19 TS Agenda



8:15 - 9:00am

Registration and Continental Breakfast

9:00 - 9:30am

Opening Remarks and Keynote Address

9:30 - 10:15am

Examining the Top Regulatory and Market-Driven Trends Shaping Best Executing and Trading

  • Key regulatory changes impacting best execution
  • Key market developments impacting investment advisers
  • How investment advisers are adapting to keep pace with changes and ensure compliance with regulations

10:15 - 11:00am

How Investment Advisers Can Manage the Multitude of Available Data Regarding Order Routing and Execution

  • Legal and commercial challenges for investment advisers
  • Implications for investment advisers of new and amended SEC Rule 606 transparency rules
  • Tools and services available for investment advisers to more easily analyze and consume trading data

11:00 - 11:30am

Refreshments and Networking Break

11:30 - 12:15pm

A New Way of Looking at Best Execution – Changes and Advancements in Tools and Services for Investment Advisers

  • New solutions to help analyze best execution, broker arrangements and execution policies
  • Key criteria to consider when assessing service providers
  • Issues surrounding the outsourcing of trading functions
  • Ensuring compliance with best execution requirements

12:15 - 1:15pm

Luncheon and Keynote Speaker

A Conversation with SEC Commissioner Elad Roisman

1:15 - 2:00pm

Best Execution for Fixed Income and OTC Products

  • Specific issues to consider when trading fixed-income and OTC products
  • Challenges to measuring and analyzing execution quality and trading performance
  • Development of transaction cost analysis for fixed-income and OTC products

2:00 - 2:30pm

Fireside Chat

2:30 - 3:00pm

Refreshments and Networking Break

3:00 - 3:45pm

Unbundling and the Provision of Research – Continuing Legal, Compliance and Operational Issues for Investment Advisers

  • Update on trends and proposed solutions from the SEC in the U.S. to provide regulatory relief to market participants
  • Alternatives for structuring payments for research to comply with S. regulations and best execution policies
  • Analysis of commission management solutions and processes to evidence research spending


Conference Adjournment