OPS RD ANNUAL OPERATIONS CONFERENCE + EXHIBITION

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1 May 2 5, 2016 FONTAINEBLEAU MIAMI BEACH, FL SPONSORSHIP & EXHIBIT OPPORTUNITIES SPONSORSHIP EXHIBIT & ADVERTISEMENT 2015 ATTENDEES LIST

2 May 2 5, 2016 Fontainebleau Miami Beach, FL SIFMA OPS 2016 Sponsorship Opportunities The 43 rd annual SIFMA Operations Conference + Exhibition (OPS 2016) will welcome over 800 participants at the new venue, Fontainebleau Miami Beach, on May 2 5, This in-depth conference, delivered over three days, will address topical industry challenges that will impact operations and technology roles across financial services in the coming year. Conference topics include: Shortening the settlement cycle in the U.S. to T+2 Expanding operational risk management Anticipated initiatives in market structure Evolving regulatory reporting requirements Emerging cyber threats and the framework to mitigate risks And more Considered the industry s must-attend operations event, the OPS 2016 program is designed to help professionals navigate the challenges they face and return to their firm with the information and tools they need to optimize their firm s approach to implementing solutions, improving business performance, meeting regulatory requirements, and reducing operational risk. SIFMA is pleased to offer sponsorship opportunities, placing your firm in front of senior operations and technology decision makers and professionals. Exhibit Space Investment: 2015 Annual Operations Conference & Exhibition Attendees More than 850 participants attended OPS 2015 which was comprised of C-Suite (13%), Senior Managing Directors, Sr. Vice President & General Counsel (26%), Managing Director & Vice President (61%). Managing Director & Vice President 61% 13% C-Suite 26% Senior Managing Directors, Sr. Vice President & General Counsel $5,600 per 8 x 10 space (80 sq. feet) SIFMA Member Rate $6,600 per 8 x 10 space (80 sq. feet) Non-Member Rate Each 8 x10 space includes One (1) Complimentary Conference Registration. 1

3 May 2 5, 2016 Fontainebleau Miami Beach, FL SIFMA OPS 2016 Conference Sponsorship Levels and Benefits: SIFMA OPS 2016 Conference Sponsorship Levels are designed to further enhance your firms presence before, during and post event. Total investments of sponsorship, exhibit, branding and advertising opportunities are acknowledged throughout SIFMA OPS 2016 as such. Tiered Sponsorship Opportunities include: Sponsorship Levels Diamond Titanium Platinum Gold Silver $65,000 $55,000 $45,000 $35,000 $25, Additional Registrations +3 Additional Registrations +3 Additional Registrations +2 Additional Registrations +1 Additional Registrations Sponsorship Levels acknowledged before, during and after SIFMA OPS 2016 with placement of logo on various platforms that include: Event Website Expo Hall Exhibit Guide Event Guide General Session Slide Deck Event App Digital & meterboard signage displayed in public areas that include registration foyer, general session ballroom and exhibit hall during conference & exhibition. Plus, Additional Conference Registrations offered with Tiered Sponsorship Levels. Diamond Sponsors Gold Sponsor Silver Sponsors 2

4 May 2 5, 2016 Fontainebleau Miami Beach, FL SIFMA s OPS 2016 Sponsor & Exhibitor Benefits Package offers maximum value with the following benefits: Pre-Event Benefits: Pre-event marketing exposure listing company name, prominent placement of logo and firm profile on SIFMA OPS 2016 website PDF file of promotional brochure included on SIFMA OPS 2016 website Preliminary mailing lists of all conference participants sent in electronic format, four weeks in advance of SIFMA OPS 2016 Event-Site Benefits: Complimentary Conference Registration(s) Prominent brand recognition during the sponsored function (if applicable) with company logo displayed on dedicated signage. Includes both print and digital formats strategically placed in various outlets that include registration area, and general session slide deck, etc. Recognition at the sponsored function (if applicable) Promotional brochure in pdf format included on Event Mobile App Dedicated listing placed in the OPS 2016 Event Guide, which includes company logo, sales contact and company profile Company listing and firm profile placed on OPS 2016 Website as well as on the Event Mobile App Post-Event Benefits: Company listing and firm description on OPS 2016 website Complete mailing lists of all conference attendees in excel format sent at the conclusion of the event Sponsor recognition on SIFMA Thank You for Attending and Survey Sponsor recognition on post-event highlights To view the 2015 Post Events Highlights Page, please click on the link: 3

5 May 2 5, 2016 Fontainebleau Miami Beach, FL Partner Workshops OPS 2016 will once again offer contracted sponsors an opportunity to participate in the program agenda during this year s Conference. Partner Workshops run concurrently with the Conference Breakout Sessions, allowing Partners to meet face to face with new and existing clients. There are only eight (8) opportunities available! Workshops are offered on a first-come/first-serve basis. All session titles and descriptions are subject to a pre-approval process by SIFMA. Monday, May 2 Tuesday, May 3 Wednesday, May 4 Workshop Sessions - Round 1 3 Sold! 1 Available *Monday sessions will not compete with programming. Workshop Sessions - Round 2 2 Sold! ** All times to be announced as the program develops ** SIFMA s OPS 2016 Partner Workshop package offers maximum value: Workshop Sessions - Round 1 2 Sold! Workshop Sessions - Round 1 2 Sold! Meeting Room A meeting room is provided LCD Video Projector & Screen Podium with Microphone Panel Table Microphones Presentation Laptop Wireless Presenter Tool **Partners are responsible for Internet Access Fees.** Workshop Fee $7,500 All workshop participants must be contracted as an Exhibitor and/or Sponsor of the Conference. Each workshop participant will have the opportunity to speak exclusively to a group of up to 60 registrants. Your session may be conducted in any fashion that would facilitate your presentations. A room will be provided to hold up to 60 people. Your firm will be highlighted on the program agenda, placed on SIFMA OPS 2016 website, included in the printed Event Guide distributed to all registered attendees during the event 4

6 Available Sponsorship Opportunities Catered Functions Sponsorship Availability Investment Includes Welcome Hospitality Refreshments As delegates continue to check-in throughout the day, refreshments and a light fare will be available, as industry colleagues, clients and potential prospects check in for the event and engage in conversation. Available $10,500 $12,500 One (1) Complimentary Conference Registration Welcome Reception Expo Hall Continental Breakfast A great way to start the day, with a networking opportunity and a variety of healthy breakfast options, all set in the Expo Area, allowing for one-on-one conversations with industry colleagues, clients and potential prospects. Tuesday, May 3 Available Wednesday, May 4 Available $14,000 $16,000 Two (2) Complimentary Conference Registrations 5

7 Available Sponsorship Opportunities Catered Functions Sponsorship Availability Investment Includes Morning Tuesday, May 3 Sold! Expo Hall Morning Networking Refreshments An opportunity to come together with industry prospects and clients to discuss the morning sessions with one-on-one conversations with industry colleagues, clients and prospects while grabbing a quick snack and /or beverage. Wednesday, May 4 Available Afternoon Tuesday, May 3 Available Wednesday, May 4 Available $10,500 $12,500 One (1) Complimentary Conference Registration Expo Hall Networking Lunch Networking Buffet Lunch with seating set in the center of the Expo Hall setting a platform for client discussions and networking opportunities. Tuesday, May 3 Available Wednesday, May 4 Available $15,000 $17,000 Two (2) Complimentary Conference Registrations Expo Hall Evening Reception This Evening Reception is set inside the Exhibit Hall, with open bar and buffet tables set throughout the hall, offering attendees the opportunity to come together and catch up on the day s activities with friends, colleagues, and prospects. This Reception has traditionally been the pre-dinner meeting spot for all attendees who gather for cocktails and good conversation prior to heading out for dinner. Tuesday, May 3 Available $16,500 $18,500 Two (2) Complimentary Conference Registrations Closing Trade After Hours Reception Wednesday, May 4 6

8 Available Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes Closing General Session Buffet Breakfast General Session Buffet Breakfast offers a variety of healthy hot and cold options, served during General Session, offering attendees an opportunity to come together, listen to the closing session speakers, and recap the conference sessions and events. Thursday, May 5 Available $10,500 $12,500 One (1) Complimentary Conference Registration Mobile App NEW! Cyber Café Tech Pods Semi-Private Pods equipped with satellite workstations and WiFi access offering conference delegates an opportunity to catch up on an as needed basis, without having to leave the convention center. Sponsorship offers prominent brand recognition with sponsoring firms logo displayed on computer screens and on signage. Available $12,500 $14,500 One (1) Complimentary Conference Registration 7

9 Available Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes Event Program Guide/Expo Guide Printed Event Program Guide offers sponsoring firm a full-page ad strategically placed on the outside back cover. The Event Program Guide includes the full program agenda, with speaker bios, a list of conference registrants, and other event related information. The Event Program Guide is distributed to all participants at registration. Available $12,500 $14,500 One (1) Complimentary Conference Registration Expo Hall Golf Simulator Expo Hall Race Car Simulator 8

10 Available Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes General Session A/V Prominent brand recognition on General Session Entrance Unit and throughout the conference. Available $15,000 $17,000 Two (2) Complimentary Conference Registrations Hotel Room Key Cards Badge Lanyard 9

11 Available Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes NEW! Mobile Device Charging Sticks Co-Branded Charging Sticks, produced and provided by sponsoring firm, distributed to all conference attendees during registration, offering a great opportunity for individuals to charge their mobile devices on the go. Available $12,500 $14,500 One (1) Complimentary Conference Registration Pens Branded Pens, produced and provided by sponsoring firm, distributed to all conference attendees during registration for use throughout the four days of the event. A great opportunity to get your brand in the hands of conference participants. Available $10,500 $12,500 One (1) Complimentary Conference Registration Pedometer Challenge NEW! Pocket Program Guide An at-a-glance program guide offers an opportunity to be an exclusive sponsor of this easy to carry and reference guide highlighting all conference activities. Available $12,500 $14,500 One (1) Complimentary Conference Registration 10

12 Available Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes NEW! Professional Headshots RESERVED $12,500 Need to have a photo taken whether it s for LinkedIn, social media, or any other professional opportunity, a professional headshot offers $14,500 participants an opportunity to convey a positive message about themselves to future clients, employers, and event participants. One (1) Complimentary Conference Registration Registration Packet Social Media Wall Tote Bag 11

13 Sponsorship Opportunities OPS2016 Sponsorship Availability Investment Includes USB Flash Drives Branded USB Flash Drives, produced and provided by SIFMA are distributed to all conference attendees during registration. Flash Drives have all program materials uploaded in advance for participants to refer to post event. Available $13,500 $15,500 Two (2) Complimentary Conference Registrations WiFi Access for all OPS 2016 Participants 12

14 Advertising Opportunities Custom Branded Light Boxes OPS2016 SIFMA is offering all Sponsors and Exhibitors the opportunity to participate in our Light Box Showcase. This unique branding opportunity offers increased visibility throughout the event that further enhances your presence and the opportunity to meet your firm s brand up close. Sponsored Light Boxes are strategically placed in prominent locations throughout the Convention Center and will be displayed over the four (4) days of the event. Be seen by your target audience as well as your competitors as they network with their peers during the event. By displaying your brand, your company will have an additional point of presence and drive more attendees to your booth. SIFMA Light Box Package Investment $5,500 - SIFMA Member Rate $6,500 - SIFMA Non-Member Rate Includes Installation, dismantle and utility fees. 5 Sold! More Available To Reserve your Light Box Location, Contact: Diana Serri Vice President, Head of Exhibit and Sponsorship Sales Securities Industry and Financial Markets Association SIFMA

15 May 2 5, 2016 Fontainebleau Miami Beach, FL Exhibit Guide Advertising Attendees refer to the Event Guide during and long after the meeting, and are more than likely to visit an exhibit based on the Ad they see! Ad Specifications All Ads are full-page color. Placement of ads will appear in alphabetical order. Deadline to submit the Ad is Friday, April 1, Exhibit Guide Advertising Package Investment Format Requirements Acceptable File Formats $1,500 - SIFMA Member Rate $1,700 - SIFMA Non-Member Rate Includes: Print and placement of ads. Trim Size: 5.5 x 8.5 Live: 5 x 8 High-resolution PDF (created at print-quality) JPG Illustrator EPS files with text converted to outlines TIF 14

16 2015 Operations May 2 5, 2016 Conference Fontainebleau & Exhibition Miami Beach, Attendee FL Firms A.M. Best Company Inc ABN AMRO Asset Management Limited ABN AMRO Clearing Chicago LLC ABN AMRO Securities (USA) LLC Abu Dhabi Investment Authority Active Operations Management Advent Software, Inc. Advisory Research, Inc. Aegon USA Investment Management, LLC AllianceBernstein L.P. Allianz Global Investors US LLC Amazon Web Services, Inc. Ameriprise Financial Services, Inc. Apex Clearing Corporation Appway Inc. Aquiline Capital Partners LLC Ares Management LLC BAE Systems Banco Santander International Bank of America Merrill Lynch Bank of New York Mellon Bankers Bank Banking Technology Barclays BasisCode Compliance LLC BATS Global Markets Inc BlackRock Bloomberg L.P. Bloomberg PolarLake Bloomberg Tradebook LLC BMO Capital Markets Corp. BMO Harris Bank BNP Paribas BNP Paribas Prime Brokerage, Inc. BNP Paribas RCC Inc BNP Paribas Securities Corp. BNY Mellon Asset Management BNY Mellon Asset Servicing Broadridge Financial Solutions, Inc. Brown Brothers Harriman & Co. Bulltick, LLC California Public Employees Retirement System (CalPERS) Canaccord Genuity Inc. The Canadian Depository for Securities Limited Cantor Fitzgerald & Co. Capco Capital Group International Capital One Financial Corporation CDS Clearing and Depository Services Inc. Cetera Investment Services LLC CFA Institute Charles Schwab & Co., Inc. Chicago Clearing Corporation The Chicago Stock Exchange Inc (CHX) Citibank, N.A. Citigroup Global Markets Inc. Clarient Global LLC Clearstream Banking SA Client Instant Access, LLC CLS Lexi-tech Inc. CME Group ComGraphics, Inc. Computer Resource Company Computershare/INVeSHARE ConvergEx Execution Solutions LLC ConvergEx Group, LLC COR Clearing LLC Cortland Capital Market Services LLC Crane Data LLC Credit Suisse Group AG Credit Suisse Prime Securities Services (USA) LLC Crowell, Weedon & Co., a Division of D.A. Davidson & Co. Cuso Financial Services, LP D.A. Davidson & Co. Daiwa Capital Markets America Inc. DART Executions, LLC Deloitte & Touche LLP 15

17 2015 Operations May 2 5, 2016 Conference Fontainebleau & Exhibition Miami Beach, Attendee FL Firms Delta Data Software Inc The Depository Trust & Clearing Corporation (DTCC) Deutsche Bank AG Deutsche Bank Securities Inc. Doshi Consulting Solutions, Inc DoubleLine Capital LP Doxim The Dreyfus Corporation, a BNY Mellon Company DST DTCC Dun & Bradstreet Duncan-Williams, Inc. DuPont Capital Management Corp E*Trade Clearing LLC eclerx Edward D. Jones & Co., L.P. Envision Financial Systems, Inc. EquiLend LLC Ernst & Young LLP Euroclear Euroclear Bank SA/NV Fannie Mae Federal Deposit Insurance Corporation (FDIC) Federal Home Loan Mortgage Corp (Freddie Mac) Federal Reserve Bank of New York Fenergo Fidelity ActionsXchange Fidelity Institutional Fidelity Investments Fidessa Corporation Fifth Third Securities, Inc. Financial Industry Regulatory Authority Inc (FINRA) Financial Industry Technical Services, Inc. (FITS) Financial Information Inc Financial Recovery Technologies LLC Financial Technologies Forum, LLC Financial Technology Solutions First Clearing, LLC First Southwest Company Fiserv Inc Franklin Templeton Investments FTF News FTN Financial Securities Corp. GBST General Re-New England Asset Management, Inc. Genpact International, Inc. Genpact Limited Globe Tax Services, Inc. Goal Group Limited Goldman Sachs Asset Management, L.P. Goldman Sachs Execution & Clearing, L.P. The Goldman Sachs Group, Inc. Goldman Sachs International Goldman, Sachs & Co. Griffiths McBurney Corp. Guggenheim Life and Annuity Company GW&K Investment Management Harland Clarke Haywood Securities (USA) Inc. Hearsay Social Hootsuite, Inc. HSBC Securities (USA) Inc. Huxley Banking & Financial Services Hygrade Business Group IBM Corp IBM Global Business Services Impact Financial Systems Inc Industrial and Commercial Bank of China Financial Services LLC Informa Investment Solutions, Inc. Ingram Micro Inc. Integreon Inc Interactive Brokers LLC Interactive Data Corporation Invest Northern Ireland Investment Company Institute 16

18 2015 Operations May 2 5, 2016 Conference Fontainebleau & Exhibition Miami Beach, Attendee FL Firms The Investment Funds Institute of Canada Isis Financial Systems J.J.B. Hilliard, W.L. Lyons, LLC J.P. Morgan Asset Management J.P. Morgan Clearing Corp. J.P. Morgan Securities LLC Jackson National Life Insurance Company Janney Montgomery Scott LLC JPMorgan Chase & Co. KCG Americas LLC KCG Holdings Inc Liquidnet, Inc. Lombard Securities Incorporated Longview Asset Management LPL Financial LLC Manulife Financial Corporation Markit Group Limited Markit North America Inc. Matrix Applications, LLC Mawer Investment Management Ltd. Mediant Communications LLC Mergent, Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated MFS Investment Management Mitsubishi UFJ Securities (USA), Inc. Mizuho Securities USA Inc. MML Investors Services, LLC Morgan Stanley & Co. LLC Morgan Stanley Wealth Management Motif Investing, Inc. Mphasis Limited MUFG Union Bank, N.A. Municipal Securities Rulemaking Board (MSRB) National Bank Financial National Bank of Canada National Financial, a Fidelity Investments company National Quality Review New York Stock Exchange (NYSE) NICE Actimize NICE Systems Ltd. NISA Investment Advisors LLC Nomura Research Institute America Inc Nomura Securities International, Inc. The Northern Trust Company Northern Trust Corporation Northwestern Mutual Investment Services, LLC Nuveen Investments, Inc. Office of the Comptroller of the Currency (OCC) Omgeo LLC Ontario Securities Commission Oppenheimer & Co. Inc. OppenheimerFunds Inc Optimity Advisors Options Clearing Corporation (OCC) Oyster Consulting, LLC Parametric Portfolio Associates LLC Pershing LLC, A BNY Mellon Company PIMCO Pine River Capital Management LP Piper Jaffray & Co. PricewaterhouseCoopers LLP PricingDirect Inc. Public Sector Pension Investment Board (PSP Investments) Putnam Investment Management Raymond James & Associates, Inc. Raymond James Financial, Inc. RBC Capital Markets, LLC RBC Wealth Management ReadQ Technologies LLC Reich & Tang Asset Management, LLC Reich & Tang Distributors, Inc. Robert W. Baird & Co. Incorporated Royal Bank of Canada (RBC) RR Donnelley Russell Investments 17

19 2015 Operations May 2 5, 2016 Conference Fontainebleau & Exhibition Miami Beach, Attendee FL Firms S&P Capital IQ Sanford C. Bernstein & Co., LLC Sapiens Americas Corp. Saudi Stock Exchange Company (Tadawul) Scivantage Scotia Capital (USA) Inc. Scottrade, Inc. SeaPort Group Securities, LLC Securities Investor Protection Corporation (SIPC) Shadow Financial Systems, Inc. Silanis Technology Sionic Advisors SIX Financial Information USA Inc. SmartBrief SmartStream Technologies, Inc. South Street Securities LLC Southwest Securities, Inc. Square 1 Asset Management, Inc. St. Louis Regional Chamber Standard & Poor s CUSIP Global Services State Street Corporation Stephens Inc. Stifel, Nicolaus & Co., Inc. Stradley Ronon Stevens & Young, LLP SunGard SunTrust Robinson Humphrey, Inc. Susquehanna International Group LLP SWIFT Syntel, Inc. Talisys Tata Consultancy Services TCW TD Ameritrade Clearing, Inc. TD Ameritrade Holding Corporation TD Ameritrade, Inc. TD Securities (USA) LLC Texas Capital Bank The World Bank Thomson Reuters TIAA-CREF Individual & Institutional Services, LLC Torstone Technology Limited TradeKing Securities LLC Tradeweb LLC Tradition Asiel Securities Inc. Tribune Content Agency TriOptima North America LLC TriState Capital Bank U.S. Bancorp U.S. Bancorp Investments, Inc. U.S. Department of the Treasury UBS AG UBS Wealth Management UMB Bank, n.a. UMB Financial Corporation UnionBanc Investment Services, LLC US Securities & Exchange Commission (SEC) Vanguard Vanguard Brokerage Services The Vanguard Group, Inc. Verus Consulting Group LLC VITEOS Fund Services Waddell & Reed Inc. Wall Street Letter WatersTechnology Wellington Management Company Wells Fargo & Company Wells Fargo Advisors Financial Network, LLC Wells Fargo Bank, National Association Wells Fargo Securities, LLC Wilbanks Partners LLC William Blair & Company L.L.C. Wolters Kluwer Financial Services, Inc. XTRAC Solutions Zions Bank 18

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