19 TS Agenda

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Agenda

8:15 - 9:00am

Registration and Continental Breakfast

9:00 - 9:30am

Opening Remarks and Keynote Address

Doug Cifu
CEO
Virtu Financial

9:30 - 10:15am

Examining the Top Regulatory and Market-Driven Trends Shaping Best Execution 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

Ari Burstein, Moderator
President
Capital Markets Strategies

Mark J. Dowdell 
Assistant Regional Director, Co-Chair Marketing & Sales Practices Working Group
U.S. Securities and Exchange Commission, Philadelphia Regional Office

Stephanie Dumont
Senior Vice President and Director of Capital Markets Policy
FINRA

Vlad Khandros

Global Head of Market Structure and Liquidity Strategy
UBS

Angela Morton
Vice President, Assistant General Counsel
Janus Henderson Investors

Peter Stutsman
Global Head of Equity Trading
The Capital Group

Joe Wald
CEO
Clearpool Group

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

Ari Burstein, Moderator
President
Capital Markets Strategies

Gregg Berman
Director, Market Analytics and Regulatory Structure
Citadel

Mark Davies
Chief Executive Officer 
S3

Curt Engler
Head of Equity Trading, The Americas
JP Morgan Asset Management

Walter Ferstand
Director of Compliance 
BestXStats

John Jannes
Director, Trading Analytics
IHS Markit 

Justin Schack
Partner/Managing Director
Rosenblatt Securities

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

Ari Burstein, Moderator
President
Capital Markets Strategies

Nanette J. Buziak

Managing Director, Head of Equity Trading
Voya Investment Management

Roman Ginis
Founder
IntelligentCross

Ryan D. Larson
Head of Equity Trading, U.S.
RBC Global Asset Management

Glenn Lesko
Chief Growth Officer
Dash Financial Technologies

Steve Sachs
Managing Director, Head of ETF Capital Markets
Goldman Sachs Asset Management

12:15 - 1:15pm

Luncheon and Keynote Speaker: Fireside Chat

Elad L. Roisman
Commissioner
U.S. Securities and Exchange Commission

Gail Bernstein, Moderator
General Counsel
Investment Adviser Association

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

Ari Burstein, Moderator
President
Capital Markets Strategies

Phil Cichlar
Global Head of Fixed Income ETF Sales & Trading
Jane Street

Glenn Taitz
Global Head of Fixed income Trading
Invesco Ltd.

Kevin O’Connor
Global Head of Analytics and Workflow Solutions
Virtu Financial

Alex Sedgwick  
Senior Advisor
Abel Noser

2:00 - 2:30pm

Fireside Chat

Brett Redfearn
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission

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

Monique Botkin, Moderator
Associate General Counsel
Investment Adviser Association

Ethan D. Corey
Senior Vice President & Associate General Counsel
MFS Investment Management

Michael W. Mayhew
Chairman & Principal
Integrity Research Associates

Marlon Paz
Partner
Seward & Kissel

Michael Triessl
Senior Vice President and Senior Counsel
The Capital Group

Clive Williams
Head of Equity Trading
T. Rowe Price

3:45pm

Conference Adjournment
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