2018 ETF Think Tank Boston Wednesday, October 3, 2018 09:0009:15 - - PDF document

Wednesday, October 3, 2018 8:30 – 6:30 p.m. (All times Eastern Standard Time)

2018 ETF Think Tank Boston

Wednesday, October 3, 2018 09:00—09:15 Welcome and Introduction to ETFs Presented by Richard Kerr and Peter Shea 09:15—10:15 Session I: Crash Course in Developing and Launching an ETF Moderated by Tim Bekkers Presented by Mike Castino, Frank Koudelka, Jim Simpson and Ben Wallach This session will include:

• Making the Gating Decision: Group Trust or Proprietary Trust?
• The Role of an ETF Consultant
• How Choosing Key Service Providers Early Can Help
• An ETF Success Story

10:15—11:00 Session II: ETF Adviser M&A Moderated by Rich Kerr Presented by Bill Carey and Peter Spinelli 11:00—11:15 Networking Break 11:15—12:30 Session III: Seeding, Marketing and Distributing ETFs Moderated by Peter Shea and Trayne Wheeler Presented by Jay Baker, Dino Capasso, Jim Pacetti and Trayne Wheeler This session will include:

• Potential Hurdles of Leveraging Mutual Fund Distribution Channels for ETF Offerings
• Marketing ETF Shares: Meeting with RIAs, Hosting Conferences, etc., and Porting

Performance

• The Role of ETF Strategists, Model Portfolio Providers and Roboadvisers
• The Seed Capital Dilemma - Any Relief in Sight?

12:30—01:00 Networking Lunch

Wednesday, October 3, 2018 8:30 – 6:30 p.m. (All times Eastern Standard Time)

01:00—01:45 Session IV: Index Regulation Moderated by Stacy Fuller Presented by Dwijen Gandhi and Rick Redding This session will include:

• Lowe and Adviser Regulation: an Index Provider’s Perspective
• Do Index Providers Need Their Own Association?

01:45—02:45 Session V: Hot (Business and Legal) Topics Moderated by Peter Shea Presented by Tony Baker, Tom Champion, Brett Olsen and Josh Weinberg This session will include:

• How and Why an ETF May Strike NAV Twice Per Day
• Periodically Disclosed Active ETFs
• Predictions for Future Innovation in the ETF Space

02:45—03:30 Session VI: The ETF Rule Proposal Moderated by Stacy Fuller Presented by Amy McDonald and Josh Weinberg 03:30—03:45 Networking Break 03:45—04:45 Session VII: ETF Market Structure Moderated by Peter Shea Presented by Chris Hempstead, Dean Kordalis, Rob Marrocco, Kim Russell and Doug Yones This session will include:

• What is the Role of an ETF Sponsor’s Capital Markets Team?
• The Evolving Role of (Lead) Market Makers/APs
• What is the Exchange’s Role in the ETF Ecosystem and Related Developments (e.g.,

FINRA Rule 250; listing fees; closing auctions)

Wednesday, September 26, 2018 8:30 – 6:30 p.m. (All times Eastern Standard Time)

04:45 - 5:30 Session VIII: ETFS are Global: Cross-Border Considerations Moderated by Mike McGrath and Derek Steingarten Presented by Jeffrey Baccash, Ari Burstein and Phil Coolidge This session will include:

• Prognostications for the Global ETF Market; Will, or How Will, US Players Enter? How

Does the US Market Compare to the Asian or Canadian Market? When Looking to Cross Borders, What do ETF Sponsors Need to Consider?

• Different Pools in Different Places

05:30-6:30 Cocktail Reception