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
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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!
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HIGHLIGHTS
3. REGISTER NOW:
cs@incisivemedia.com
structuredproductswashington.com
T: +1 646 736 1846
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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
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SPEAKERS
4. REGISTER NOW:
cs@incisivemedia.com
structuredproductswashington.com
T: +1 646 736 1846
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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
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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. 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
