2017 Program

Pre conference drinks May 24th at 6:30-8:30pm at The Ritz Carlton Coconut Grove, Miami

Structured Products Americas 2017 Conference program
May 25th, The Ritz Carlton Coconut Grove, Miami

8:30 Registration and refreshments

8:50 Welcome addres: Lukas Becker, Editor, RISK.NET

9:00 SEC opening keynote address: Regulatory update

Reid Muoio, Deputy Chief, Complex Financial Instruments Unit, Division of Enforcement, SEC

9:40 Regulatory debate: Regulatory update

  • Implications of regulatory enforcement
  • Current regulatory concerns and advise on how to overcome them
  • Rules modifications that lie ahead
  • Could issuers benefit from Department of Labor regulation?
  • The hidden risks in credit risk in US tax reforms - IRS section 871(m)
  • DOL fiduciary ruling and likely forthcoming changes post April deadline

Moderator: Ken Gustin, President, Independent Research and Risk Advisory
Mark Fernandez, Senior Regional Counsel, Department of Enforcement, Structured Products Specialist, FINRA
Dan Michael, Assistant Regional Director, Complex Financial Instruments Unit, Division of Enforcement, SEC

10:20 Morning break





Chairperson's opening remarks

Chairperson's opening remarks: Eric Greschner, Managing Partner, REGATTA RESEARCH & MONEY MANAGEMENT


TLAC and MREL restrictions

  • TLAC and 871M: an update on restrictions and limitations on products trading and availability
  • New requirements and are SP included?
  • Long-term debt and clean holding company requirements
  • Convergence of Europe and US structured products regulation
  • Differences from the proposed rules

Speaker to be confirmed

Product design and pricing

Claudio Izquierdo, Director Business Development, HEDGEACT


Structured products analysis for wealth managers and brokers

  • How to present analysis clearly but meaningfully
  • Scenarios, back-testing, simulations
  • Compliance drivers and pitfalls
  • Experience from overseas SP markets
  • Mainstream metrics - risk, returns, benchmarks

Tim Mortimer, Managing Director, FUTURE VALUE CONSULTANTS

How to effectively use and integrate structured products in a portfolio

  • Where do structured products sit in your clients' portfolio?
  • Are structured products merely used as an enhancing mechanism?
  • What are the potential challenges you face when using a structured product in asset allocation?

Ed Condon, ‎National Director Client Solutions, MERION CAPITAL GROUP

12:20 Panel debate: Maximizing distribution given today's current environment

  • Regulatory restrictions and modified rules to brokered CDs
  • Types of products and how business is conducted going forward
  • Why some firms don't offer structured investments?
  • Are there enough distributions in the market?
  • Various distribution channels comparison

Moderator: Tim Mortimer, Managing Director, FUTURE VALUE CONSULTANTS
Raul Celada, Senior Vice President, Wealth Management, UBS
Claudio Izquierdo, ‎Chief Marketing Officer and Director Business Development, HEDGEACT
Joe L. Fernandez, Wealth Management Specialist, FENDZ ASSET MANAGEMENT tbc
Dayna M. Kleinman, Senior Vice President, Senior Product Manager - Alternative Investments, ROBERT W. BAIRD

1:00 Lunch

2:00 How to successfully add Structured Products to your practice

  • Working with issuing banks
  • Educating clients
  • Which structures resonate with retail clients

Tom Balcom, Founder, 1650 WEALTH MANAGEMENT

2:40 Structured Products - An economist's view

Richard Vagnoni, Senior Economist, FINRA

3.20 Afternoon break

3.50 Keynote: "Big win" for Structured Products in the context of their utility in retirement income planning for "constrained" investors

David Macchia, Founder and Chief Executive Officer, WEALTH2K

4.30 Panel: Outlook for Structured Products in the US

  • Key trends, the big picture and current environment
  • What products should brokers choose when interest rates rise?
  • Should investors choose bonds vs complex indexes and high return betas?
  • Building different wrappers that work in different settings
  • Technical investing and what products are good to linked together in this environment

Moderator: David Macchia, Founder and Chief Executive Officer, WEALTH2K
Ed Condon, ‎National Director Client Solutions, MERION CAPITAL GROUP
Deryk Rhodes, Managing Director, Head of MLP Trading and Origination, INCAPITAL

5.10 Chairperson's closing remarks followed by a cocktail reception

6:30 Structured Products Awards ceremony - attendance by invitation only

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