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Structured Products Washington Nov 5, 2015

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Structured Products Washington Nov 5, 2015

  1. 1. HOME ANCHOR 1structuredproductswashington.com November 5, 2015 Fairfax hotel,Washington D.C. STRUCTURED PRODUCTS REGULATION IN 2016AND BEYOND Regulatory, legal and compliance issues impacting structured products Lead sponsor Hosted byClick on the links below to jump straight to these sections Use the toggle buttons on each page number to navigate backwards and forwards Use the navigation bar at the top of each page to jump straight to sections USINGTHIS BROCHURE HIGHLIGHTS SPEAKERS PROGRAM SPONSORS BOOK NOW www.
  2. 2. REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 2 PROGRAM HIGHLIGHTS ANCHOR The 3rd annual Structured ProductsWashington D.C. conference returns to the capital on November 5th, with the program showcasing the latest developments in the legal, regulatory and compliance landscape for structured products.We are delighted to welcome a host of key industry regulators who will answer some of your burning questions with regards to recent and upcoming regulatory changes in the structured products and derivatives industry. Structured ProductsWashington D.C. promises to update you on the ever-changing structured products and derivatives regulatory landscape and prepare you for the year ahead.The late afternoon will also feature special workshop sessions, allowing you to tailor your learning experience based on your business needs and provide you with an opportunity to drill down into the key regulatory challenges. WHO SHOULD ATTEND? The comprehensive event brings together regulators and structuring, marketing, legal and compliance personnel, and is designed to be of relevance to issuers and distributors with the following roles: Regulatory and compliance personnel Heads of structured products Compliance officers Marketing/sales/structuring personnel In-house and external legal counsels Consultants Index providers Vendors KEY THEMES FOR 2015: Disclosures, pricing, new products and emerging issues The SEC update on new and exchange-traded products Marketing derivatives and structured products Index governance and maintenance Bank regulatory issues affecting structured notes issuers Enforcement issues relating to structured products Tax developments Global impact of EU financial rules Fiduciary standard and the structured products market Suitability, KYD and other compliance concerns Preparing for a FINRA or OCIE exam compliance basics WHY ATTEND? Network with key regulators and senior structuring, marketing, legal and compliance personnel within banks Receive a thorough update on regulatory initiatives and latest developments in the US structured products market Gain practical advice that you can materialize and implement in your organization Be a part of the global Structured Products community, hosting events inWashington D.C., Miami, London and Hong Kong! HOME SPEAKERS SPONSORS BOOKING INFORMATION www. HIGHLIGHTS
  3. 3. REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 3 PROGRAM Sponsorship opportunities: Elizabeth Huston Business Development Manager T + 1 (646) 736-1854 elizabeth.huston@incisivemedia.com SPEAKERS ANCHOR Structured Products would like to thank the following speakers for their participation and input into the development of the agenda: Speakers Michael Coe, Assistant Director, Division ofTrading and Markets, U.S. SECURITIES AND EXCHANGE COMMISSION Sean Davy, Managing Director, SIFMA Mark Fernandez, Senior Regional Counsel, Department of Enforcement, FINRA Lloyd Harmetz, Partner, MORRISON & FOERSTER LLP Oliver Ireland, Partner, MORRISON & FOERSTER LLP Reid Muoio, Deputy Chief, Structured New Products Unit, Division of Enforcement, U.S. SECURITIES AND EXCHANGE COMMISSION Oggie Caginalp, Director andTax Counsel, CREDIT SUISSE Lisa Cannavino, Director, BANK OF AMERICA Remmelt Reigersman, Partner, MORRISON & FOERSTER LLP Dave Roscum, Manager, Advertising Regulation Department, FINRA Keith Styrcula, Chairman, STRUCTURED PRODUCTS ASSOCIATION DougWelsh, Senior Legal Counsel – Investment Funds and Structured Products Branch, ONTARIO SECURITIES COMMISSION ThomasWulf, Secretary General, European Structured Investment Products Association (EUSIPA) Carla Pehowski, Managing Director, SeniorTax Counsel, ROYAL BANK OF CANADA Maria Rabinovich, Director, Structured Products and Equity Derivatives, SCOTIABANK Everett Seymour, Managing Director, Associate General Counsel, JP MORGAN To register: Adriana Cicic Senior Marketing Executive T: +44 (0) 20 7316 9914 adriana.cicic@incisivemedia.com HOME HIGHLIGHTS SPONSORS BOOKING INFORMATION www. SPEAKERS
  4. 4. REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 4 Program PROGRAM ANCHOR 08:00 Registration and breakfast 08:50 STRUCTURED PRODUCTS welcome address 09:00 OPENING KEYNOTEADDRESS Speaker to be confirmed. Please visit www.structuredproductswashington.com for more information 09:30 PANEL DISCUSSION: Disclosures, pricing, new products and emerging issues • Current disclosure practices and areas of improvement • How the market has reacted to estimated initial value disclosures and revised ETN disclosures • The “layering” approach and need for plain English, simpler disclosures • New exchange-traded products and emerging regulatory concerns Moderator: Lloyd Harmetz, Partner, MORRISON & FOERSTER LLP Lisa Cannavino, Director, BANK OF AMERICA Sean Davy, Managing Director, SIFMA Everett Seymour, Managing Director, Associate General Counsel, JP MORGAN Doug Welsh, Senior Legal Counsel - Investment Funds and Structured Products Branch, ONTARIO SECURITIES COMMISSION 10:10 New and exchange-traded products: The SEC’s request for comment and market developments Michael Coe, Assistant Director, Division ofTrading and Markets, U.S. SECURITIES AND EXCHANGE COMMISSION 10:30 Morning break and networking 11:00 Marketing derivatives and structured products • FINRA advertising reviews of marketing materials for derivatives and structured products • Common issues identified during FINRA reviews • Changes to FINRA advertising rule • Social media Dave Roscum, Manager, Advertising Regulation Department, FINRA 11:20 Global dimension of EU financial rules – illustrated by the EU benchmark regulation Thomas Wulf, Secretary General, European Structured Investment Products Association (EUSIPA) 11:40 PANEL DISCUSSION: Bank regulatory issues affecting structured notes issuers • Bail-in of structured products issued by European financial institutions • Liquidity measures, such as LCR and NSFR, and their effect on structured products issuers • TLAC and structured products Moderator: Oliver Ireland, Partner, MORRISON & FOERSTER LLP Further speakers to be confirmed. Please visit www.structuredproductswashington.com for more information 12:20 Lunch and networking HOME HIGHLIGHTS SPEAKERS SPONSORS BOOKING INFORMATION www. PROGRAM
  5. 5. REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 5 Program 1:20 PANEL DISCUSSION: Enforcement issues relating to structured products • Misselling of complex products and suitability considerations • Inadequate disclosures relating to complex products • Conflicts of interest • Sales to “at risk” groups Moderator: Keith Styrcula, Chairman, STRUCTURED PRODUCTS ASSOCIATION Mark Fernandez, Senior Regional Counsel, Department of Enforcement, FINRA Reid Muoio, Deputy Chief, Structured New Products Unit, Division of Enforcement, U.S. SECURITIES AND EXCHANGE COMMISSION Further speakers to be confirmed. Please visit www.structuredproductswashington.com for more informationt 2:00 PANEL DISCUSSION: Tax developments in the structured products market Moderator: Remmelt Reigersman, Partner, MORRISON & FOERSTER LLP Oggie Caginalp, Director andTax Counsel, CREDIT SUISSE Carla Pehowski, Managing Director, SeniorTax Counsel, ROYAL BANK OF CANADA Further speakers to be confirmed. Please visit www.structuredproductswashington.com for more information 2:40 Fiduciary standard and the structured products market • Regulators discussions for the more appropriate distribution channels for the sale of structured notes • Fiduciary duties vs statutory duties • Broker Dealer approach vs RIA approach to sale of structured products to customers Maria Rabinovich, Director, Structured Products and Equity Derivatives, SCOTIABANK 3:00 Afternoon break and networking STREAM ONE STREAM TWO 3.30 Derivatives and structured products More information about the session is coming soon. Please visit www.structuredproductswashington. com for more information Suitability, KYD and other compliance issues and preparing for a FINRA or OCIE exam compliance basics More information about the session is coming soon. Please visit www.structuredproductswashington.com for more information 5:00 End of the conference. Drinks reception Sponsorship opportunities: Elizabeth Huston Business Development Manager T + 1 (646) 736-1854 elizabeth.huston@incisivemedia.com To register: Adriana Cicic Senior Marketing Executive T: +44 (0) 20 7316 9914 adriana.cicic@incisivemedia.com HOME HIGHLIGHTS SPEAKERS SPONSORS BOOKING INFORMATION www. PROGRAM
  6. 6. REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 6 PROGRAM SPONSORS ANCHOR Sponsor Morrison & Foerster LLP is a market leader in structured products, advising issuers and financial intermediaries on a range of issuance programs; offering documentation; index creation; securities; banking, compliance and regulatory matters; and product development. Our work receives broad recognition: named 2015 Americas Law Firm of theYear for Derivatives by GlobalCapital; named Best Law Firm in the Americas in 2013, 2014 and 2015 by StructuredRetailProducts.com; and named structured Products Law Firm of theYear for six of the last ten years by Structured Products magazine. www.mofo.com Structured Products - News & analysis on cutting-edge financial products Structured Products conferences has established itself as the leading event specialist within this market and over the last 8 years has held conferences in over 20 locations worldwide. Our programs provide information on the changing market for capital-protected investment products, structured notes, exchange-traded funds (ETFs), and index products. www.risk.net/category/structured-products Lead sponsor Hosted by Sponsorship opportunities: Elizabeth Huston Business Development Manager T + 1 (646) 736-1854 elizabeth.huston@incisivemedia.com HOME HIGHLIGHTS SPEAKERS BOOKING INFORMATION www. SPONSORS
  7. 7. PROGRAM REGISTER NOW: cs@incisivemedia.com structuredproductswashington.com T: +1 646 736 1846 BOOKING ANCHOR 7 Booking Information REGISTRATION DETAILS PAYMENT DETAILS PRICE Buy-side delegates & regulators* Complimentary Sell-side delegates** $1,299 * Buy-side includes: regulators, family offices, institutional investors, private banks, retail banks, distributors, insurance companies, asset managers, investment funds and pension funds. ** Sell-side institutions include: structuring asset managers, consultants, technology vendors and law firms. Please complete your details below in BLOCK CAPITALS title first name last name job title/position department company address city post/zip code country telephone fax email I enclose a cheque payable to Incisive Financial Publishing Ltd. Please debit my amex visa maestro mastercard issue number: valid from date: expiry date card no security no. account address if different from above signature date Incisive Financial Publishing Ltd. VAT No: GB 756978165 For companies in EU member states only: Please write your VAT/TVA/BTW/IVA/ MCMS/MWST/FPA number here Warning: Structured Products is a registered trademark, and the titles, contents and style of this brochure are the copyright of Incisive Media. We will act on any infringement of our rights anywhere in the world. © Incisive Media. Cancellation: A refund (less 10% administration fee) will be made if notice of cancellation is received in writing three weeks before the event. We regret that no refunds can be given after this period. A substitute delegate is always welcome at no extra charge. Disclaimer: The program may change due to unforeseen circumstances, and Incisive Media reserves the right to alter the venue and/or speakers. Incisive Media accepts no responsibility for any loss or damage to property belonging to, nor for any personal injury incurred by, attendees at our conferences, whether within the conference venue or otherwise. Data Protection: By registering for Structured Products Washington Incisive Media will send you further information relating to this event. In addition we will send you information about our other relevant products and services which we believe will be of interest to you. If you do not wish to receive other relevant information from Incisive Media via a particular medium please tick the following relevant boxes: mail ; phone ; fax ; email . Incisive Media will also allow carefully selected third parties to contact you about their products and services. If you do not wish to receive information from third parties via any of the following media please tick the relevant boxes: mail ; phone ; Please tick if you are happy to receive relevant information from carefully selected third parties by email and fax . 4856/15 REGISTER NOW There are four easy ways to secure your place… E: cs@incisivemedia.com W: structuredproductswashington.com T: +1 646 736 1846 BY POST: Or complete this form and return to: Incisive Financial Publishing Ltd Haymarket House, 28 – 29 Haymarket, London, SW1Y 4RX, UK Telephone: +44 (0)870 240 8859 Fax: +44 (0)20 7484 9797 For US & Canada office registration complete this form and send it to Conference Administration at: Incisive Media, 55 Broad Street, 22nd Floor New York, NY 10004 Telephone: +1 646 736 1846 Fax: +1 (646) 390 6612 VENUE Fairfax at Embassy Row 2100 Massachusetts Ave NW, Washington, DC 20008 T: +1 202 293 2100 PRICING FREE PLACES AVAILABLE FOR QUALIFYING BUY SIDE DELEGATES HOME HIGHLIGHTS SPEAKERS SPONSORS BOOKING INFORMATION www.

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