structured products washington nov 5, 2015

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1structuredproductswashington.com

November 5, 2015Fairfax hotel, Washington D.C.

STRUCTURED PRODUCTS

REGULATION IN 2016 AND

BEYOND

Regulatory, legal and compliance issues impacting structured products

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USING THIS BROCHURE

http://www.structuredproductswashington.com


REGISTER NOW:[email protected]

structuredproductswashington.comT: +1 646 736 1846

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PROGRAM

HIGHLIGHTS ANCHOR

The 3rd annual Structured Products Washington 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 Products Washington 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 in Washington D.C., Miami, London and Hong Kong!

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PROGRAM

Sponsorship opportunities:Elizabeth HustonBusiness Development Manager T + 1 (646) 736-1854

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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 of Trading 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 and Tax 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

Doug Welsh, Senior Legal Counsel – Investment Funds and Structured Products Branch, ONTARIO SECURITIES COMMISSION

Thomas Wulf, Secretary General, European Structured Investment Products Association (EUSIPA)

Carla Pehowski, Managing Director, Senior Tax 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 ExecutiveT: +44 (0) 20 7316 9914

[email protected]









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Program

PROGRAM ANCHOR

08:00 Registration and breakfast

08:50 STRUCTURED PRODUCTS welcome address

09:00 OPENING KEYNOTE ADDRESSSpeaker 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 concernsModerator: 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 MORGANDoug 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 developmentsMichael Coe, Assistant Director, Division of Trading 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 mediaDave Roscum, Manager, Advertising Regulation Department, FINRA

11:20 Global dimension of EU financial rules – illustrated by the EU benchmark regulationThomas 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 productsModerator: Oliver Ireland, Partner, MORRISON & FOERSTER LLPFurther 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” groupsModerator: Keith Styrcula, Chairman, STRUCTURED PRODUCTS ASSOCIATIONMark 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 marketModerator: Remmelt Reigersman, Partner, MORRISON & FOERSTER LLPOggie Caginalp, Director and Tax Counsel, CREDIT SUISSE Carla Pehowski, Managing Director, Senior Tax 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 customersMaria Rabinovich, Director, Structured Products and Equity Derivatives, SCOTIABANK

3:00 Afternoon break and networking

STREAM ONE STREAM TWO

3.30 Derivatives and structured productsMore 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 basicsMore information about the session is coming soon. Please visit www.structuredproductswashington.com for more information

5:00 End of the conference. Drinks reception


[email protected]

To register:Adriana Cicic Senior Marketing ExecutiveT: +44 (0) 20 7316 9914

[email protected]









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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 the Year 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 the Year 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

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PROGRAM

REGISTER NOW: [email protected] structuredproductswashington.com T: +1 646 736 1846

BOOKING ANCHOR

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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.

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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 .

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structured products washington nov 5, 2015

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