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structuredproductsamericas.com 1
May 19-20, 2016
The Ritz Carlton
Coconut Grove
Miami, Florida
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SPAmericas:
Eleven years
of innovation,
regulation
and education
Structured ProductsAmericas is returning to Miami for the 11th year.
The conference will provide an in-depth and unique insight into the evolving
world of structured products and covers the latest developments in regulation,
marketing strategies, distribution, product innovation and best practices.
We welcome all investment professionals who take a keen interest in the
structured products industry - advisors, issuers, wealth managers, regulators,
broker-dealers, portfolio managers, private bankers, distributors, asset
managers, hedge funds, tech providers, law firms.
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USINGTHIS BROCHURE
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E: jennifer.clark@incisivemedia.com
W: structuredproductsamericas.com
T: +1 (646) 736 1851
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HIGHLIGHTS
HIGHLIGHTS ANCHOR
Dear colleagues,
It gives me great pleasure to invite you to the 11th annual Structured Products Americas
conference at Miami’s renowned Ritz Carlton Coconut Grove, on May 19–20th.
It looks set to be a busy 2016 for issuers, with the continued expansion of new product types and
investment opportunities complementing the growing sophistication of structured products
investors across the Americas. As ever, our conference agenda will be packed with leading figures
from the buy side and the sell side, as well as senior regulators and service providers sharing their
thoughts and priorities for the year – all offering unrivalled networking opportunities.
Despite the market’s growth over the past several years, the evolving regulatory agenda continues
to sap valuable time from front-office executives. As 2015 drew to a close, Structured Products’
Washington conference heard from senior US Securities and Exchange Commission executives
on their regulatory priorities for the coming year, including thorny areas such as product switching
and proprietary indexing.
With the Financial Industry Regulatory Authority also identifying a long list of topics for the market
in its annual priorities letter for 2016, regulatory scrutiny promises to be a hot topic this year.
Representatives from both the SEC and Finra will be in attendance at this year’s Miami conference,
along with local state securities regulators. Conference attendees will have the exclusive
opportunity to quiz the regulators at our exclusive regulatory roundtable event.
At a macro level meanwhile, the Federal Reserve’s forthcoming implementation of theTotal
Loss-Absorbing Capacity framework continues to pose fundamental questions for structured note
issuers: which instruments will count towards bail-inable debt buffers; what impact funding
priorities from dealer’s treasury arms will have on new issuance appetite; and whether this might
tick through into lower issuance volumes.Whatever your question, our specialist panel of issuers
has got it covered.
Attendees will also hear from industry experts about exciting evolutions in fast-growing product
categories, such as variable annuities and smart beta, as well as learning about evolving methods
in product marketing and sales.
If these are subjects that matter to your business, then Structured ProductsAmericas is the perfect
forum in which to discuss them, while networking with your fellow senior industry participants. It’s
the only dedicated conference for the Americas marketplace backed by the deep and sophisticated
insight Structured Products and the other Risk.net brands offer.
We look forward to seeing you there.
Yours faithfully,
Tom Osborn
Editor, Structured Products
WHO SHOULD ATTEND?
Registered investment advisors
Family offices
Product distributors
Private banks
Retail banks
Wealth managers
Asset managers
Investment brokers
Portfolio managers
Corporates
Investment banks
Law firms
Index providers
Institutional investors
Regulators
Broker-dealers
2
2 DAY 2 STREAM AGENDA
RESEARCHED
PROGRAM
EXHIBITION
NETWORKING
11x CPE POINTS
Benefits of attending
For sponsorship
opportunities, please
contact:
Bruce Morris
T: +1 646 755 7288
E: Bruce.Morris@incisivemedia.com
HOME SPEAKERS PROGRAM SPONSORS BOOKING INFORMATION
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SPEAKERS ANCHOR
Reid Muoio,
Deputy Chief, Complex Financial Instruments Unit,
Division of Enforcement, U.S. Securities and Exchange
Commission
RichardVagnoni,
Senior Economist, FINRA
JohnTessar,
Managing Director - Structured Products, JVB Financial
Tom Balcom,
Founder, 1650 Wealth Management
Barry Gurland,
Principal, DB Family Office Services
Dayna Kleinman,
Senior Vice President, Robert W. Baird Co.
LarryWilson,
Managing Director, JP Morgan
Steven Foldes,
Vice Chairman, Evensky Katz/Foldes Financial Wealth
Management
Our expert speaker panel is comprised of the industry’s most respected, innovative and
knowledgeable participants.
Mark Fernandez,
Senior Regional Counsel,
FINRA
Joseph Borg,
Director, Alabama Securities Commission
Eric Greschner,
Managing Partner, Regatta Research Money
Management
Kevin Mahn,
President Chief Investment Officer, Hennion Walsh
Asset Management
Keith Lanton,
President, Lantern Investments
Dean Zayed,
CEO, Brookstone Capital Management
Tim Mortimer,
Managing Director, Future Value Consultants
Tim Stoddart,
Managing Member and CCO, CIM Advisers
Speakers
“Best one yet! A great blend of issuance,
regulation and distribution” Managing Partner, CIM International
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08:00 Registration and refreshments
08:50 CHAIRMAN’S OPENINGADDRESS
09:00 SEC EXECUTIVEADDRESS:
Enforcement priorities in the structured products space generally
Disclosure issues/concerns relating to index products
Potential trading practice abuses involving structured products
Use of Big Data analytical techniques in structure products space
Reid Muoio, Deputy Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
09:40 REGULATORY ROUNDTABLE:Addressing regulatory concerns affecting structured products market
Dealing with regulators vs. working with regulators
Finra – exam priority letter, training and supervisory issues
Complex products - suitability considerations and disclosure issues
Implications of regulatory enforcement
Mark Fernandez, Senior Regional Counsel, FINRA
Joseph Borg, Director, Alabama Securities Commission
Daniel R. Gregus, Associate Regional Director, Broker-Dealer Examinations, Chicago Regional Office, U.S. Securities and Exchange Commission
10:30 ISSUERS PANEL:
The impact ofTLAC on issuance appetite. How will it change the product mix?
What doesTLAC mean for future supply?
Products overview - What producers make best in timely environment?Trends in product development
Where does investor appetite lie?
How complex do the structured products need to be?
What is the portfolio size of banks’ structured notes?
How much capacity do issuers have?
Technology innovations and trends towards automation among issuers
LarryWilson, Managing Director, JP Morgan
11:00 Morning break
11:30 PANEL: Marketing and promoting structured products – identifying your target market and understanding your product
How do firms market structured products?
Rules to comply with
FINRA guidance on structured products
How to describe your product to different audiences?
How do you approach the communication with the clients?
Addressing investors’ fears and understanding the investment cycle
Dayna Kleinman, SeniorVice President, Senior Product Manager - Alternative Investments, RobertW. Baird Co.
Tim Stoddart, Managing Member and CCO, CIM Advisers
Eric Greschner, Managing Partner, Regatta Research Money Management
12:10 PANEL: Overview of new structures and products in the current investment environment
What payoffs and underlyings might best optimize the future investment environment?
Taking advantage of macro environment – what chances are there for hybrid products? Does competition make them more popular?
What new products will we see coming from:
–– Sideways or declining market environment
–– Rising rate environment
–– Hedging currency movements
–– Credit risk/counterparties
Kevin D. Mahn, President Chief Investment Officer, Hennion Walsh Asset Management
Tom Balcom, Founder, 1650Wealth Management
Keith Lanton, President, Lantern Investments
12:50 Lunch and an opportunity to visit the exhibition
STREAM ONE STREAMTWO
1:50 CHAIRMAN’S OPENING REMARKS CHAIRMAN’S OPENING REMARKS
2:00 PANEL:The pace of evolution in the ETF space
Latest trends in ETFs and ETPs
The growth of strategy indices ETFs, smart beta ETFs
Active investing with indices vs. traditional active management
The role of exchanges
ETF in your asset allocation
Does ETF market gives us systemic risk concerns?
New disclosure requirements on ETF providers and their authorized participants (APs)
The role of APs in creation and redemption process in distressed markets
Who are the APs for different ETFs?
Speaker to be confirmed, please visit structuredproductsamericas.com
for further updates
Variable annuities - Options/derivatives (cliquets/ratchets)
embedded in certain types of variable annuities
Credit risk of annuity versus other wrappers
Comparing SPs in an annuity versus other wrapper types
Sales practices behind different types of variable annuities
Disclosing the true costs of the product
Underlyings used in variable annuities
Restrictions around trading and liquidation
for further updates
PROGRAMME ANCHOR
Program – Day 1
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2:30 Smart Beta strategies and low volatility indexes – assessing the
value of a smart beta play
Delivering Smart Beta
Comparing performance with industry benchmarks and other market indices
Are low volatility strategies overcrowded and are dangerous to invest in?
Correlation between low volatility stocks
for further updates
Know your distribution
How do you put tests in place to ensure your distributors obeying the rules?
Institutional and retail opportunities
Distribution models-what is working both from platform and distributor perspective
How do distributors assess investor demand and issuer capability?
How does regulatory change (e.g. disclosure of costs risk) affect distributors?
Joseph Castelluccio, Executive Managing Director: Fixed Income
Structured Notes, Capital Guardian
for further updates
3:00 Proprietary indexes – Is it the end of the boom period?
What are the pros and cons?
Concerns around transparency issues and costs
Tightening up of governance procedures
Are PI built with the benefits of hindsight?
Proper product disclosures
Is it safer to retreat from exotic structures or outsource the liability to third party
administrators?
for further updates
PANEL: Pricing issues and valuation
How do you achieve fair pricing and valuation from a modeling perspective?
Deciding on the consistent valuation framework across asset classes and product types
The value of transparency
Valuation challenges of new products
Applying global/ best practice standards
Tim Mortimer, Managing Director, FutureValue Consultants
Moti Konak, Head of Derivatives and Convertibles Pricing,Thomson
Reuters
Carlos Felipe von Habsburg, President, Habsburgo Asociados
3:30 Afternoon break
4:00 PANEL: Incorporating notes into an RIA’s practice and managing structured products portfolio
Implementing investment views through structured products
More creative uses and combining SPs with portfolio strategy
Incorporating into asset allocation, Investment Policy Statements, etc.
Managing client expectations (secondary market behavior, performance reporting, proactive complaint mitigation)
JohnTessar, Managing Director - Structured Products, JVB Financial Group
Steven Foldes, Vice Chairman, Evensky Katz/Foldes FinancialWealth Management
Dean Zayed, CEO, Brookstone Capital Management
4:40 CLOSING ROUNDTABLE: Key trends for 2016 and beyond
Implications of rising rates, rush out of fixed income
Creating liquidity in the marketplace
What to expect from regulators?
Slowing world growth and emerging market slowdown
Security concerns
Speakers to be confirmed, please visit structuredproductsamericas.com for further updates
5:20 Chairman’s closing remarks followed by a cocktail reception
Program – Day 1(continued)
“My “one stop shop” for getting up-to-date with the latest
trends, ideas, issues, and players in structured products”
SVP, Fiduciary Investment Risk Management, Sabadell United Bank
For speaker opportunities,
please contact:
Nadia Rozario
T: +44 (0) 207 316 9613
E: nadia.rozario@incisivemedia.com
For sponsorship opportunities,
please contact:
Bruce Morris
T: +1 646 755 7288
E: Bruce.Morris@incisivemedia.com
www.
PROGRAM

REGISTER NOW:
T: +1 (646) 736 1851
08:30 Networking breakfast
09:00 CHAIRMAN’S OPENINGADDRESS
09:10 OPENING KEYNOTE: Evolution of the US structured products market in the current financial and macro environment
– an economist’s view
RichardVagnoni, Senior Economist, FINRA
09:50 FOCUS ON LATAM MARKET:
Product development and investor opportunities
Dealing with slowing regional growth
Investor concerns
Financial system issues
Carlos Felipe von Habsburg, President, Habsburgo Asociados
10:30 Family office case study:
Marketing SPs to family offices
Tax benefits of using structured products
What is best for large families to invest in
How can SPs solve the unique challenges of family offices
Barry Gurland, Principal, DB Family Office Services
11:00 Morning break
11:20 Product surgery - examining individual deals in the US market in 2016
What are the products trying to achieve and what do they offer?
Risk, return and other issues examined
Hidden features for the unwary
Tim Mortimer, Managing Director, FutureValue Consultants
11:50 Financial technology, innovations and investments
How will technology (including robo advisors) affect the structured products market? Institutional business?
Ensuring online data safety
Role of technology platforms in structured notes distribution
12:30 Chairman’s closing remarks followed by refreshments
Program – Day 2
“Good symposium for networking and state-of-the-art
product developments” Risk Manager,York Asset Management
Structured Products magazine is delighted to announce the eleventh annual
Structured ProductsAmericasAwards, recognising excellence and innovation
in the manufacture and distribution of derivatives-based investment products
acrossAmericas.
The separately bookable awards dinner will take place on May 19.
For further information regarding the awards, please contact Tom Osborn, Editor,
Structured Products: +44 (0)20 7484 9802
To confirm your place at the dinner, see booking page for further details
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T: +1 (646) 736 1851
Credit Suisse AG is one of the world’s leading financial services providers and is part of the Credit Suisse group of
companies. As an integrated bank, Credit Suisse is able to offer clients its expertise in the areas of private banking,
investment banking and asset management from a single source. Credit Suisse provides specialist advisory
services, comprehensive solutions and innovative products to companies, institutional clients and high net worth
private clients worldwide, and also to retail clients in Switzerland. Credit Suisse is headquartered in Zurich and
operates in over 50 countries worldwide.The group employs approximately 45,500 people.The registered shares
(CSGN) of Credit Suisse’s parent company, Credit Suisse Group AG, are listed in Switzerland and, in the form of
American Depositary Shares (CS), in NewYork.
credit-suisse.com
SPONSORS ANCHOR
Sponsors
A World of Pricing Reference Data atYour Fingertips
Thomson Reuters is the world’s leading source of intelligent information for businesses and professionals.Through
our award winning Pricing and Reference Data services we provide clients with market leading end of intra-day
content including; Corporate Actions, CDS, CDO, CLO, ABS, CMBS, Structured Products, Fixed Income, Risk Data,
Analytics other referential content sets. Our data is both proprietary and sourced from across the world on a broad
range of markets, asset classes, sectors and entity types.This valued content helps our customers to better support
their risk mitigation, portfolio management, fund administration and compliance workflows and systems. All this
content can be delivered to you viaThomson Reuters DataScope Select; a robust scalable delivery platform used
by over 2800 firms worldwide on a daily basis.
prdcommunity.com
J.P. Morgan’s Corporate Investment Bank is a global leader across banking, markets and investor services.The
world’s most important corporations, governments and institutions entrust us with their business in more than 100
countries. With $20.5 trillion of assets under custody and $433 billion in deposits, the Corporate Investment Bank
provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.
The Structured Investments division within J.P. Morgan’s Corporate and Investment Bank is a leading provider
of structured products both within the U.S. and across the Americas. We offering a full range of customized and
innovative investment solutions and services across all asset classes and underlyings to both private clients and
institutions.
jpmorgan.com
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3300 SouthwestTwenty-seventh
Avenue, Coconut Grove, Florida
33133 U.S.A.
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