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SPA AutumnExpo Conference, October 2011

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SPA Structured Products
Distribution Summit
New York Hilton
Tuesday, October 25, 2011

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                                                                          © 2011 Morrison & Foerster LLP
    SPA Structured Products Distribution Summit
             New York Hilton ::: Tuesday, October 25, 2011
8:00 -- 9:00 AM                                •   Tim Stoddart, Capital Investment Marketing
REGISTRATION - BREAKFAST
                                               12:30 - 1:45 PM - LUNCH
9:00 - 9:30 AM
THE YEAR TO DATE:                              1:45 - 2:30 PM
Trends, Developments and Challenges            WHOLESALE DISTRIBUTION OF
•   Alec Papazian, Cerulli Associates          STRUCTURED PRODUCTS -
•   Emma Trincal, Prospect News                Achieving Full Potential of Mainstreaming
•   Srikant Dash, S&P Indices                  •   James Fisk, Newbridge
•   Brian Formento, UBS Wealth Management      •   Joe Castelluccio, PrinceRidge
                                               •   Samson Koo, Advisors Asset Management
9:30-10:10 AM                                  •   Scott Greenwood, JVB
BROKER-DEALERS -- The Current State of
Distribution from the Front Lines              2:30 -- 3:15 PM
•   Dayna Kleiman, RW Baird                    INTERNATIONAL PERSPECTIVES AND NEW
•   Guy Gregoire, Pershing                     STRATEGIES
•   Joe Castelluccio, PrinceRidge              •   Gary Nathanson, Barclays Capital
•   Krizan Peros, E*TRADE                      •   Bernd Henseler, S&P Indices
•   Rick Cabanes, Hapoalim Securities          •   Tim Andrews, Scotiabank

10:10 - 10:50 AM                               3:15 -- 3:30 PM - AFTERNOON BREAK
INSTITUTIONAL/FUNDS: Developments in
ETFs, Funds, Asset Management                  3:30 - 4:15 PM
•   Jason Ungar, Guggenheim                    LEGAL-COMPLIANCE-REGULATORY:
•   Lisa Meyer, Rydex/SGI                      Enhanced Scrutiny for a Growing Market
•   Solomon Teller, ProShares                  •   Anna Pinedo, Morrison & Foerster
•   Will Rhind, ETF Securities                 •   Brad Busscher, Incapital
                                               •   Remmelt Reigersman, Morrison & Foerster
10:50 - 11:05 AM                               •   Timothy McKenna, NERA
MORNING NETWORKING BREAK
                                               4:15 - 5:00 PM
11:05 - 11:45 AM                               FIDUCIARIES ROUNDTABLE: Brave New World
SOLUTIONS: Assessing the Challenges of the     of Opportunities & Challenges
Rapidly Growing Industry                       •   David Armstrong, LPL/Monument Advisors
•   Eric Greschner, Regatta Research & Money   •   Eric Greschner, Regatta Research & Money
    Management                                     Management
•   Jim Jockle, Numerix                        •   Jim Powell, Wells Fargo Advisors
•   Kevin Samborn, Sapient                     •   Tim Mortimer, StructuredEdge.com
•   Tim Mortimer, Future Value Consultants
                                               5:00 - 5:30 PM
11:45 AM - 12:30 PM                            THE CRYSTAL BALL: Distribution of Structured
THE POTENTIAL OF THE RETAIL BANK               Products - 2012 and Beyond
CHANNEL: High Growth Opportunities             •   Deryk Rhodes, Incapital
•   Howard Hammond, Fifth-Third Bank           •   Glenn Lotenberg, Incapital
•   Marc Vosen, Keybanc Investments
•   Mike Millard, Citizens Bank                5:30 - 7:00 PM -- COCKTAIL RECEPTION
•   Paul Werlin, Bank-BD Analytics
                                        Speaker Profiles
         SPA Structured Products Distribution Summit 2011
A. BRAD BUSSCHER
INCAPITAL LLC                                             ANNA PINEDO
     Brad Busscher is General Counsel of Incapital        MORRISON & FOERSTER
LLC. In connection with his role at Incapital, the            Anna Pinedo has concentrated her practice on
                         firm’s Chief Compliance          securities and derivatives. She represents issuers,
                         Officer reports into him. He     investment banks/financial intermediaries, and
                         also serves on the firm’s        investors in financing transactions, including public
                         Executive and Management                                offerings and private
                         Committees.                                             placements of equity and debt
                            Prior to joining Incapital,                          securities, as well as
                         Brad served as Executive Vice                           structured notes and other
                         President, Senior Managing                              structured products.
Director and General Counsel of Mesirow Financial,                                   Ms. Pinedo works closely
a diversified financial services firm headquartered                              with financial institutions to
in Chicago. With over 1,100 employees, Mesirow                                   create and structure
Financial engages in a wide array of financial                                   innovative financing
services including retail and institutional securities                           techniques, including new
brokerage, trading, clearing, investment banking,                                securities distribution
public finance, traditional and non-traditional asset                            methodologies and financial
management (including private equity and hedge            products. Ms. Pinedo has particular financing
fund-of-funds products), insurance brokerage, real        expertise in certain industries, including working
estate development and consulting services, and           with technology-based companies,
offers financial consulting services including            telecommunications companies, healthcare
litigation support, interim management capabilities       companies, financial institutions, REITs and
and advisory services to bankrupt entities and            consumer finance companies. Ms. Pinedo has
creditors thereof.                                        worked closely with foreign private issuers in their
      In addition to his employment at Mesirow            securities offerings in the United States and in the
Financial, Brad was a Senior Vice President at Van        Euro markets. She also has worked with financial
Kampen Investments, a unit of Morgan Stanley,             institutions in connection with international offerings
where he was responsible for coordinating all             of equity and debt securities, equity- and credit-
regulatory requests and examinations and he               linked notes, and hybrid and structured products,
managed a team of compliance professionals                as well as medium-term note and commercial
responsible for reviewing all marketing and               paper programs.
advertising materials. Brad was also employed as a            In the derivatives area, Ms. Pinedo counsels a
Senior Vice President at EVEREN Securities where          number of major financial institutions acting as
arbitrated numerous customer disputes and                 dealers and participants in the commodities and
ultimately had responsibility for managing the firm’s     derivatives markets. Ms. Pinedo advises on
material litigation and regulatory matters.               structuring issues, as well as on regulatory issues,
      Following graduation from law school, Brad was      monetization, and hedging techniques. Her work
a litigation associate at a Miami-based law firm and      focuses on foreign exchanges, equity and credit
then spent four (4) years with the Enforcement            derivatives products, and structured derivatives
Division of the U.S. Securities & Exchange                transactions. Ms. Pinedo has experience with a
Commission where he served as Chief, Branch of            wide range of transactions and structures, including
Enforcement and was responsible for managing a            collars, swaps, forward and accelerated
team of enforcement attorneys.                            repurchases, forward sales, hybrid preferred stock,
      Brad holds a BA degree from Cornell                 equity- and credit-linked notes, and off-balance
University, a JD degree from the University of            sheet structures. Ms. Pinedo also has advised
Miami and a MBA degree in finance from the                derivatives dealers regarding their Internet sites
University of Chicago.
and other Internet and electronic signature/delivery   both strategic and tactical asset allocations and
issues. Ms. Pinedo has been included in Best           investment strategies utilizing all asset classes. He
Lawyers in America, Crain's New York Business          is a senior member of the Portfolio Advisory Group
"Forty Under 40" and in Investment Dealer's Digest     covering the Northeast region with $19.2 Billion in
"Forty Under 40" and Hispanic Business's "100          client assets.
Most Influential Hispanics." Ms. Pinedo has been           Before joining UBS in July 2006, Brian was a
ranked by Chambers USA as one of America's             Managing Director and senior investment
leading capital markets–derivatives lawyers and by     consultant for structured products and alternatives
Chambers Global as one of the world's leading          at Deutsche Bank Private Wealth Management.
lawyers (recommended in capital markets–               Previously, he has held senior positions in various
derivatives).                                          private investment advisory firms and was a senior
                                                       vice president, head of proprietary fixed income
BERND HENSELER                                         trading and desk head of the primary dealer at
                                                       Paribas Capital Markets, now BNP Paribas. He was
S&P INDICES                                            also a member of Paribas' Executive Risk
    Bernd Henseler, vice president at S&P Indices,     Committee and involved in the firms strategic
oversees the channel management efforts for            planning. He began his career at Merrill Lynch,
                           structured products         where he held key trading positions primarily in
                           globally.                   derivative products
                              Prior to joining S&P         Brian graduated magna cum laude with a B.A.
                           Indices, Bernd served as    and M.A. in Economics from Boston University and
                           vice president at an        is the chair of the Economic Department's Board of
                           independent asset           Advisors for the undergraduate college and
                           manager in Toronto.         graduate school. Brian, a Chartered Alternative
                           Before that, Bernd was an   Investment Analyst (CAIA) is also a member of the
                           executive director for      Structured Products Association (SPA) as well as
                           Morgan Stanley, London.     the Professional Risk Managers' International
                           At Morgan Stanley, he       Association (PRIMA). He currently holds the
                           worked in the retail        following registrations; 7,24,3,63,66,55, and Life
structured products group where he was                 and Health Insurance.
responsible for setting up a structured products
platform and developing investment solutions for
private clients. Prior to Morgan Stanley, Bernd was    DAVID B. ARMSTRONG
a vice president for the equity structured products    MONUMENT WEALTH MANAGEMENT
platform at Deutsche Bank in Frankfurt and                David B. Armstrong, CFA is the lead investment
London. He also worked as vice president at Sal.       strategist at Monument Wealth Management, as
Oppenheim in Frankfurt in the equity derivatives                            well as a co-founder of the
department, where he was responsible for                                    firm. David has been named
developing solutions for private and corporate                              among Registered Rep’s Top
clients and extending the structured products                               100 Independent Advisors in
offerings.                                                                  the United States in 2009 and
    Bernd is a CFA charter holder. He holds a                               2010 (based on assets under
master’s degree in business administration from                             management). In 2010,
Indiana University of Pennsylvania and a Diplom                             Armstrong was selected
Kaufmann degree in business administration and                              among 5 Financial Advisors
finance from Gerhard-Mercator University in                                 nationally to make weekly
Duisburg.                                                                   contributions to the U.S.
                                                                            News & World Report Blog,
BRIAN W. FORMENTO                                      “The Smarter Investor,” and was recently profiled in
UBS WEALTH MANAGEMENT                                  Research Magazine, “The Social Networker” in
                                                       April 2011 and Financial Planning Magazine, “How
   Brian is responsible for articulating and
                                                       to Embrace Social Media and Stay Compliant” in
delivering comprehensive, research-driven asset
                                                       January 2011. David previously worked at
allocation and portfolio strategy advice to our
                                                       Donaldson, Lufkin & Jenrette, Credit Suisse First
Private Wealth Advisors and their ultra high net
                                                       Boston and Merrill Lynch and is a Major in the
worth clients. He conducts detailed portfolio review
                                                       United States Marine Corps Reserves.
sessions with private clients to help them develop
                             Future Value Consultants



  Delivering expertise and transparency
           in financial markets




Structured product reporting              Independent valuation service
through our Structured Edge platform                     for complex and
  covering markets across the world                     vanilla derivatives

        Pricing analytics                          NAV calculations
 combining accuracy and ease of use           serving the hedge fund industry

 Index calculation business                     Consultancy services
    covering all types of standard          using our knowledge and experience
       and algorithmic indices                     in structured products




                            www.futurevc.co.uk • www.structurededge.com
                                       Telephone: +44 (0) 20 3384 1450
                                                 Email: fvc@futurevc.co.uk
   Security, advisory & asset management services      SEC Registered RIA with five offices across the
offered through LPL Financial, a Registered            country.
Investment Advisor. Member FINRA/SIPC.                    He is co-author of the upcoming book Win in
                                                       Any Market: How to Build and Keep a Fortune
                                                       Using Structured Products in Up, Sideways, and
DAYNA M. KLEINMAN
                                                       Down Markets and was listed in Forbes as one of
ROBERT W. BAIRD & CO.                                  the "Top 10 Leading Wealth Managers in the
   Dayna Kleinman joined Baird in 2002 and has         United States.” He is frequently interviewed in
18+ years of experience in the financial services      CNN, Fox, Money Magazine, Wall Street Journal,
                         industry. She covers          Bloomberg, and Structured Products Daily.
                         multiple products in the
                         Alternative Investment
                         space, such as Structured
                                                       GARY NATHANSON
                         Products, Managed             BARCLAYS CAPITAL
                         Futures, Private Equity and     Gary Nathanson is a Director and Head of Latin
                         Hedging Strategies among      America Investor Solutions at Barclays Capital.
                         others.                                              Based in New York, Mr.
                            Prior to joining Baird,                           Nathanson is responsible
                         Dayna was the Regional                               for the firm’s distribution of
                         Manager for Municipal                                cross asset structured
                         Bond Marketing at Merrill                            products and OTC
Lynch. Initially, Dayna was involved in the                                   derivatives into Latin
marketing and product development for the Fixed                               America.
Income department at Baird, working with the                                     Mr. Nathanson joined
traders and research; providing both account                                  Barclays Capital in 2008
reviews and portfolio proposals. Currently, Dayna                             from Lehman Brothers,
oversees the various aspects of Baird’s Alternative                           where he focused on
platform including product development, education,                            equity, funds and
marketing and due diligence.                           commodity structured products sales into the US
   Dayna is also a member of Baird’s “Women’s          and Latin America.
Associate Resource Group” steering committee.            Mr. Nathanson received a Bachelor of Business
   Dayna earned a Bachelor of Science degree           Administration degree from Goizueta Business
from Ithaca College, and a Masters degree in           School at Emory University.
Business Administration from DePaul University.
She holds the FINRA Series 7, 63, 66, 53, 3, 31
                                                       GLENN LOTENBERG
and 24 licenses.
                                                       INCAPITAL LLC
                                                          Glenn Lotenberg is Managing Director with
ERIC A. GRESCHNER, J.D.                                Incapital LLC's Structured Investments Group.
REGATTA RESEARCH & MONEY                                                         Incapital is a global
MANAGEMENT, LLC                                                                  distributor of structured and
                                                                                 fixed income products.
   Eric A. Greschner, J.D., is a national trainer
                                                                                    Mr. Lotenberg is
specializing in structured products at
                                                                                 responsible for the
                                 YourFinancialCoac
                                                                                 distribution of structured
                                 hes.com, which
                                                                                 retail products globally
                                 provides live and
                                                                                 across all asset classes:
                                 online training,
                                                                                 single stocks, indices,
                                 testing, continuing
                                                                                 commodities, foreign
                                 education, and
                                                                                 exchange, credit, fixed
                                 certification for
                                                                                 income and inflation. The
                                 financial
                                                       Incapital team is on track to distribute more
                                 professionals
                                                       than three billion dollars of structured notes & CDs
throughout the U.S.
                                                       into the U.S. retail market this year.
   He is also a portfolio manager at Regatta
                                                          Glenn joined Incapital in February 2007 with
Research & Money Management, LLC a fee-only
                                                       more than ten years of professional experience.
                                                       Prior to joining Incapital, he worked for six years at
CIBC World Markets in the equity and commodity           degree in Statistics and Mathematics from FSU,
structured products marketing group and also as a        with a minor in Accounting.
trading assistant. Previously, Glenn was at Bear
Stearns where he was an analyst in the equity
derivative middle office. He also held several           JAMES JOCKLE
positions in the bank's derivative group in New          NUMERIX
York.                                                       James Jockle leads the company’s global
   Glenn has recently contributed to Structured          marketing efforts, spanning a diverse set of
Products Magazine, mtn-i, Bloomberg, Prospect            solutions and audiences. He oversees integrated
News, and StructuredRetailProducts.com.                  marketing communications to customers in the
   Mr. Lotenberg received a bachelor of Business         largest global financial markets and to the Numerix
Administration from Hofstra University.                  partner network through the company's branding,
                                                         electronic marketing, research, events, public
GUY GREGOIRE                                             relations, advertising and relationship marketing.
                                                            Prior to joining Numerix, he served as Managing
PERSHING                                                 Director of Global Marketing and Communications
   Guy Gregoire is a Director for Pershing, a BNY        for Fitch Ratings. During his tenure at Fitch, Mr.
Mellon company, in the Fixed Income Trading              Jockle built the firm’s public relations program,
department, where he is responsible for the firm’s       oversaw investor relations and led marketing and
syndicate business, including structured products,       communications plans for several acquisitions. He
unit investment trusts (UITs) and closed end funds.      also oversaw the brand development of a new
Mr. Gregoire has an extensive fixed income               company dedicated to the enhancement of credit
background across the yield curve and credit             derivative and structured-credit ratings, products
spectrum. Prior to joining Pershing, he worked for       and services. Prior to Fitch, Mr. Jockle was a
Lehman Brothers in the Investment Banking                member of the communications team at Moody's
division, before moving to the Fixed Income Sales        Investors Service.
and Trading division. Mr. Gregoire earned a
Bachelor of Science degree in Economics, with
honors, from Yale College.                               JASON UNGAR
                                                         GUGGENHEIM PARTNERS, LLC
JAMES FISK                                                                              Mr. Ungar is the
NEWBRIDGE SECURITIES                                                                 product specialist for
   James Fisk joined the Newbridge Fixed Income                                      equity strategies for
Advisory Group in 2006. In his 24 year career, Mr.                                   Guggenheim Partners,
                                  Fisk has worked at                                 LLC. He has a wealth of
                                  Westcap                                            experience in designing
                                  Securities, Dean                                   and marketing derivative
                                  Witter, GMS, and                                   based investment
                                  Suncoast Capital                                   strategies, and he is the
                                  Group. In 2001, he                                 author of numerous
                                  was one of the                                     papers and articles on
                                  founders of JVB                                    index option overwriting
                                  Financial Group.       programs. In his most recent role, he was the
                                  Since 1985, Mr.        Director of Marketing and Head of Product
Fisk has been consulting with institutional clientele,   Development for Gresham Investment
including banks, credit unions, municipalities,          Management LLC, a New York based institutional
insurance companies, and money managers. He              asset management firm. Prior, Mr. Ungar was a
holds the following securities licenses from FINRA:      Director at Ansbacher Investment Management
Series 7, 24, 63, 27 (FINOP), and 53 (MUNI).             Inc., where he specialized in the development and
   Mr. Fisk specializes in the trends and intrinsic      implementation of equity volatility strategies for
value interpretation of fixed income products, such      institutional and high net worth clients. He was also
as Treasuries, Agencies, CDs, Mortgage Backed            a Partner at Apogee Capital, LLC. He is Series 66
Securities, CMOs, and Structured Products. Mr.           and 3 licensed. Mr. Ungar received a BA in
Fisk attended both Auburn University and Florida         Philosophy with a minor in Mathematics from St.
State University, where he was a member of the           John’s College, Annapolis, MD.
cross country and track & field teams. He has a
JOSEPH CASTELLUCCIO                                         Numerix Models with partners such as
                                                            Bloomberg, and leading systems vendors including
PRINCERIDGE GROUP LLC                                       Summit, Murex, Calypso, Thomson
   Mr. Castelluccio has over 35 years of Wall Street        Reuters, Sungard, Acumen, and Algorithmics.
experience. Currently he is Managing Director, at               Throughout his career Samborn has worked
The PrinceRidge Group . As Product Manager of               with various financial institutions including
the Structured Products team, Mr. Castelluccio              LCH.Clearnet, The US Treasury, NYSE Euronext,
specializes in bonds linked to various indices,             JPMorgan Chase, Credit Suisse, World Bank, ING,
baskets of equities, currencies, commodities and            Bank of America, Fidelity, Wellington, Blackrock
yield curve strategies. Prior to joining PrinceRidge        and Goldman Sachs.
Group LLC, Mr. Castelluccio was the former Head                 Samborn holds a BA in Mathematics from the
of Structured Products at another Investment                State University of New York.
Banking boutique, where he was instrumental in
developing and creating the structured products
platform. Prior to his involvement in Structured            LISA MEYER
Products, he was Senior Vice President of Fixed             SECURITY GLOBAL INVESTORS
Income Sales and Trading at ICAP Securities, with              As senior product manager for all of the firm’s
trading responsibility for middle market and                index-based products, Lisa is involved with ETF
institutional accounts. Before joining ICAP, Mr.                                         development as well as t
Castelluccio spent the majority of his career at                                         he development of other
Prudential Securities, most recently as Senior Vice                                      index-based product
President of corporate bond trading where he                                             opportunities.
managed the corporate bond trading desk for the                                             Prior to joining the
firm's retail and institutional accounts. Mr.                                            firm, Lisa spent the last
Castelluccio is a former president (1984-1985) of                                        several years developing
the Corporate Bond Traders Club of New York, a                                           and marketing products
graduate of the College of Staten Island, and is a                                       for Dow Jones Indexes.
proud veteran of the United States Marine Corps.                                         During her time at Dow
                                                                                         Jones, she played a key
KEVIN SAMBORN                                                                            role in the development
SAPIENT GLOBAL MARKETS                                      and management of indices covering Latin
    Kevin Samborn, Vice President, Valuation and            America, infrastructure, target date, hedge funds,
Risk Analytics at Sapient Global Markets, joined the        sustainability, plus others. She holds a bachelor’s
                                 company in 2009,           degree in English literature from Princeton
                                 and brings over 20         University and an MBA with a focus on international
                                 years of financial         business and marketing research from Bernard M.
                                 services and               Baruch College. Lisa also holds the Chartered
                                 software                   Alternative Investment Analyst designation and has
                                 engineering                earned a FINRA Series 7 license. Lisa has
                                 expertise to the           authored several white papers on ETFs and Islamic
                                 company. Focusing          investing.
                                 on valuation and
                                 risk management            MARC A. VOSEN
                                 initiatives for clients,   KEY INVESTMENT SERVICES
                                 Samborn provides
                                                                Marc Vosen is President and CEO of Key
consulting around pricing policies, risk methodology
                                                            Investment Services, a NASD broker/dealer
and model selection / validation, as well as
                                                            created to serve the retail bank and business
technical implementations of custom and third-party
                                                            banking divisions of Key Bank. The new firm
analytics libraries.
                                                            consists of 200 dedicated Financial Advisors and
    Prior to Sapient Global Markets, Samborn was
                                                            1000 licensed bank employees throughout Key’s
Chief Technology Officer (CTO) and Senior Vice
                                                            footprint.
President at Numerix, a pricing analytics software
                                                                Prior to joining Key, Mr. Vosen spent 11 years
company, specializing in structured credit,
                                                            in a number of senior management positions at
structured notes and their hedges for FAS 133 /
                                                            FirstMerit Bank including President and CEO of
IAS 39 accounting. In this role he was responsible
                                                            FirstMerit Investment Services. In addition to
for all professional services and integration of
                                                            having managed the overall operations of FirstMerit
                                                                      Strucured Notes and FDIC Insured CDs
                                                                      Active New Issue and Secondary Marketing Making:

PrinceRidge is a nancial services rm                                  • Steep Notes
                                                                      • Range Notes
built upon extensive industry experience,                             • Step-Up/Vanilla

professionalism and integrity.                                        • Linked Notes – Equity, Commodity, Currency, CPI
                                                                      • Non-Inversion Notes
                                                                      • Fixed to Float
   e rm is client oriented, xed income                                • Reverse Convertibles

focused, and o ers a variety of nancial
                                                                      Structured Notes Sales and Trading Team

services to an institutional customer base.
                                                                      Armand Pastine, Managing Director – Group Head
                                                                      646-792-5625

PrinceRidge is committed to employing                                 Joseph Castelluccio,
                                                                      Managing Director Head of Structured Notes
                                                                      646-792-5627
quality professionals with signi cant industry
                                                                      Steve Cocco, Director Structured Notes Trading
experience, deep product knowledge, integrity                         646-792-3461
                                                                      Russell Jeffrey, Structured Notes Sales
and entrepreneurial spirit.                                           646-792-3434
                                                                      Jeff Bonk, Structured Notes Sales
                                                                      646-792-3466




The PrinceRidge Group LLC | Member FINRA, NYSE | 1633 Broadway, 28th Floor | New York, NY 10019 | 646-792-5600
                         Securities Inc., FirstMerit   advises on complex cross-border investment and
                         Insurance Agency. Inc.        financing transactions.
                         and FirstMerit Commercial        Mr.
                         Credit Insurance              Reigersman's
                         Company, he served on         areas of
                         the Executive Committee       expertise further
                         and had responsibilities      include
                         for the sales and             transactional
                         integration of the            work for capital
                         investment program within     markets
                         the bank.                     transactions,
                               Prior to joining        corporate
FirstMerit, Mr.Vosen was a Financial Consultant        mergers, acquisitions, reorganizations, and joint
with 1st Nationwide Bank. Before entering the          ventures, as well as tax planning in connection with
bank channel, he spent 13 years on the wire house      inbound and outbound investments.
side of the business as a Financial Consultant and        University of Leiden (J.D., 2003)
Regional Annuity and Insurance Specialist for             New York University School of Law (LL.M.,
Kidder Peabody, Shearson Lehman Hutton and             2006)
Merrill Lynch.
    Mr. Vosen currently serves as President for the    SAMSON KOO
Bank Insurance & Securities Association (BISA)
and serves on the Investment Committee for the         ADVISORS ASSET MANAGEMENT
Community Bank Association (CBA).                          Samson Koo is Managing Director and Head of
                                                       Derivative Products for Advisors Asset
                                                       Management, Inc. Based
                                                       in New York, Samson is
MIKE MILLARD                                           responsible for product
                                                       development involving
CITIZENS FINANCIAL GROUP, INC.
                                                       the use of derivatives.
                           Mike Millard is an          Samson has been in the
                       Executive Vice President of     derivative industry for
                       Citizens Financial Group and    over 20 years, starting
                       is the Director of the Wealth   with Bankers Trust in
                       Management Division of          New York, with overseas
                       Citizens Bank, N.A. He is       posts in Tokyo and Hong
                       also the CEO of CCO             Kong, eventually
                       Investment Services Corp., a    returning to New York with JPMorgan. Prior to
                       wholly owned subsidiary of      joining AAM in 2011, Samson was Head of Equity
                       RBS Americas. In addition to    Derivatives Structuring, Americas for Barclays
                       the broker/dealer, the Wealth   Capital. Samson holds an MBA from the Wharton
                       Management Division             School of Business, and a Bachelor’s and a
                       encompasses the Trust,          Master’s degree in Engineering from the University
Premier and Private Banking areas of the bank.         of California, Berkeley.
   Mike joined Citizens Bank in 2006 after 10 years
in asset management for Dreyfus. He served as
the President of Dreyfus Corporation for 4 years.                                SCOTT
   Prior to his tenure at Dreyfus, he worked as a                                GREENWOOD
senior executive running 12 states in the Midwest                                JVB FINANCIAL
for PaineWebber for approximately 6 years. Mike
                                                                                     Head of Structured
has over 25 years experience in the investment
                                                                                 Products Trading at JVB
industry.
                                                                                 Financial
                                                                                      JVB Structured
REMMELT A. REIGERSMAN                                                            Products Team
MORRISON & FOERSTER                                                              distributes calendar and
                                                                                 customized offerings
   Remmelt Reigersman focuses on federal and
                                                                                 from all major global
international tax matters. Mr. Reigersman regularly
                                                                                 issuers to the US
   His experience includes model development and        and his MBA from New York University's Stern
product structuring as well as the business,            School of Business, where he specialized in
mathematical and technical aspects of creating          accounting and finance.
innovative services in the structured product                At NERA, Mr. McKenna is a member of the
market. His passion is for bringing powerful and        Securities and Mass Torts Practices. For the
accessible tools which help the transparency and        Securities Practice, his areas of expertise include
education process in financial markets.                                               asset valuation issues
                                                                                      and forecasting. He has
TIM STODDART                                                                          consulted on the
                                                                                      valuation of fixed
CAPITAL INVESTMENT MARKETING                                                          income, equity,
    Tim Stoddart, , a 25-year Wall Street and                                         employee stock
financial services veteran, is Managing Partner and                                   options, principal
President of Capital Investment Marketing, Inc.                                       protected notes, and a
    Prior to starting Capital Investment Marketing in                                 variety of other
2007, Tim served as a Senior Vice President and                                       derivative positions. His
Divisional Sales Manager at John Hancock                                              experience also
                        Financial Services where he     includes forecasting class action and bankruptcy
                        directed Variable Annuity,      filings for insurance industry clients.
                        Fixed Annuity and 529 Plan           Prior to joining NERA, Mr. McKenna worked for
                        wholesaling in the Bank         two years at the Federal Reserve Bank of Chicago
                        Channel. From 1988 to           as an Associate Economist.
                        2005, he was an executive            MBA, Stern School of Business, New York
                        officer with Essex              University
                        Corporation, the leading             MA in economics, University of Pennsylvania
                        wholesaler of investment             BA in economics, University of Chicago
                        products through banks. He
                        rose to become Senior Vice
                        President with responsibility   WILLIAM RHIND
for managing the wholesale distribution of fixed        ETF SECURITIES, LLC
annuities, variable annuities and mutual funds. Tim        William Rhind is the Managing Director of ETF
also has extensive experience starting and              Securities(US)LLC. ETF Securities is a leading
managing retail brokerage programs operating at                                independent provider of
banks including Republic National Bank, The Bank                               Exchange Traded Products
of New York, US Trust Bank and Independence                                    (ETPs). In the US, ETF
Community Bank. Previously, he worked for L.F.                                 Securities has launched 7
Rothschild & Co in fixed income securities.                                    physically backed precious
    Past and present clients include: Bank of                                  metals ETFs and manages
America, J.P. Morgan Chase, Bank of New York,                                  around $4bn USD. ETF
Citibank, Republic National Bank, Bank of Boston,                              Securities pioneered the
EAB, Wachovia, HSBC, Wells Fargo, Key Bank,                                    world’s first physical Gold
Citizens Bank, Comerica, Banknorth, Hudson                                     ETF in 2003, in Australia.
United Bank, Huntington Bank, LaSalle Bank,                                    William’s primary focus is to
Standard Federal, Michigan National Bank, First                                build the firms distribution
Chicago NBD, Ohio Savings Bank, First Merit             capabilities in North America and expand ETF
Bank, Compass Bank, Capital One Bank, Hibernia          Securities leading franchise in commodity ETFs. He
Bank, Northfork Bank, Webster Bank and                  joined ETF Securities in March 2007 from the ETF
many more.                                              business of Barclays Global Investors (iShares).
    Tim is a graduate of the Rippowam School and        William has worked in the European ETF industry
Deerfield                                               since it’s inception and is currently based in New
                                                        York. Prior to ETF Securities, William was an
                                                        investment banking analyst at Nomura International
TIMOTHY MCKENNA
                                                        in London. William is a regular commentator in the
NERA                                                    press and specialist guest on TV programmes such
    Mr. McKenna received his BA in economics            as CNBC, FOX and BNN.
from the University of Chicago, his MA in
economics from the University of Pennsylvania,
broker/dealer community. Providing both primary         Style Index Series, S&P Listed Private Equity &
and secondary markets in the structured products        Infrastructure Indices, S&P Thematic Index Series,
space, as well as education and training to             S&P 500® VIX Futures Index Series, S&P
broker/dealers and RIA’s.                               Preferred Index Series, S&P Treasury Index Series,
                                                        S&P Dividend Index Series and S&P Arbitrage
                                                        Index Series. He served as a member of the S&P
SOLOMON TELLER
                                                        U.S. Index Committee from 2002 to 2010, and
PROSHARES                                               holds a U.S. patent related to style benchmarks.
   Solomon Teller joined ProShares in 2007 and is       Additionally, Srikant has authored several research
currently Head of Investment Analytics where he is      papers on index issues such as the widely followed
                      responsible for product           SPIVA™ (S&P Index Versus Active) and
                      research and strategies. Mr.      Persistence Scorecards.
                      Teller is a frequent speaker          Srikant joined Standard & Poor's in 2000 as
                      and panelist at ETF events        manager of global index analysis. He is a Fellow of
                      has published articles on         the Global Association of Risk Professionals and a
                      hedging practices, long term      CFA charter holder. Srikant is a frequent
                      performance and rebalancing       contributor and reviewer for industry journals and
                      strategies using Geared           publications, is on the board of editors for several
                      ETFs.                             industry journals, and is widely cited in the press.
                         Prior to joining ProShares,    Srikant holds a bachelor's of electrical engineering
                      Teller served in several          from the National Institute of Technology, Rourkela,
                      wealth management                 India and an MBA from the Indian Institute of
capacities, most recently as Senior Portfolio           Management at Ahmedabad.
Manager at Trumbower Group. Teller also has
worked with Fannie Mae in developing its portfolio
and trading analytics capabilities and with Investor    TIM ANDREWS
Newswire, an investment oriented internet start-up.     SCOTIABANK
   Teller holds the Chartered Financial Analyst             Timothy Andrews is a Managing Director at
(CFA) designation and has a B.A. in Economics           Scotiabank, where he heads up U.S. Structured
and Philosophy from the University of Maryland.         Products and Equity Derivatives Sales. Prior to
                                                        joining Scotiabank, Mr. Andrews was a Senior Vice
                                                        President at HSBC Bank USA in the Structured
SRIKANT DASH
                                                        Equity Products group. Prior to joining HSBC, Mr.
S&P INDICES                                             Andrews practiced derivatives and securities law at
    Srikant Dash is managing director at S&P            Cadwalader, Wickersham & Taft LLP. Timothy
Indices, where he has overall responsibility for        received a J.D. degree from Cornell Law School
                      channel strategy and              and a B.A. degree with honors from Johns Hopkins
                      solutions. Srikant leads a        University
                      team of channel managers
                      who hold responsibility for
                                                        TIM MORTIMER
                      key client focused areas of
                      the market including Defined      FUTURE VALUE CONSULTANTS
                      Contribution, Exchange               Tim Mortimer is Managing Director of Future
                      Traded Products, Financial        Value Consultants, a research, product design and
                      Advisors, Insurance,                                            analytics
                      Structured Products, and                                        consultancy
                      Trading. Srikant also has                                       specialising in
                      global responsibility across                                    structuring products.
asset classes for research and design efforts for                                        He has worked
new S&P indices.                                                                      for 20 years in
    At S&P, Srikant has led the development of                                        derivatives and
several dozen new indices which span asset                                            structured products,
classes, themes, and strategies and collectively link                                 previously as a
to assets of more than US$ 50 billion. Some of the                                    Quantitative analyst
leading stock market indices Srikant has created        at Paribas, UBS and Zurich Capital Markets before
include the S&P Equal Weight Index Series, S&P          founding FVC in 1998.
      DeriveSafelyGenericUS032610.pdf   3/26/10   5:17:28 PM




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              Taking Analytics Further




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