2019 ETF Think Tank New York Wednesday, September 18, 2019 8:309:00 - PDF document

Wednesday, September 18, 2019 8:30 – 5:30 p.m. (All times Eastern Standard Time) 2019 ETF Think Tank New York Wednesday, September 18, 2019 8:30—9:00 Registration 09:00—09:05 Welcoming Remarks Presented by Stacy Fuller (K&L Gates LLP) 09:05—10:00 Session I: Crash Course in Launching an ETF Moderated by Derek Steingarten (K&L Gates LLP) This session will include: • Outline of ETF Rule • Series or Proprietary Trust • Expenses & Timeline • How Seeding Works • Listing Developments • Distribution (Marketing to Millenials) 10:00—10:15 Networking Break 10:15—11:15 Session II: Trends in ETF Investing Moderated by Peter Shea (K&L Gates LLP) This session will include: • ESG Investing • Cannabis • Volatility and Wealth Management • New Fixed Income Trends • Canadian Market Developments • Cryptocurrency 11:15–-11:30 Networking Break

Wednesday, September 26, 2018 8:30 – 6:30 p.m. (All times Eastern Standard Time) 11:30—12:15 Session III: ETF Conversions Moderated by Stacy Fuller (K&L Gates LLP) and Peter Shea (K&L Gates LLP) This session will include: • Types of Accounts that can Be Converted • Board Considerations Affiliated Reorganizations o Management o • Shareholder Vote Required? • Tax Considerations • Practical Considerations Capacity Constraints o Fractional Shares o Brokerage Account Requirement o Multiple Share Classes o  What to Do with R Shares  How to Deal with Trail Commissions Listing Standards o Porting Performance o Transparency of Portfolio & Reverse Engineering o 12:15—01:15 Lunch 01:15—01:45 Session IV: Transitioning to ETF Rule Moderated by Stacy Fuller (K&L Gates LLP) This session will include: • Custom Baskets & “Heartbeat Trades” • Custom Basket compliance policy development • Liquidity – How ETFs are factoring in the relationship between portfolio holdings and the arbitrage mechanism

Wednesday, September 26, 2018 8:30 – 6:30 p.m. (All times Eastern Standard Time) 01:45—03:00 Session V: Non-Transparent & Active ETF Opportunities Moderated by Peter Shea (K&L Gates LLP) This session will include: • Assessing the non-transparent opportunities Precidian ActiveShares; o NYSE – Natixis; o T. Rowe Price; o Fidelity; o Others. o • Special infrastructure needs. • Strategies available now & The Future 03:00—03:15 Networking Break 03:15—04:30 Session VI: ETFs are Global Moderated by Richard Kerr (K&L Gates LLP) This session will include: • Issues to be considered before entering into a foreign market • Distribution channels available to US ETFs in foreign markets • The benefits of cross-listing in other markets, including Mexico, China, Japan, and Netherlands • The differences between the US market and the market structure in Europe and Asia • Pitfalls and lessons learned from successes and failures in foreign markets 04:30—05:30 Cocktail Reception