Overview

It is with great disappointment that SIFMA must advise you that the Securities Industry Institute and its Graduate Program has been canceled.

For 69 years, SIFMA and The Wharton School at the University of Pennsylvania have partnered to develop the industry’s rising leaders. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the Institute this year. This is due primarily to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our participants, sponsors and faculty to attend the program, as well as public health and travel advisories, difficulties with domestic air travel, and other recent events related to the spread of the novel coronavirus COVID-19.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within the next 30 days. You do not need to contact SIFMA for this refund. If you booked a hotel room at one of the SII sponsored hotels, the SIFMA events team will take care of the reservation cancellation.  Please contact other travel providers as needed to cancel other arrangements.

We appreciate your understanding and support.

About the SII Graduate Program

Return to Wharton to learn from the professors you enjoyed, attend newly offered courses and network with fellow Alumni and current students. The SII Graduate Program is designed to broaden perspectives, increase job effectiveness and leadership capacity, and strengthen management and leadership skills.

Registration is available on a first come, first served basis: register today before space sells out.

SII Graduate Program

Date

March 11 - March 13, 2020

Location

Philadelphia, PA

Hosted by

SIFMA and Wharton

Overview

It is with great disappointment that SIFMA must advise you that the Securities Industry Institute and its Graduate Program has been canceled.

For 69 years, SIFMA and The Wharton School at the University of Pennsylvania have partnered to develop the industry’s rising leaders. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the Institute this year. This is due primarily to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our participants, sponsors and faculty to attend the program, as well as public health and travel advisories, difficulties with domestic air travel, and other recent events related to the spread of the novel coronavirus COVID-19.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within the next 30 days. You do not need to contact SIFMA for this refund. If you booked a hotel room at one of the SII sponsored hotels, the SIFMA events team will take care of the reservation cancellation.  Please contact other travel providers as needed to cancel other arrangements.

We appreciate your understanding and support.

About the SII Graduate Program

Return to Wharton to learn from the professors you enjoyed, attend newly offered courses and network with fellow Alumni and current students. The SII Graduate Program is designed to broaden perspectives, increase job effectiveness and leadership capacity, and strengthen management and leadership skills.

Registration is available on a first come, first served basis: register today before space sells out.

Program

12:15pm – 1:15pm

Graduate Networking Lunch with SII Trustees and faculty.

Graduate Networking Lunch with SII Trustees and faculty.

1:30pm – 4:50pm

For those who have previously taken Blue Ocean, you will have the opportunity to choose from a list of SII electives from the 2020 general program. In today’s…

For those who have previously taken Blue Ocean, you will have the opportunity to choose from a list of SII electives from the 2020 general program.

In today’s economic climate, most organizations compete in red oceans, stained by the blood of competition. We fight for market share, try to maintain prices, and execute more efficiently than others.  Blue Ocean Strategy suggests an alternative. It urges us to explore how we can make our value offering so distinctive that we find the blue waters of new, uncontested market space… and make the competition irrelevant. It offers a systematic approach to creating that new market space.  In this workshop, we will introduce the Blue Ocean methodology, and teams will work to map a creative, visual exploration of new market opportunities against current industry realities.  Tools covered will include the Pioneer-Migrator-Settler Map, The Strategy Canvas, The Buyer Experience Cycle, and The Six Paths for Exploring new market space.

Learning Objectives:

  • Understand the Blue Ocean Strategy framework, and the core tools associated with it.
  • Develop a deeper customer-centric view of the industry and its offerings.
  • Identify obstacles to strategic innovation.

 

Participants

Roch Parayre

Speaker

Roch Parayre

Founder and CEO

Strategique

Roch Parayre’s Biography

7:15am – 8:15am

Breakfast will be served at SII hotel property.

Breakfast will be served at SII hotel property.

8:45am – 12:05pm

(This class will require pre-work to be completed prior to the participants’ arrival.) This workshop will help strengthen your influence and persuasion skills.  You need these skills to win support…

(This class will require pre-work to be completed prior to the participants’ arrival.)

This workshop will help strengthen your influence and persuasion skills.  You need these skills to win support for important initiatives, achieve organizational alignment, and implement strategies. Through a series of interactive discussions and role-plays, you will answer four key questions in this workshop: What are the steps that led to buy-in?  What is your communication style and how do you use to engage stakeholders?  How do you make your ideas simple and compelling? How do you generate lasting commitment? The workshop content is drawn from the book The Art of Woo: Using Strategic Persuasion to Sell Your Ideas (Portfolio/Penguin), co-authored by G. Richard Shell and Mario Moussa.

Learning Objectives:

  • Learn about the different channels of influence and how to use them effectively.
  • Optimize each message so it appeals directly to your counterpart’s style and interests.
  • Assess your progress on real problems you bring to the workshop and positions yourself to see immediate results.
  • Map the political landscape of your organization to see where the landmines are buried and where your allies can help you.
  • Experience enhanced self-awareness, including emotional intelligence.
  • Enhance the ability to assemble winning coalitions.

Participants will be asked to complete a survey and to read a chapter of “The Art of Woo” prior to attending this session.

Participants

Mario Moussa

Speaker

12:15pm – 1:15pm

Participants

Paul Tiffany

Speaker

Paul Tiffany

Senior Lecturer

Haas School of Business, University of California, Berkeley

Paul Tiffany’s Biography

1:30pm – 3:00pm

Continuing with the redesign of the SII ethics curriculum in 2017, Peter Conti-Brown and SII launched an ethics survey this year in order to deepen our understanding of how firms…

Continuing with the redesign of the SII ethics curriculum in 2017, Peter Conti-Brown and SII launched an ethics survey this year in order to deepen our understanding of how firms engage with each other in the marketplace around core questions of ethics and culture. Using data from the survey, this session will focus on the “hard questions” where people in good faith disagree on what constitutes ethical behavior. Peter will dive into a specific set of discussions so that graduate participants will leave with not only a framework for evaluating hard questions but also some insight into how other firms/executives handle specific situations.

 

Participants

Peter Conti-Brown

Speaker

Peter Conti-Brown

Assistant Professor, Department of Legal Studies and Business Ethics

The Wharton School

Peter Conti-Brown’s Biography

3:20pm – 4:50pm

On Monday March 9, this remarkable bull market will turn 11 years old, one of the longest and most durable in history.  Is it on its last legs, or does…

On Monday March 9, this remarkable bull market will turn 11 years old, one of the longest and most durable in history.  Is it on its last legs, or does it have much further to run?  Professor Robert Shiller of Yale University, author of Irrational Exuberance and Nobel Prize winner will face off in a classic bull-bear debate against our own Jeremy Siegel, author of Stocks for the Long Run, to assess the prospects for the economy and market.

Participants

Robert Shiller, Jeremy Siegel

Speakers

Robert Shiller

Sterling Professor of Economics

Yale University

Professor of Finance

Yale School of Management

Robert Shiller’s Biography

Jeremy Siegel

Russell E. Palmer Professor of Finance

The Wharton School

Jeremy Siegel’s Biography

7:00pm – 9:00pm

Join SII 2020 participants for a night of networking at the National Constitution Center. Featured exhibit - Civil War & Reconstruction

Join SII 2020 participants for a night of networking at the National Constitution Center.

Featured exhibit – Civil War & Reconstruction

7:45am – 8:30am

Breakfast will be served in the Regents Ballroom at the Inn at Penn.

Breakfast will be served in the Regents Ballroom at the Inn at Penn.

8:45am – 10:00am

CFP®, CIMA®, CPWA®, CIMC®, and RMA℠ Eligible The 2020 election is poised to mark an inflection point in our country's future. The parties offer starkly different views on issues that will…

CFP®, CIMA®, CPWA®, CIMC®, and RMA℠ Eligible

The 2020 election is poised to mark an inflection point in our country’s future. The parties offer starkly different views on issues that will define American policy for years to come. The economy is paramount, but many of the country’s most contentious issues will be on the table, including trade, healthcare, taxation, fiscal policy, foreign relations, infrastructure, immigration, individual rights, and others.

In addition to these substantive issues, the election could act as a referendum on the incumbent’s personality and performance. The House impeachment inquiry only adds to that
dynamic.

Although the election run-up will overhang the upcoming year’s events, Washington still must address the country’s business. Congress will seek to fund the federal agencies; continue
oversight of companies in the technology, financial services, and other sectors; and pass legislation expanding the ability of workers to save for retirement. At the same time, the
president will continue to pursue a trade policy of imposing tariffs and negotiating favorable trade agreements.

Jeff Bush’s 2020 presentation addresses all of these issues. He shares his insights on theupcoming election, from the Democratic primaries and nomination through the election of the
president, House, and Senate in November. His discussion provides a unique analysis of the factors likely to influence the result and the markets’ reaction. His presentation also delves into the market effects of the House impeachment inquiry. Finally, he analyzes and predicts the outcomes and consequences of substantive matters – such as trade – that Congress and the
president are likely to undertake in the coming year.

In addition to these insights, his presentation provides strategies that investors and financial advisors can consider to take advantage of (or protect against) market effects and volatility
arising from Washington initiatives and the road to the election, as well as specific strategies for investment, wealth transfer, and retirement planning.

Participants

Jeff Bush

10:00am – 11:00am

The Power of Intuition and why Soulset™ is the new Mindset.  In this conversation, Philip will explore the difference between Talent and Gift and how this affects our ability to…

The Power of Intuition and why Soulset™ is the new Mindset.  In this conversation, Philip will explore the difference between Talent and Gift and how this affects our ability to impact the world. He will help the audience understand, uncover and unleash their gift on the world.

Participants

Philip McKernan

Speaker

Philip McKernan

Inspirational Speaker, Writer & Filmmaker

Philip McKernan Company

Philip McKernan’s Biography

11:30am – 1:30pm

(Re)align your Life for more Meaning.  Developed from working with the U.S. Military, Olympic Athletes, and Entrepreneurs, Philip will do a dive deep on the identity crisis facing so many…

(Re)align your Life for more Meaning.  Developed from working with the U.S. Military, Olympic Athletes, and Entrepreneurs, Philip will do a dive deep on the identity crisis facing so many people today. Philip will help the audience to get clear where they are misaligned, understand where to pivot or transition, so they experience more meaning in their lives.

Participants

Philip McKernan

Speaker

Philip McKernan

Inspirational Speaker, Writer & Filmmaker

Philip McKernan Company

Philip McKernan’s Biography

1:30pm – 2:30pm

Lunch will be served following The Authenticity Code session with Philip McKernan.

Lunch will be served following The Authenticity Code session with Philip McKernan.

Venue

Wharton School of the University of Pennsylvania

3620 Locust Walk
Philadelphia, PA 19104

Picture of venue

Hotel Accommodations

 If you booked a hotel room at one of the SII sponsored hotels, the SIFMA events team will take care of the reservation cancellation.  Please contact other travel providers as needed to cancel other arrangements.

Terms and Condition

Code of Conduct

SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.