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See all the news from the Annual Meeting on our MEDIA page. |
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wednesday, november 7, 2007 |
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12:00 p.m. – 7:00 p.m. Registration |
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12:00 p.m. SIFMA Golf Tournament Hosted by The Wall Street Journal |
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12:00 p.m. – 1:45 p.m. Retirement & Savings Committee Meeting |
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12:00 p.m. – 2:00 p.m. Securities Industry Institute |
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2:00 p.m. – 5:00 p.m. Welcome Refreshments Hosted by ILOG |
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2:00 p.m. – 5:00 p.m. Committee Meetings (By invitation only – Closed to the Press) ·
Institutional Brokerage Firms (5:30 p.m – 7:00
p.m) · Membership · Private Client Services · State Legislation and Regulation · Trading |
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2:00 p.m. – 5:00 p.m. Industry Forums (Closed to the Press) Asset Managers Forum Strategies for Recruiting, Retaining and Motivating Staff (open to all attendees) Panelists: Marianne Brown CEO Omgeo Jean Ebbott Vice President Morgan Stanley Investment Management Judy Kukowski Vice President Morgan
Stanley Investment Management Joseph Sullivan President International Market Recruiters · Independent Firms (by invitation only) ·
Retirement & Savings Forum: The Future of Fee Disclosures (open to all attendees- 2:00 p.m – 4:00
p.m) · Technology/Operations (open to all attendees) |
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6:00 p.m. – 7:30 p.m. Evening Reception Co-Hosted by BPS and Calypso Technology |
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Dinner on your own |
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Thursday, November 8, 2007 |
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7:30 a.m. Registration |
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7:30 a.m. – 8:30 a.m. Breakfast with Speaker (Advanced sign-up
required) Hosted by Wedbush Morgan Securities |
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Tucker Carlson Political Commentator |
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As former co-host of CNN's popular debate program Crossfire and host of MSNBC's “Tucker”, Carlson is an expert on the political scene, both in our nation's capitol and outside the Beltway. In lively and informative presentations, Carlson takes audiences behind the closed doors of Washington and offers a candid, up-to-the-moment look at political and current events. He is an original voice with keen insights into the political landscape, and the agendas and personalities at play. |
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8:45 a.m. – 12:15 p.m. General Session: The Year in Review Co-Sponsored by: DST TASS, Omgeo LLC, Reuters and Swingvote, Inc. |
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Edward C. Forst Chairman Securities Industry and Financial Markets Association Global Co-Head of Investment Management Division Goldman, Sachs & Co. |
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Marc E. Lackritz – Read Speech and View Slides (pdf) Securities Industry and Financial Markets Association |
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The Future of Wealth Management |
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Sallie L. Krawcheck Chairman & Chief Executive Officer Citi Global Wealth Management Citigroup Inc. Sallie Krawcheck will share her perspective on fundamental changes in the wealth management industry and what this means for our clients and businesses. |
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A World of Possibilities |
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Craig S. Donohue Chief Executive Officer CME Group The Commodity Futures Modernization Act of
2000: An Effective Model of
Principles-Based Regulation Mr. Donohue will discuss the impact of the CFTC's market-sensitive implementation of the principles-based regulatory system enacted as part of the Commodity Futures Modernization Act of 2000. He will assess the effect of international exchange-based competition and complementarity between exchanges and the over-the-counter market. Mr. Donohue also will discuss the importance of a principles-based oversight framework versus a prescriptive rules-based approach in effecting modern regulatory policy in a globally competitive environment, and how the CFTC and CFMA can serve as a model for Congress in reforming regulation of U.S. securities markets. |
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Morning Refreshments Hosted by Quantrix |
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The Impact of Regulation on the Effectiveness and Competitiveness of the Global Capital Markets. (This session qualifies for one CLE Credit) |
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Moderator: |
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Steven W. Stone Partner Morgan Lewis & Bockius LLP |
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Panelists: |
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David G. Nason Assistant Secretary for Financial Institutions US Department of the Treasury |
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Hal S. Scott Professor of International Financial Systems Harvard Law School |
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Erik R. Sirri Director, Market Regulation U.S. Securities and Exchange Commission |
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This panel will explore the issues and concerns related to the competitiveness of capital markets in an increasing fluid global marketplace, including the effectiveness of the US financial services regulatory regime and the impact of private securities litigation. |
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The Consolidation and Evolution of Exchanges |
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John A. Thain Chief Executive Officer NYSE Euronext Mr. Thain will discuss the evolution of exchanges, as seen through their continuing consolidation, both nationally and globally, along with the diversification of asset classes and globalization of competition for listings. |
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12:30 p.m. – 2:00 p.m. Lunch with Speaker (Advanced sign-up required) Co-Hosted by 50below and NewRiver, Inc. From Wall Street to the Great Wall |
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Burton G. Malkiel Chemical Bank
Chairman’s Professorship Professor of
Economics Princeton University |
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Author of the widely read investment book, A Random Walk Down Wall Street, his latest book, From Wall Street to the Great Wall: How Investors Can Profit from China’s Booming Economy, is set to release, December 2007. Professor Malkiel will provide insight into his prediction that China will likely be the fastest-growing economy in the world over the next decade. He will highlight investment opportunities in China and his strategies involving direct and indirect investments for the best risk/reward ratio to benefit from China's growth. |
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Afternoon Refreshments |
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2:15 p.m. – 4:00 p.m. Business Unit Breakout Sessions (Advanced sign-up required – Closed to the Press) We invite you to attend one of the following three Business Unit Sessions. These sessions will focus on current issues within the Capital Markets, Asset Management and Private Client business lines. I. Asset Management Buy Side Assessment of Critical Factors Currently Affecting the Pricing of Fixed-Income Securities, Including SIVs, CP and MBS Moderator: Cynthia Meyn Managing Director Morgan Stanley Investment Management Panelists: Barry P. Barbash Partner Willkie Farr & Gallagher LLP Director, Product Development Markit Group Steven J. Manson, Ph.D. Vice President Franklin Templeton Mas Nakachi Director, Credit Derivatives Calypso Technology Speakers will discuss workable methods and services for pricing fixed-income securities, including SIVs, CP and MBS. Further, from a practical standpoint, the panel listed below will elaborate on how portfolio managers and vendors develop products that enable market participants to value asset-backed securities even during periods such as those recently experienced in the subprime mortgage and credit markets. Valuing Securities: What Lies Ahead. This same panel will then turn to a consideration of the pricing policy issues that asset management firms expect to address in 2008. Speakers will weigh the pros and cons of a buy side industry initiative concerning FI and structured securities pricing standards. They will also evaluate the status of any relevant recommendations (such as the proposed M-LEC plan) designed to help achieve more orderly markets in asset-backed commercial paper. II. Capital Markets a.) The State of the Market Place Richard Bookstaber Author Hear Richard Bookstaber, the author of A Demon of Our Own Design, and a risk manager to some of the leading firms on Wall Street, talk about the latest developments in leveraged markets, complex products, regulatory oversight, and their interrelationship. Mr. Bookstaber also will identify key areas that make markets vulnerable: liquidity that begets greater leverage; innovation that creates greater complexity; and a structure that demands a nonhuman level of rationality. b.) The Next Five Years This panel of industry experts will explore the dynamic changes transpiring in today’s capital markets relating to the convergence of electronic trading, markets and products. Moderator: Brett W. Redfearn Senior Managing Director Bear Stearns & Co. Panelists: Thomas V. Conigliaro Managing Director, Equity Products Group Goldman Sachs Group, Inc. Gavin Wells Managing Director FX E-Commerce Citigroup III. Private Client a) Retirement and Savings Moderator Richard Boyd Senior Vice President Federated Investors Panelists Christina M. Cleveland, CFP Wealth Management Advisor First Vice President Merrill Lynch & Co. Inc. Financial Advisor Edward Jones Richard Franchella Senior Managing Director Private Client Group RBC Dain Rauscher With the explosive growth of the retirement population, our firms need to be well positioned to provide today's -- and tomorrow's-- retirees with a wide range of financial services and advice. Our panel of experienced practitioners will discuss innovative services they provide to, and which are requested by, this growing part of their client base. They will also address some of the support provided by their firms that helps them deliver effective service to their clients. b) The Future of Advice
and Wealth Management Presenter: Charles ("Chip") Roame Managing Principal Tiburon Strategic Advisors Chip Roame will address the future of advice & wealth management, starting with factual understanding both the $50 trillion in US consumer wealth and the facts behind the rapidly shifting patterns in both product and channel usage. Furthermore, Chip will wrap up by sharing Tiburon's vision of the future using Tiburon's research to explain the sustainable industry trends. |
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4:15 p.m. – 5:30 p.m. Private Client Steering Committee Meeting (Open to Committee Members Only) |
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4:15 p.m. – 5:30 p.m. AMG Steering Committee Briefing and Reception (Open to Committee Members Only) |
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4:15 p.m. – 5:30 p.m. Committee Meetings (Open to Committee Members Only – Closed to the
Press) · Operations Committee · Regional Dealers Fixed Income Roundtable (until 6:15 p.m.) |
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6:00 p.m. – 7:30 p.m. Reception Co-Hosted by Deloitte
& Touche USA LLP, Federated
Securities Corporation and SunGard |
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7:30 p.m. Dinner (Advanced sign-up required.) Co-Hosted by Broadridge Financial Solutions, Inc., Dow Jones, KPMG LLP and PriceMetrix Inc. |
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Featured Entertainment Hootie and the Blowfish Two time Grammy Award Winning Band Co-Hosted by ACT Litigation Services, Inc., Capco, Comprehensive Software Systems, The NASDAQ Stock Market, PFPC, Success Metrics, Inc. and Thomson Financial |
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friday, november 9, 2007 |
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7:00 a.m. – 9:00 a.m. Asset Management Group Steering Committee Meeting (Open to Committee Members Only) |
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8:00 a.m. – 9:00 a.m. Continental Breakfast Hosted by Pivotal CRM |
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9:00 a.m. – 11:30 a.m. General Session Co-Sponsored by DST TASS, NICE Systems Ltd., Omgeo LLC, Reuters, Swingvote, Inc. |
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Blythe S. Masters 2008 Chairman Securities Industry and Financial Markets Association Head of Global Commodities J.P. Morgan Chase & Co. |
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Reflections of a Commissioner |
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Annette L. Nazareth Commissioner U.S. Securities and Exchange Commission Commissioner Annette Nazareth will discuss her views on a number of current issues affecting the securities industry. |
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FINRA: A New Era in Self-Regulation |
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Mary L. Schapiro Chief Executive Officer Financial Industry Regulatory Authority Mary Schapiro will
highlight FINRA’s role in shaping the future of self-regulation as the
largest non-governmental regulator for the securities industry and will
discuss how the consolidation of NASD and NYSE Regulation into a single
regulatory body will better prepare regulators and the industry for today’s
fast-paced and complex global economy. She will talk about efforts currently
under way at FINRA as well as what firms can expect in the future. |
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Is the Growth of Hedge Funds a Danger to Financial Markets and Economies? |
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Dinakar Singh Chief Executive Officer TPG-Axon Capital Management |
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We Wish To Thank The Following Sponsors: |
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· Press Room Equipment, November 8th by Fidelity ActionsXchange · Press Room Catering, November 9th by IBM · Event Menu Cards & Room Décor for Closing Dinner: by National Financial, a Fidelity Investments Company · Tote Bags by Pershing LLC · Conference Contributors Office Shadow, PAETEC Communications Inc., Quodd Financial Information Services, Telecontinuity, Inc. · Attendee Notebooks by Bernard L. Madoff Investment Securities · Hotel Room Key Cards by First Clearing Correspondent Services · Lanyards by BearingPoint · Press Room Catering, November 7th by Standard & Poor’s ·
Press Room Equipment, November 7th by CapitalRock ·
Press Room Catering, November 8th by Knight Capital Group, Inc. |
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SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the state of New York. Parts of this program have been approved for CLE credits. Fee reduction may be available for qualified registrants. |
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If you are interested in attending an Industry Forum,
please contact Lisette Rios at LRios@sifma.org All program content is subject to change. Special Note: Presentations, findings and opinions by
speakers, sponsors, and their representatives do not constitute the express
or implied endorsement by SIFMA of any product, service, presentation or
technology; nor does SIFMA take responsibility for any content and subject
matter supplied. |
