for the structured products investment class among regulators, media, advisors and investors. The SPA promotes investor education as a core mission of the industry. Register now: