| The Forum has been approved for 11 CFP CE Credits by the CFP Board and approved by IMCA for 9 CIMA/CPWA CE Credits |
| 7:30 AM- 7:55 AM |
REGISTRATION |
| MORNING SESSIONS |
| WEST LOUNGE (1ST FLOOR) |
| 7:55 AM - 8:00 AM |
Welcome Remarks |
Nicolas Bornozis, President - Capital Link, Inc. |
| 8:00 AM - 8:40 AM |
Where is the Value Today in CEFs?
Market Perceptions Vs Fundamentals
Discussion on various asset classes; Market dislocation and fundamentals in the CEF; Higher Volatility & Outlook for Covered Calls CEFs; Where to invest today
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Moderator:
Mariana Bush, CFA, Senior Analyst – Wells Fargo Advisors
Panelists:
- Rennie McConnochie, Head of Global Banks – Aberdeen Asset Management
- Patrick Galley, CFA, Chief Investment Officer & Portfolio Management – RiverNorth Capital Management LLC
- Douglas Bond, Executive Vice President, Portfolio Manager – Cohen & Steers
- Robert F. Bush, Jr., Senior Vice President, Director of Closed-End Fund Products – Calamos Investments
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| OPENING KEYNOTE ADDRESS |
| 8:40 AM - 9:00 AM |
 |
THE CHANGING LANDSCAPE OF FINANCIAL ADVICE
Jim Ross, Executive Vice President - State Street Global Advisors (SSGA), Global Head of SPDR ETFs. He also serves as Head of US Intermediary Distribution, and is Chairman of SSGA Funds Management, Inc. (SSGA FM)
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|
| WEST LOUNGE (1ST FLOOR) |
JAMES ROOM (2ND FLOOR) |
| 9:00 AM - 9:20 AM |
A New Dimension in ETF Investing
John Hancock ETFs |
Lukas Smart, Senior Portfolio Manager and Vice President – Dimensional Fund Advisors |
9:00 AM -
9:40 AM |
Uncovering Value in
the BDC Industry
|
Thomas Alonso, CFA, Vice President Investor Relations – Prospect Capital Corporation |
| 9:20 AM - 9:40 AM |
Gold – The Original Alternative
|
- Edward Coyne, Executive Vice President, National Sales - Sprott Asset Management USA
- Trey Reik, Senior Portfolio Manager - Sprott Asset Management USA
|
| 9:40 am - 10:20 am |
Revitalizing IPOs & Secondary Market for CEFs
Innovations & Market Support
Discuss innovation in the CEFs Space; Secondary market support |
Moderator:
Rose F. DiMartino, Partner – Willkie Farr & Gallagher LLP
Panelists:
- Robert F. Bush, Jr., Senior Vice President, Director of Closed-End Fund Products – Calamos Investments
- Douglas Bond, Executive Vice President, Portfolio Manager – Cohen & Steers
- Stephen Fox, Managing Director – Nuveen Investments
- Jonathan Isaac, VP, Director of Product Management – Eaton Vance Management
|
9:40 am -
10:20 am |
Trends in Closed-End Fund Leverage |
Moderator:
Greg Fayvilevich, Senior Director, Fund & Asset Manager Rating Group - Fitch Ratings
Panelists:
- Andrew Hanson, Managing Director - Morgan Stanley
- Bill Meyers, Managing Director - Nuveen Investments
- Brian Knudsen, Associate Director, Fund & Asset Manager Rating Group - Fitch Ratings
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| WEST LOUNGE (1ST FLOOR) |
JAMES ROOM (2ND FLOOR) |
| 10:20 AM – 10:40 AM |
European Equity Update
|
Christopher Warren, Managing Director – Deutsche Asset Management
|
10:20 AM -
11:00 AM |
Advisor Panel –
Bringing it all
Together in Client Portfolios
Panel will discuss
how advisors are
incorporating CEFs and ETFs
in their client’s portfolio
|
Moderator:
Elias Lanik, Senior Closed-End Fund Analyst – BofA Merrill Lynch Global Research
Panelists:
- Gregg T. Abella, AIF,Co-Principal – Investment Partners Asset Management
- John Cole Scott, Chief Investment Officer – Closed-End Fund Advisors
- Jon Maier, Managing Director, Senior Portfolio Manager – Merrill Lynch ETF Model Portfolios
|
| 10:40 AM – 11:00 AM |
Ireland - ‘Brilliant and balanced’ Recovery Keeps Outpacing the Rest |
Noel O’Halloran, Director; Chief Investment Officer – Kleinwort Benson Investors Dublin Ltd |
| WEST LOUNGE (1ST FLOOR) |
| 11:00 AM – 11:30 AM |
Fund Initiatives to Maximize Shareholder Value
Product Management innovation and Shareholder Outcomes;
Fund Consolidation; and Managing Discounts
|
Moderator:
Alex Reiss, Director – Stifel
Panelists:
- Mike Taggart,Vice President, Director of Closed-End Fund Research – Nuveen Investments
- Renee Baker, Senior Manager, CEF Marketing & Investor Relations - Aberdeen Asset Management
|
| 11:30 AM – 11:50 AM |
Finding Safe, Stable yield in a Lower for Longer world |
Aaron D. Peck, Chief Investment Officer and Chief Financial Officer – Monroe Capital Corporation |
| 11:50 AM – 12:10 PM |
Convertible Securities as an Asset Class |
F. Barry Nelson, Partner – Advent Capital Management, LLC |
| 12:10 PM – 12:50 PM |
How Smart is SmartBeta? |
Moderator:
Michael Jabara, Managing Director and Head of ETF and Closed-End Fund Research – Morgan Stanley Wealth Management
Panelists:
- Arne Noack, Director, Exchange Traded Product Development –Deutsche Asset Management
- Lukas Smart, Senior Portfolio Manager and Vice President –Dimensional Fund Advisors
- Matthew Schwab, Client Portfolio Manager - Goldman Sachs Asset Management
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| LUNCHEON & KEYNOTE ADDRESS |
| 1:00 PM – 2:15 PM |
 |
Outlook for 2015: Adult Swim Only
Henry H. McVey
CIO of KKR's Balance Sheet and Head of Global Macro & Asset Allocation
KKR |
|
| 2:15 PM - 2:30 PM |
CLOSED-END FUNDS, ETFS & ANALYST AWARDS |
| AFTERNOON SESSIONS |
| WEST LOUNGE (1ST FLOOR) |
| 2:45 PM – 3:25 PM |
MLPs: Energy Landscape & Beyond |
Moderator:
Selman Akyol, Managing Director – Stifel
Panelists:
- Edward Russell, Managing Director – Tortoise Capital Advisors
- J. Parker Roy, Senior Managing Director, Head of Business Development - Cushing Asset Management
- Colin Bell, Managing Director - Goldman Sachs Asset Management
- Jay Hatfield, President – Infrastructure Capital Advisors; Portfolio Manager - InfraCap
|
| 3:25 PM – 3:45 PM |
Enhanced Risk Adjusted Returns Using Options-based Strategies |
Richard Rosenthal, Director, Business Development FTSE Russell Indexes - CBOE
|
| 3:45 PM – 4:05 PM |
High-Yield Securities in Today’s Market Environment |
Paul McGinn, Vice President - First Trust Advisors |
| 4:05 PM – 4:35 PM |
BDCs – Financing America’s Growth |
Rich Kendrick, Co-Head of Equity Capital Markets and Senior Managing Director – Stifel
|
| 4:35 PM – 5:15 PM |
ETF Industry Roundtable
|
Moderator:
Doug Yones, Head of Exchange Traded Products – NYSE
Panelists:
- David B. Mazza, Managing Director/Head of ETF & Mutual Fund Research – State Street Global Advisors
- Abby Woodham, ETF Strategist – Deutsche Asset Management
- Kristine Delano, Managing Director – NextShares Solutions LLC
- David Sharp, ETF Product Manager - Vanguard
|
| 5:20 PM – 6:30 PM |
COCKTAIL RECEPTION |
