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Submission: On December 07 via manual from BR — Scanned from DE
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Asset Management Derivatives Forum 2024 February 7 – 9 , 2024 | Dana Point , CA Learn More Text goes here X Full Name Company & Title RSVP Text goes here X Full Name Company & Title Descriptive text about the speaker goes here. List Item Clear your calendar - It's going down! Bedford V2 kicks off on April 20th, and you're invited to take part in the festivities. Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title Intro body copy text description goes here. Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. 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Home Home Venue Program Register Sponsor or Exhibit Asset Management Derivatives Forum The Ritz-Carlton, Laguna Niguel – One Ritz Carlton Drive Dana Point , CA Wednesday , February 07 — Friday , February 09 June 16–17, 2021 | Virtual Register Text goes here X Asset Management Derivatives Forum 2024 Asset Management Derivatives Forum The Ritz-Carlton, Laguna Niguel – One Ritz Carlton Drive Dana Point , CA Wednesday , February 07 — Friday , February 09 February 7–9, 2024 | Dana Point, CA Add to Calendar Text goes here X Register Text goes here X Join FIA and SIFMA AMG in California! Join us for the annual Asset Management Derivatives Forum at The Ritz-Carlton Laguna Niguel in Dana Point, California. Market participants from all sides of a trade and leading regulators will examine the latest developments impacting the use of derivatives by asset managers, including business, clearing, regulatory and operations issues. Gain insight into how investors, sell-side firms and market structure operators view the landscape for derivatives activity by the asset management community, attracting attendees from the joint membership of FIA and SIFMA's Asset Management Group. Stay tuned for highlights from the 2023 Forum! The annual Asset Management Derivatives Forum is your exclusive opportunity to connect with market participants from all sides of a trade and examine the landscape for derivatives markets. Attracting 300+ attendees from the joint membership of FIA and SIFMA's Asset Management Group, asset managers, sell-side firms, and market structure operators alike have the opportunity to gain insight into business, clearing, regulatory and operations issues. Register Now Text goes here X Hosted by Why Attend Each year, we draw 300+ attendees from asset managers, clearing members and liquidity providers, and market structure operators, including: C-Suite, Compliance & Legal, Operations, Regulatory Affairs, Risk, Sales & Marketing, Trading, and more. RSVP Text goes here X * Hear from industry peers about emerging products and strategies in today’s business and macroeconomic environment * Gain exposure to regulators and insight into the regulatory pipeline * Find out which technologies - including AI, blockchain and more - can transform your operations into a critical contributor to your bottom line * Build relationships with market participants as we all seek to enhance market resiliency " I had the opportunity to network with asset managers, brokers and industry peers to learn how they're navigating today's challenges. 2023 Attendee 2023 Keynote Speakers Lamont Black Associate Professor of Finance, Driehaus College of Business DePaul University Descriptive text about the speaker goes here. Christy Goldsmith Romero Commissioner U.S. Commodity Futures Trading Commission Descriptive text about the speaker goes here. Emmanuel Roman Chief Executive Officer PIMCO Descriptive text about the speaker goes here. MORE SPEAKERS Text goes here X Text Block #1 Clear your calendar - It's going down! You're invited to take part in the festivities. Come one, come all, bring a guest, and hang loose. This is going to be epic! Text Block #1 Clear your calendar - It's going down! You're invited to take part in the festivities. Come one, come all, bring a guest, and hang loose. This is going to be epic! Program Explore our program-at-a-glance, offering a comprehensive review of the most critical derivatives issues, and check back for updates; you can view the 2022 program here. The Regulatory Outlook Global Considerations Uncleared Margin Rules (UMR) Clearing Trends Environmental, Social and Governance (ESG) Future of Work Digital Assets, Crypto & Alternatives Diversity, Equity & Inclusion Modernization of Post-Trade Securities Based Swap Compliance And More CDC, state and local guidelines will be followed on-site. Check back in June for details of the protocols we're putting in place - which we'll continue to review and update - as well as information on the program format. Interested in discovering more? Explore key takeaways in our post-event synopsis, The Future of Operations Starts Now. We look forward to seeing you and collaborating in person. Virtual option also available. Program Please note: all times are Pacific Time (PT) and subject to change. Wednesday, February 8 Monday, Oct 4 11:00 a.m. - 12:30 p.m. Women in Derivatives (WIND) Luncheon 11:30 a.m. - 1:00 p.m. WIND Luncheon: Washington Update (Separate RSVP required) 1:00 p.m. – 2:30 p.m. SIFMA AMG Steering Committee meeting (Committee members only) 1:00 p.m. – 6:00 p.m. Registration Desk Hours & Sponsor Showcase 1:00 p.m. – 3:00 p.m. Arrival Hospitality 3:00 p.m. – 3:15 p.m. Opening Remarks 3:15 p.m. – 3:45 p.m. Keynote 3:45 p.m. – 4:30 p.m. Panel Discussion 4:30 p.m. – 5:15 p.m. Panel Discussion 5:15 p.m. – 6:45 p.m. Welcome Reception Monday, Oct 4 1:05 p.m. - 2:05p.m. Text here 2:05 p.m. - 2:50 p.m. Text here 2:50 p.m. - 3:05 p.m. Text here 3:05 p.m. - 4:05 p.m. Text here 4:05 p.m. - 4:10 p.m. Text here Monday, Oct 4 Thursday, February 9 Monday, Oct 4 8:15 a.m. – 4:45 p.m. Registration Desk Hours & Sponsor Showcase 8:15 a.m. – 9:00 a.m. Continental Breakfast 9:00 a.m. – 9:30 a.m. Keynote 9:30 a.m. – 10:15 a.m. Panel Discussion 10:15 a.m. – 11:00 a.m. Panel Discussion 11:00 a.m. – 11:30 a.m. Networking Break 11:30 a.m. – 12:15 p.m. Panel Discussion 12:15 p.m. – 1:00 p.m. Panel Discussion 1:00 p.m. – 2:00 p.m. Networking Lunch 2:00 p.m. – 2:45 p.m. Breakout Discussion / Roundtable 2:45 p.m. – 5:00 p.m. Attendees on Own 4:15 p.m. – 5:00 p.m. Polar Plunge 5:00 p.m. – 6:30 p.m. Networking Reception Monday, Oct 4 Monday, Oct 4 Friday, February 10 Monday, Oct 4 8:00 a.m. – 12:15 p.m. Registration Desk Hours & Sponsor Showcase 8:00 a.m. – 8:45 a.m. Continental Breakfast 8:45 a.m. – 9:15 a.m. Keynote 9:15 a.m. – 10:00 a.m. Panel Discussion 10:00 a.m. – 10:30 a.m. Networking Break 10:30 a.m. – 11:15 a.m. Panel Discussion 11:15 a.m. – 12:00 p.m. Panel Discussion 12:00 p.m. – 12:45 p.m. Boxed Lunch Monday, Oct 4 Monday, Oct 4 All times in PT and subject to change. VIEW PROGRAM Text goes here X 2022 Program Our program offers a comprehensive review of the most critical derivatives issues. All times are Pacific Time (PT) and subject to change. Monday, February 7, 2022 Text goes here X Tuesday, February 8, 2022 Text goes here X Wednesday, February 9, 2022 Text goes here X 1:00 p.m. - 6:00 p.m. 1:00 p.m. - 2:45 p.m. 2:30 p.m. - 5:30 p.m. Headshot Lounge Location: The Promenade Update your headshot with our complimentary professional headshot service. Sponsored by Eurex The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Lindsey Keljo, Acting Head, SIFMA AMG • Walt Lukken, President and CEO, FIA 2:45 p.m. - 3:00 p.m. 3:00 p.m. - 3:30 p.m. 3:30 p.m. - 4:15 p.m. 4:30 p.m. - 5:15 p.m. 5:15 p.m. - 7:15 p.m. 6:30 a.m. - 7:30 a.m. 7:45 a.m. - 4:30 p.m. 7:45 a.m. - 8:30 a.m. 8:00 a.m. - 3:00 p.m. Headshot Lounge Location: The Promenade Update your headshot with our complimentary professional headshot service. Sponsored by Eurex The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Lindsey Keljo, Acting Head, SIFMA AMG • Walt Lukken, President and CEO, FIA 8:30 a.m. - 9:00 a.m. 9:00 a.m. - 9:45 a.m. 9:45 a.m. - 10:15 a.m. 10:15 a.m. - 11:00 a.m. 11:00 a.m. - 11:30 a.m. Networking Break Location: Monarch Bay Courtyard Enjoy networking and refreshments with conference colleagues. Sponsored by Axoni and Kramer Levin Location: Monarch Bay Courtyard Enjoy networking and refreshments with conference colleagues. Sponsored by Axoni, Intercontinental Exchange and Kramer Levin Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 11:30 a.m. - 12:15 p.m. 12:15 p.m. - 12:45 p.m. 12:45 p.m. - 1:45 p.m. 12:45 p.m. - 1:45 p.m. Women in Derivatives Annual Lunch A rare opportunity to meet and hear from members of the WIND Board of Directors. All are welcome, but seating is limited. The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 2:00 p.m. - 2:45 p.m. 2:45 p.m. - 3:15 p.m. Networking Break Location: Monarch Bay Courtyard Enjoy networking and refreshments with conference colleagues. Sponsored by Axoni and Kramer Levin The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 3:15 p.m. - 4:15 p.m. Breakout Session: Modernizing the Trade and Clearing Lifecycle Covid volatility spotlighted the processes and workflows of exchange traded derivatives and where standards and technology may help improve the resilience and efficiency of the clearing system. Join this cross section of market participants as they discuss areas of operational focus, the need for industry standards, and evolving technology applications. Intro body copy text description goes here. moderators Don Byron, Head of Global Industry Operations & Execution, FIA Allison Lurton, Chief Legal Officer & General Counsel, FIA Intro body copy text description goes here. Speakers Scott Andersen, Director, Head of Americas Listed Derivatives, Societe Generale Chris Edmonds, Chief Development Officer, ICE Marcellus Fisher, Managing Director, Head of US Trade Support, PIMCO Lou Rosato, Investment Operations, BlackRock Nick Solinger, CEO, FIA Tech Breakout Session: Deep Dive on Securities Based Swaps Compliance As organizations are working to comply with the new regulatory regime for securities-based swaps, this panel will discuss the SEC SBS Rule requirements, which differ from the CFTC regime, and include requirements relating to disclosure, reporting, notification and record keeping. Intro body copy text description goes here. moderator Colin Lloyd, Partner, Sullivan & Cromwell Intro body copy text description goes here. panelists Kyle Brandon, Managing Director, SIFMA Greg Todd, Managing Director & Associate General Counsel, Bank of America James Wallin, Senior Vice President, Alliance Bernstein 5:00 p.m. - 5:30 p.m. 5:15 p.m. - 7:15 p.m. 7:45 a.m. - 12:15 p.m. Registration Desk Hours & Sponsor Showcase Location: The Promenade Collect your event badge and visit conference sponsors. The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • To Be Announced 7:45 a.m. - 8:30 a.m. 8:00 a.m. - 12:00 p.m. Headshot Lounge Location: The Promenade Update your headshot with our complimentary professional headshot service. Sponsored by Eurex The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Lindsey Keljo, Acting Head, SIFMA AMG • Walt Lukken, President and CEO, FIA 8:30 a.m. - 9:00 a.m. 9:00 a.m. - 9:45 a.m. 9:45 a.m. - 10:15 a.m. 10:15 a.m. - 11:00 a.m. 11:00 a.m. - 11:20 a.m. Networking Break Location: Monarch Bay Courtyard Enjoy networking and refreshments with conference colleagues. Sponsored by Cassini Systems and Lowenstein Sandler LLP Intro body copy text description goes here. Speakers Name, Title 11:20 a.m. - 12:00 p.m. 12:00 p.m. - 12:45 p.m. Text Block #1 Clear your calendar - It's going down! You're invited to take part in the festivities. Come one, come all, bring a guest, and hang loose. This is going to be epic! Venue The Ritz-Carlton, Laguna Niguel Perched atop a seaside bluff, surrounded by panoramic views of the Pacific. Special rate for attendees: $375+ tax through January 8, 2024 Register for the Forum to receive booking information. The conference room block is closed. " The location was phenomenal, the sessions were informative, and I made new connections in my network. 2023 Attendee Details An introductory paragraph set in a slightly larger size can help provide a rhythm to the typography and help increase the legibility of the page. Enhance your user experience and build brand equity with your design vernacular. RSVP Text goes here X 2024 Program All times are Pacific Time (PT) and subject to change. Please check back frequently as sessions and exact times are added. If you are interested in speaking at the Asset Management Derivatives Forum or have a speaker suggestion, please fill out this form. Wednesday, February 7, 2024 Text goes here X Thursday, February 8, 2024 Text goes here X Friday, February 9, 2024 Text goes here X 11:30 a.m. - 1:00 p.m. Women in Financial Markets (WIFM) Luncheon: Washington Update Separate RSVP required – all conference attendees welcome Speakers Name, Title, Firm Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 12:00 p.m. - 1:30 p.m. Arrival Refreshments and Networking Speakers Name, Title, Firm Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 12:00 p.m. - 5:30 p.m. Registration & Exhibitor Showcase Lanyards sponsored by Trading Technologies International Inc. Speakers Name, Title, Firm Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 1:00 p.m. - 1:45 p.m. Opening Remarks Do not use Speakers Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 1:45 p.m. - 2:15 p.m. Keynote Address Session description goes here Do not use Speaker Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 2:15 p.m. - 3:15 p.m. The Impact of AI on Markets and Operations How are firms using AI for research, advice, trading, and operations? This session will look at examples of AI in action in the trading environment and discuss the practical issues for firms to consider as they deploy AI tools and models. moderator While the crypto winter has led to a reassessment of the sector by some, the future use of tokenization could offer opportunities for great efficiencies in the trading and post-trading environment. PANELISTS Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA PANELISTS Lisa Cavallari, Director, Derivatives Trading, Russell Investment Group Tracy Rucker-Wilson, Global Portfolio Risk Manager - Fixed Income, Vanguard Cassandra Tok, Managing Director, Goldman Sachs & Co. LLC 3:15 p.m. - 3:45 p.m. Networking Break Co-sponsored by Adenza, Cassini Systems and FIA Tech moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 3:45 p.m. - 4:30 p.m. New Horizons for Exchanges and CCPs While exchanges and CCPs have seen sustained growth in activity in recent years, how do they view trends for the future? Which products are attracting the greatest institutional attention? This panel will also consider prospects for market structures, including the growing use of cloud technology on clearing firms and end users. Speakers Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 4:30 p.m. - 5:30 p.m. Sponsored Session Speakers Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 4:30 p.m. – 5:30 p.m. Trends and Opportunities in Interest Rate Markets How are interest rate derivatives markets reacting to current economic trends? How are traders and portfolio managers adjusting to high inflation, quantitative tightening, and the spike in bond yields? Our panel of experts will provide their insights on these trends and more. Speakers Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 5:30 p.m. - 7:00 p.m. Welcome Cocktail Reception Sponsored by Hong Kong Exchanges and Clearing Limited Speakers Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 7:00 a.m. - 8:00 a.m. Yoga Join your fellow attendees for a yoga class and light refreshments sponsored by Cleary Gottlieb. Confirm your participation in this complimentary event when you register for the conference. Sponsored by Cleary Gottlieb Speakers • To Be Announced Bootcamp Intro body copy text description goes here. Join your fellow attendees bright and early outside on the Dana Lawn overlooking Salt Creek Beach for an early morning workout sponsored by Axoni. Confirm your participation in this complimentary event when you register for the conference. Sponsored by Axoni Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 7:30 a.m. - 4:30 p.m. Registration Open Lanyards sponsored by Trading Technologies International Inc. Speakers • To Be Announced Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 8:00 a.m. - 3:00 p.m. Exhibitor Showcase Speakers • To Be Announced Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 8:00 a.m. - 9:00 a.m. Networking Breakfast Enjoy breakfast and networking with conference colleagues. Sponsored by [ ] Speakers • To Be Announced Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 9:00 a.m. - 10:00 a.m. Clearing Capacity Trends This session will look at the evolving landscape for the clearing business. What new products, technologies, risks and regulations are on the horizon? How are clearinghouses, clearing firms and clients responding? moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 10:00 a.m. - 10:45 a.m. Regulatory Approaches to Crypto, AI and Climate What is the perceived need and appetite for robust regulatory oversight of crypto markets, AI and sustainability? What are the different regulatory approaches, where is there consensus, and where might divergence present issues? Our panel will discuss these issues and more. moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists New Products: Old School versus New School Intro body copy text description goes here. Bitcoin and other digital assets are the hottest new asset class to hit the derivatives world in many years. But will they live up to their promise? In this panel, a group of industry experts will debate whether other types of product innovation, such as futurized versions of equity swaps, will prove to be more valuable for asset managers than digital asset derivatives. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Ruth Arnould, Managing Director & Associate General Counsel, Bank of America Stephen Berger, Managing Director, Global Head of Government & Reg Policy, Citadel LLC Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Ruth Arnould, Managing Director & Associate General Counsel, Bank of America Stephen Berger, Managing Director, Global Head of Government & Reg Policy, Citadel LLC 10:45 a.m. - 11:15 a.m. Keynote Special Purpose Acquisition Corporations (SPACs) have exploded in recent years, far overtaking traditional IPOs as a means of going public. The pace of so-called de-SPAC transactions has also accelerated, as has the pace of lawsuits asserting securities fraud in connection with either the SPAC formation, the de-SPAC transaction, or sometimes even both. The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speaker The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA moderator Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speaker Emmanuel Roman, Chief Executive Officer and Managing Director, PIMCO 11:15 a.m. - 11:45 a.m. Networking Break Co-Sponsored by Adenza, Cassini Systems, and FIA Tech Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 11:45 a.m. – 12:15 p.m. Fireside Chat moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers Tara McCloskey, Managing Director, MetLife Investment Management Erik Müller, Chief Executive Officer, Eurex Frankfurt AG | Eurex Clearing AG Jason Radzik, Managing Director, Head of Derivatives Execution & Clearing, BNP Paribas Mariam Rafi, Managing Director, Citigroup Global Markets 12:15 p.m. - 1:00 p.m. Managing Conflicts of Interest in Regulatory Oversight How are the SEC and the CFTC managing conflicts of interest raised by changing market structure where entities do more than one function, such as an exchange and an FCM? Does this lead to greater accessibility or greater conflicts, and what can be done? moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • To Be Announced 1:00 p.m. - 2:00 p.m. Networking Lunch Co-Sponsored by Ropes & Gray LLP and Stradley Ronon Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 2:00 p.m. - 2:30 p.m. Sponsored Session moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA participants Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 2:00 p.m. – 3:15 p.m. Roundtable - Trends in Derivatives: Buy- and Sell-side Collaboration Representatives from buy-side and sell-side firms share their views on key trends impacting the use of derivatives by asset managers. How are sell-side firms responding to increased demand off the back of regulatory changes, such as mandatory clearing for pension funds in Europe? And what products and services would their clients like to see? moderator Name, Title, Firm The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Name, Title, Firm Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA Speakers • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA • Kenneth E. Bentsen, Jr., President and CEO, SIFMA 4:15 p.m. - 5:00 p.m. Polar Plunge Take a plunge in the Pacific Ocean and give to Orange County Rescue Mission working to provide assistance in the areas of guidance, counseling, education, job training, shelter, food, clothing, health care and independent living communities. *A separate registration is required. Sponsored by Kramer Levin Naftalis & Frankel LLP Speakers Name, Title Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 5:00 p.m. - 6:30 p.m. Evening Cocktail Reception Co-Sponsored by Bank of America Securities, FIA, and SIFMA AMG Speakers Name, Title, Firm Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 8:00 a.m. – 11:30 a.m. Registration Open Lanyards sponsored by Trading Technologies International Inc. Speakers • To Be Announced Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 8:15 a.m. - 9:15 a.m. Networking Breakfast Speakers • To Be Announced Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title 9:15 a.m. – 10:15 a.m. Regulator Deep Dive Join Commissioners and staff from the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Federal Reserve to discuss market developments and regulatory perspectives. moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA moderator Walt Lukken, President and CEO, FIA 10:15 a.m. – 11:15 a.m. Roundtable - Is the Market Ready for Treasury Clearing? Join Commissioners and staff from the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Federal Reserve to discuss market developments and regulatory perspectives. moderator The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA panelists Roundtable – Roadmap to Operational Efficiency Intro body copy text description goes here. This session will cover a wish list of topics that asset managers have raised to improve operational efficiency in exchange-traded derivatives. Topics include give ups and allocations, position transfers, average pricing and more! Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA moderator Walt Lukken, President and CEO, FIA Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title The panel will focus on SPAC litigation trends and highlight the following topics: • SEC commentary and enforcement activity • The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC • Current state of case law • Best practices to reduce litigation exposures Moderator: Kenneth E. Bentsen, Jr., President and CEO, SIFMA moderator Walt Lukken, President and CEO, FIA 11:15 a.m. Forum Concludes moderator Intro body copy text description goes here. PANELISTS Title Intro body copy text description goes here. Intro body copy text description goes here. Speakers Name, Title Intro body copy text description goes here. Speakers Name, Title " The topics were great and speakers/presenters were top notch. 2023 Attendee Register Pre-registration is required to participate. Please note that you must login to complete your registration. Contact FIA Member Services if you need assistance. FIA Member Rate $1,265 through November 27, 2023 $1,445 through January 5, 2024 $1,725 after January 5, 2024 SIFMA AMG Member Rate $795 through November 27, 2023 $945 through January 5, 2024 $1,145 after January 5, 2024 SIFMA Corporate and Associate Member Rate $1,265 through November 27, 2023 $1,445 through January 5, 2024 $1,725 after January 5, 2024 Non-Member Rate $1,605 through November 27, 2023 $1,810 through January 5, 2024 $2,145 after January 5, 2024 Regulator Rate $575 Register Text goes here X Add to Calendar Text goes here X To view the registration cancellation policy, please refer to the Useful Information section below. The Plunge is Back! Sign up for the Forum’s charity fundraiser as you register for the conference. This year, we’re once again supporting Orange County Rescue Mission, which helps provide assistance in the areas of guidance, counseling, education, job training, shelter, food, clothing, health care and independent living communities. To participate in the Polar Plunge, at checkout, please add the $100 donation and sign the waiver. The Plunge is Back! Sign up for the Forum’s charity fundraiser as you register for the conference. This year, we’re once again supporting Orange County Rescue Mission, which helps provide assistance in the areas of guidance, counseling, education, job training, shelter, food, clothing, health care and independent living communities. To participate in the Polar Plunge, at checkout, please add the $100 donation and sign the waiver. Useful Information Clear your calendar - It's going down! Splash Blocks kicks off on April 20th, and you're invited to take part in the festivities. Splash HQ (122 W 26th St) is our meeting spot for a night of fun and excitement. Come one, come all, bring a guest, and hang loose. Registration Questions Please contact FIA Member Services. Please remember that pre-registration is required to participate. Hotel Reservations Please register for the Forum to receive booking information. Special rate for attendees: $375+ tax per night through January 8, 2024. Subject to availability. Refer to your reservation confirmation for details and cancellation policies. Registration Cancellations Notice of cancellation must be received in writing on or before January 12, 2024 and will be subject to a $100 administrative fee. No refunds will be made after this date; all monies owed at the time of cancellation will be due immediately. Health & Safety We closely follow guidelines from the CDC as well as state and local officials. Your Privacy Your privacy is a top priority for both organizations, as set forth in FIA's Privacy Statement and SIFMA's Privacy Statement. Accessibility It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the FIA or SIFMA. Substitutions Substitutions may be made at any time without penalty. Media This event is closed to the press. Sponsors Diamond platinum gold silver partner Exhibitor Sponsorship and exhibit opportunities are available for the 2024 FIA-SIFMA AMG Asset Management Derivatives Forum, featuring excellent branding and messaging offerings to build your firm's reputation with this exclusive delegation. Questions? Contact Toni Vitale Chan, FIA, at +1 312.636.2919 or Scott Kramer, SIFMA, at +1 212.313.1119. Highlights from the 2023 Forum 2023 Program Explore the 2023 program with featured speakers including Lamont Black, CFTC Commissioner Christy Goldsmith Romero and PIMCO CEO Emmanuel Roman. VIEW Text goes here X Post-Event Debrief Recap main themes from the 2023 Forum in this joint note from FIA and SIFMA Insights. EXPLORE Text goes here X Poll Results View results from FIA and SIFMA AMG's joint member poll, capturing buyside and sellside views on key topics in derivatives markets. READ Text goes here X 2023 Program Explore the 2023 program with featured speakers including Lamont Black, CFTC Commissioner Christy Goldsmith Romero and PIMCO CEO Emmanuel Roman. View Text goes here X Post-Event Debrief Recap main themes from the 2023 Forum in this joint note from FIA and SIFMA Insights. Explore Text goes here X Poll Results View results from FIA and SIFMA AMG's joint member poll, capturing buyside and sellside views on key topics in derivatives markets. Read Text goes here X MORE SPEAKERS Text goes here X Previous Next 1 of 10 The 2023 Asset Management Derivatives Forum: February 8-10 | Dana Point, CA The 2023 Asset Management Derivatives Forum: February 8-10 | Dana Point, CA Previous Next 1 of 25 See you soon. Copyright © 2023 www.fia.org | Privacy Policy | Terms and Conditions www.sifma.org | Privacy Policy | Terms of Use #FIA_SIFMA www.sifma.org Home Text goes here X About Text goes here X Resources Text goes here X [confirmation_headline] [confirmation_messaging] Add to Calendar Text goes here X [confirmation_headline] [confirmation_messaging] Add to Calendar Text goes here X [confirmation_headline] [confirmation_messaging] Add to Calendar Text goes here X [confirmation_headline] Your Receipt Order Number: #TEST123-1234567-987654 Description General Admission price quantity fee total $4.00 1 $1.00 $5.00 Description VIP Start: Mon May 16th 7:00pm End: Mon May 16th 10:00pm price quantity fee total $8.00 2 $2.00 $20.00 Total: $25.00 [confirmation_messaging] Add to Calendar Text goes here X [confirmation_headline] Your Receipt Order Number: #TEST123-1234567-987654 Description General Admission price quantity fee total $4.00 1 $1.00 $5.00 Description VIP Start: Mon May 16th 7:00pm End: Mon May 16th 10:00pm price quantity fee total $8.00 2 $2.00 $20.00 Total: $25.00 [confirmation_messaging] Add to Calendar Text goes here X FEATURED SPEAKERS Phillip Anderson Executive Director, Diversity & Inclusion and CSR Diverse Talent Management & Advancement DTCC Descriptive text about the speaker goes here. Keisha Bell Managing Director, Head of Diverse Talent Management and Advancement, DTCC Descriptive text about the speaker goes here. Laura Peters Chepucavage Managing Director, Head of Global Short Rates Sales and Trading Bank of America Merrill Lynch Descriptive text about the speaker goes here. Robert Cook President and CEO FINRA Descriptive text about the speaker goes here. Pamela Gibbs Director, Office of Minority and Women Inclusion (OMWI) U.S. Securities and Exchange Commission Descriptive text about the speaker goes here. Gary Hall Partner and Head of Investment Banking Siebert William Shank & Co., LLC Descriptive text about the speaker goes here. Dylana Hopler Complex Director Ameriprise Financial, Inc. Descriptive text about the speaker goes here. Lisa Kidd Hunt Executive Vice President, International Services Charles Schwab & Co., Inc. Descriptive text about the speaker goes here. Steven Morgan Global Co-Head Markets/Operations /Operations Technology Citi Descriptive text about the speaker goes here. Penny Pennington Managing Partner Edward Jones Descriptive text about the speaker goes here. Thomas Pluta Global Head of Linear Rates Trading JP Morgan Chase & Co. Descriptive text about the speaker goes here. Samuel A. Ramirez, Jr. Sr. Managing Director, Samuel A. Ramirez & Company, Inc. and President & CEO, Ramirez Asset Management Nguyen covers mobile news and trends for Ad Market Magazine. Her work has also appeared in The New York Times, and Wired.com. Jim Reynolds Chairman and CEO Loop Capital Markets, LLC Descriptive text about the speaker goes here. Rudy Rodriguez Vice President, Diversity & Inclusion, Ameriprise Financial Nguyen covers mobile news and trends for Ad Market Magazine. Her work has also appeared in The New York Times, and Wired.com. Peter Schneider President, Primerica, Inc. Descriptive text about the speaker goes here. Suzanne Shank Chairwoman & CEO, Co-Founder Siebert Cisneros Shank & Co., L.L.C. Descriptive text about the speaker goes here. Charlene Shimada Partner Morgan, Lewis & Bockius Descriptive text about the speaker goes here. Nomita Singh Managing Director, US Chief Operating Officer of Credit Suisse Holdings (USA) Descriptive text about the speaker goes here. Abim Thomas Vice President and Associate General Counsel Fidelity Investments Descriptive text about the speaker goes here. Karen Yen General Counsel, Global Wealth Management UBS Descriptive text about the speaker goes here. Share with Friends Facebook Twitter LinkedIn Link CONTACT THE ORGANIZER Google Outlook iCal Yahoo SIGN ME UP Google Outlook Apple Yahoo