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ETF Regulations Readiness Summit


April 28, 2020
AMA Conference Center | New York
#ETFRegsIEN

28

April 2020

Tuesday

Agenda

  • 7:45 AM
    Networking Breakfast
  • 8:30 AM

    Chairperson’s Opening Remarks

    Chair: TBA

  • 8:45 AM

    Imminent ETF Rule Considerations: Scope, Timeline, Conditions, and Board Perspective

    • • What is the scope of the ETF Rule’s relief?
    • • Meeting new disclosure requirements
    • • Examining key conditions:
      • • Transparency
      • • Policies and procedures for custom baskets
      • • Website disclosure
    • • Taking a closer look at the effects of the ETF Rule on the industry
    • • Will the ETF Rule lower the barrier for entry?

    Anthony V. Coletta, Jr, Associate Counsel
    THE VANGUARD GROUP, INC.

    Jessica L. Reece, Counsel
    ROPES & GRAY LLP

  • 9:15 AM

    A Step-By-Step Guide to Creating Written & Comprehensive Custom Basket Policies and Procedures

    • • Getting board approval
    • • Does the basket construction coincide with your liquidity program requirements and other policies?
    • • Parameters for custom baskets
    • • Deviating from the process
    • • Variations between creation or redemption baskets
    • • Are your custom basket procedures compliant?

    Laura E. Flores, Partner
    MORGAN, LEWIS & BOCKIUS LLP

    Anna Paglia, Head of Legal, US ETFs
    INVESCO LTD

  • 10:00 AM
    Morning Break
  • 10:15 AM

    Scrambling to Meet Technology & Website Amendments

    • • Vendor assistance and various resources to help with technology/website challenges
    • • Cutoff points for data
    • • Using proper language
    • • Working with vendors for necessary data points
    • • What data points do you need?
    • • Daily posting nuances and logistics
    • • Building time into the process for beta stage and test site

    Ryan Louvar, General Counsel
    WISDOMTREE ASSET MANAGEMENT, INC.

    Speaker TBA

  • 11:00 AM

    Panel: Active Non-Transparent ETFs Case Study: How Will You Stay Competi- tive with the Next Generation of ETFs?

    • • How are you preparing for new opportunities in the active ETF space?
    • • What does the next wave of non-transparent ETF models look like?
    • • What’s the difference between the varied approaches to semi/non- transparent ETFs?
    • • Operational and implementation best practices
    • • Meeting all regulatory constraints

    Moderator:
    Douglas Yones, Head of Exchange Traded Products
    NYSE GROUP

    Panelists:
    Simon Goulet, Co-Founder
    BLUE TRACTOR GROUP, LLC

    Daniel J. McCabe, Chief Executive Officer
    PRECIDIAN INVESTMENTS

    Edward Rosenberg, Sr Vice President, Head of ETFs
    AMERICAN CENTURY

    Anna Paglia, Head of Legal, US ETFs
    INVESCO LTD

  • 12:00 PM
    Networking Luncheon
  • 1:15 PM

    CCO Roundtable: Meeting the Challenges and Sharing the Daily Victories of Today’s CCOs

    • • CCO distinctions between small and large shops
    • • Getting board buy-in for the ETF Rule policies/procedures
    • • Daily challenges
    • • Breaking down internal silos with operations, marketing, product, compliance, and technology
    • • Adapting to various regulatory changes and industry trends
    • • Communicating and monitoring internal and external policies and procedures

    Moderator:
    TBA

    Panelists:
    Francis J. Skinner. Esq., Chief Legal Officer, Chief Compliance Officer Coastal Equities, Inc.
    OASTAL INVESTMENT ADVISORS, INC.

    Charles H. Self III, MBA, CFA, Chief Operating Officer, Chief Compliance Officer, Chief Investment Officer
    ISECTORS®, LLC

    Salvatore Faia, JD, CPA, CFE, President & CEO
    VIGILANT COMPLIANCE, LLC

    Melanie H. Zimdars, Chief Compliance Officer, Invesco Capital Management LLC & Invesco ETFs
    INVESCO

  • 2:15 PM

    Examining the Ins & Outs of the Derivative Rule Proposal: Offering Leveraged & Inversed Products

    • • How do you address leveraged products?
    • • What does it mean to be inverse and leveraged?
    • • Regulatory history on inversed and leverage products
    • • What is the interplay between the two?
    • • What are the parameters?
    • • How will you comply with the conditions?

    Eric D. Simanek, Partner
    SULLIVAN & WORCESTER LLP

    Victor Frye, Executive Director and Chief Compliance Officer
    PROSHARES

  • 3:00 PM
    Afternoon Break
  • 3:15 PM

    Ancillary Issues with the ETF Rule: Key Service Providers, Operating Concerns, Interplay for Listing Requirements, and More

    • • What is the interplay for listing requirements from the old regime to the new?
    • • Making sure your service providers are compliant
    • • Negotiated baskets policies, procedures, and capital markets partners
    • • Creation unit size considerations
    • • How active is “too active” on a daily basis?

    Mike Castino, Senior Vice President, Exchange Traded Products
    U.S. BANK GLOBAL FUND SERVICES

    Michael D. Barolsky, Vice President
    U.S. BANK GLOBAL FUND SERVICES

    Frank Koudelka, Senior Vice President & Global ETF Product Specialist
    STATE STREET GLOBAL SERVICES

  • 4:00 PM

    Beyond the ETF Rule: Additional Regulatory Updates

    • • Converting a mutual fund to an ETF: how can it happen? Will it happen?
    • • SEC no-action letter regarding index funds and diversification funds: how much of an impact will it have?
    • • What’s the latest with the pending exchange rule filings and SEC’s recent Exchange Act relief releases?
    • • What are the next set of regulatory concerns for the industry?

    Jeremy Senderowicz, Partner
    DECHERT LLP

    Additional Speaker: TBA

  • 4:30 PM

    Cocktail Reception Immediately Following


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