speakers 2010 6h annual global etf awards · while at bear stearns, ... and is the author of ‘the...

6TH ANNUAL GLOBAL ETF AWARDS®

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6TH ANNUAL GLOBAL ETF AWARDS

“How the industry measures excellence.”

SPEAKERS

David Abner

WisdomTree Director of Institutional ETF Sales and Trading

David Abner is currently the Director of Institutional ETF Sales and Trading at

WisdomTree Asset Management. Primary responsibilities include managing several channels of the institutional client base focused on trading firms, broker dealers,

asset managers and hedge-funds. Additionally, he is tasked with educating the entire client base on best execution practices in Exchange Traded Funds. Prior to joining WisdomTree, David spent two years as a Managing Director and the head of ETF Trading Americas at BNP Paribas in New York. David started his career at Bear Stearns in 1992. While at Bear Stearns, he ran the closed-end-fund trading group, traded Japanese convertible bond arbitrage and Asian equities, and in 2000 was tasked with building the ETF trading business, which he ran until his departure from the firm in 2006. David holds an MS and a BA from Stony Brook University on Long Island, and is the author of ‘The ETF Handbook’ as part of the Wiley Finance series, March 2010.

Mark Abssy

International Securities Exchange (ISE)Index & ETF Manager

Mark Abssy is the Index & ETF Manager for the International Securities Exchange (ISE), the world’s largest equity options

exchange. In this capacity, Mr. Abssy is responsible for all phases in the development of innovative tradable products from concept to commercial launch. Prior to joining ISE, Mr. Abssy has held various product management positions at Morgan Stanley Investment Management, Fidelity Investments and Loomis Sayles & Company LP and has worked on the institutional client side, managing short-term investments for Genzyme Corporation. Mr. Abssy is a member of the CFA Institute and the Boston Security Analysts Society. He received a BSBA in finance and international business from

Northeastern University in Boston, Massachusetts.

Dilek Aykut

The World BankSenior Economist, Development Prospects Group

Dilek Aykut is a Senior Economist with the World Banks Development Prospects

Group and a specialist on international capital flows to

developing countries. She contributes to two of World Bank annual flagship publications — Global Economic

Prospects and Global Development Finance. She has written several papers on foreign direct investment, international remittances and international debt flows

to developing countries and financial globalization.

She is a globally recognized expert and frequent speaker on foreign direct investment and South-South capital flows. Ms. Aykut holds a Ph.D. in Economics from

the University of Pittsburgh.

Reginald M. Browne

Knight Equity Markets, L.P Managing Director ETF Trading

Mr. Browne is a 15-year ETF industry veteran with a core focus on market-making and institutional sales. He joined

Knight in June 2009 from Newedge USA where he was the Co-Head and Senior Vice President in the ETF Index Group and led a global expansion of institutional sales. Reginald began his career at O’Connor & Associates in Philadelphia and has held senior leadership roles at various Wall Street firms since 1990.


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SPEAKERS

Michael Carty

New Millennium Advisors, LLCPrincipal and CIO

Michael designs active ETF strategies to achieve specific financial goals

with superior results. These strategies achieve a full range of goals from conservative absolute return strategies to those seeking aggressive capital appreciation using leveraged and inverse leveraged ETFs. He and his associates use proprietary quantitative disciplines which include state-of-the-art portfolio optimization techniques to control risk and advanced rebalancing methods to reduce turnover. He frequently speaks at major industry conferences on a variety of topics from designing enhanced indexed ETFs to constructing optimized ETF portfolios to achieve specific investment goals. He also develops

and evaluates indexes for potential use as ETFs. In addition, he has had numerous articles published on designing, understanding, and creating ETF investment programs. A former director of the Institute of Quantitative Research in Finance, he is a member of a number of professional associations, including Alpha Pi Mu, the National Industrial Engineering Honor Society. He is also President of the New York Chapter of the Quantitative Work Alliance for Applied Finance, Economics and Wisdom. His academic background includes a Bachelor of Science degree in Industrial Engineering from the New Jersey Institute of Technology (with honors) and a Master’s degree in Business Administration from Columbia University where he also pursued doctoral studies.

Richard A. Ciuba

Dow Jones IndexesSenior Director, Americas Sales

Richard Ciuba is Senior Director, Americas Sales of Dow Jones Indexes, a division of Dow Jones & Co., publishers

of The Wall Street Journal, Barron’s Magazine and other periodicals. Mr. Ciuba joined Dow Jones Indexes in 1997 just after Dow Jones & Co. began commercializing its long-standing indexes such as the Dow Jones Industrial Average. His responsibilities include business development, promotion and sales of the Dow Jones indexes to the global investment community. His focus is on the sales and development of new index ideas to be used as the basis of exchange-traded funds, derivatives, structured, insurance and other financial products. His current

research and professional interests focus on the inter-relationship among sectors and portfolio performance optimization. Richard holds a bachelor’s degree in finance and economics from Drexel University and is

currently pursuing advanced studies. He, his wife and two children reside in central New Jersey.

Stephen W. Cook

BNY MellonManaging Director-Asset Servicing & Global ETF Product Manager

Steve Cook is responsible for BNY Mellon’s industry leading global product

strategy for the Exchange Traded Fund and Unit Investment Trust business. This includes overseeing new product development and technology enhancements geared towards ETF providers, distributors and market makers worldwide. Steve is a sought after speaker at global ETF industry events, and a contributor to articles and thought leadership on the topic. Mr. Cook joined BNY Mellon in 1998 and has held various leadership positions in the Asset Servicing division. Steve graduated from the University of Richmond.


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SPEAKERS

Peter Crawford

Charles SchwabSenior Vice President, IMS Client Solutions

Peter Crawford is a Senior Vice President within Schwab’s Investment Management Services organization,

where he leads the Client Solutions group. He is responsible for product management, product development, and wholesaling for all of Schwab’s mutual funds. Prior to this role, Crawford was the Chief-of-Staff to Mr. Charles Schwab. In this role, he worked with Mr. Schwab on nearly all business issues, setting the agenda for the Management Committee, and helping drive Mr. Schwab’s agenda through the organization. In his more than seven years at Schwab, Crawford has held a variety of leadership roles in Schwab’s Retail business, including Product Manager for all Cash products, Segment Manager for the Independent Foundational segment, and Segment Manager for Advised Investing Signature, a fee-based advisory service that he conceived and launched. Before joining Schwab in 2001, Crawford was an Engagement Manager at McKinsey & Company in the Washington, DC, San Francisco, Sao Paulo, and Hong Kong offices,

and a Director of Business Development at Excite@Home. Crawford earned a Bachelor of Arts degree from Yale University, where he graduated magna cum laude, and his Master of Business Administration degree from the Stanford Graduate School of Business.

Bruno del Arma

Global X ManagementChief Executive Officer

Bruno del Ama is the co-founder and CEO of Exchange Traded Fund provider Global X Management based in New

York. The company is dedicated to being a first-mover

and bringing novel, relevant, and exciting ETF products to market to add value to client portfolios. Global X has issued some exciting products in recent months, including the first sector-specific China ETFs, and the

first ETFs offering investors exposure to Colombia and

the Nordic region. The six China funds launched in year-end 2009 focus on technology (CHIB), energy (CHIE), financials (CHIX), consumer products (CHIQ),

materials (CHIM), and industrials (CHII). Global X currently has $150MM assets under management. Mr. del Ama has appeared in interviews on CNBC and twice on NYSE opening bell. He is a CFA charter holder and received his MBA from the Wharton School. He has previously served as director of operations in the structured products business at Radian Asset Assurance. Prior to that, he was a manager at Oliver Wyman advising leading financial services firms in

strategy matters.

Tim Edwards

Barclays CapitalVice President, Investor Solutions

Tim Edwards is a Vice President, Investor Solutions at Barclays Capital. Based in New York, he has global responsibility for product development for exchange traded notes (ETNs) across all asset classes: commodities, foreign exchange, fixed income, inflation

and emerging markets. Mr. Edwards joined Barclays Capital in London in 2007 where he worked in hedge fund derivatives. In March 2009, he moved to the firm’s

New York office to join the Investor Solutions team. Prior

to joining Barclays Capital, he completed his PhD in pure mathematics at University College London.


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SPEAKERS

Brinton W. Frith

Javelin Investment ManagementCo-founder and President

Brinton W. Frith is co-founder and President of Javelin Investment Management, a Registered Investment

Advisor focused on developing Exchange Traded Funds (ETFs). Prior to founding Javelin, Mr. Frith was a Managing Director at Philadelphia Brokerage, a full service Broker/Dealer specializing in corporate finance and asset management. He was responsible

for developing proprietary products and strategies as well as executing trading strategies for hedge funds and his own investment company, Optional Investors. Mr. Frith has developed a proprietary REIT Index and related derivative products and has over 12 years experience working with REIT management teams on equity based finance strategies. While at

Philadelphia Brokerage, Mr. Frith worked with overlay managers and traders involved in the development of early ETF products including the “WEBS” and “Country Baskets.” In managing this effort, he was subsequently responsible for executing block trades and various international arbitrage strategies. He has obtained Series 3,4,7,24,27,53,55,63 and 65 securities licenses. Mr. Frith has a B.A. in Economics from the University of Delaware.

Deborah Fuhr

BlackRockGlobal Head of ETF Research and Implementation Strategy and Managing Director

Deborah Fuhr is the Global Head of ETF Research and Implementation Strategy at BlackRock. Under Ms Fuhr’s guidance, BlackRock’s ETF Research and Implementation Strategy team is responsible for advising clients on the implementation of asset allocation strategies using ETFs, producing reports, analysis and guidebooks on the global ETF industry. Ms Fuhr joined BlackRock on December 1, 2009 when BlackRock acquired Barclays Global Investors BGI. Prior to joining BGI in September 2008 Ms Fuhr

spent the past 11 years working at Morgan Stanley in London where she was a Managing Director and head of the Investment Strategies Group. Ms Fuhr has been included in the Financial News Top 100 Women in Finance list of the most influential women in

European finance, in 2007, 2008 and 2009. She is on the

International Advisory Committee (IAC) Egyptian Stock Exchange and on the Editorial Board of the Journal of Indexes.

Hartmut Graf

STOXX LimitedChief Executive Officer

As Chief Executive Officer, Hartmut Graf

identifies and executes strategic business

initiatives; and oversees the activities of STOXX Limited. Prior to joining STOXX Ltd., Hartmut spent more than 5 years at Deutsche Börse Group, where he most recently held the position of Head of Issuer Data & Analytics. In this role he was responsible for the index business of Deutsche Börse, overseeing the development, maintenance and marketing of their global index series. Previously, Hartmut spent four years with Roland Berger, consulting clients from the financial services industry. He started his career

in product management and research in the fixed

income department in the investment banking division of Commerzbank. Hartmut Graf holds a Ph.D. in theoretical physics.


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SPEAKERS

Paul Heffernan

Bank of Ireland Securities Services Associate Director Head of European Business Development

Paul has over ten years experience in the investment funds industry in Ireland.

He has spent much of this time at BoISS and worked in a variety of roles including custody services, fund accounting, client services and business development. Paul is currently responsible for marketing BoISS and Ireland as a domicile to the international financial

services community, attracting new fund promoters to choose Ireland as a fund domicile and advising clients on fund establishments. Paul has also worked on strategic initiatives and implementation for BoISS including ETF product development where recent success includes the open architecture Source Markets Plc (a JV between Morgan Stanley, Goldman Sachs and BoA Merrill Lynch) European ETF platform and the development of the Global ex US ETF settlement platform ETP Direct. Paul is a graduate in business studies from University of Limerick and also holds a first

class honors Executive MBA in Financial Services from the UCD Smurfit Business School. Paul is a Chartered

Banker with the Institute of Bankers in Ireland.

Sharon Highland

Barak Asset Management LLCChairperson and President

Sharon Highland is currently Chairperson and President of Barak Asset Management LLC. She established the

firm to offer asset management services to institutions

and individuals. The investment process is based on prudent asset allocation and fundamental security selection strategies. Barak seeks to help clients meet their investment goals by selecting the best suited investment vehicles such as bonds, stocks, ETFs, open and closed-end funds. In addition, the firm will

develop and manage ETFs, open-end and closed-end funds. Prior to starting Barak, Ms. Highland joined BlackRock in November 2002 as Director of Product Development and Management in the Private Client

Group for managed accounts, open and closed-end funds. She was responsible for idea generation, development and servicing for all of the platforms. Ms. Highland introduced the first closed-end equity fund to

BlackRock that was launched in December 2003 and raised over $700 million. She has also created Core, Low Duration and Intermediate bond portfolios for managed accounts, which all have gained approval by major broker dealers.

Ted Hood

SourceChief Executive Officer

Before joining Source, Ted Hood was a Managing Director and co-head of Morgan Stanley’s multi-asset structuring

team which creates and distributes derivative investment products to EMEA investors. Prior to this, he worked within Morgan Stanley’s equity product group with responsibility for the development, marketing and execution of structured product and alternative fund platforms. Previously Ted was a lawyer at the London and New York offices of Cleary, Gottlieb,

Steen & Hamilton specialising in cross-border financial

transactions, before joining Morgan Stanley’s tax department as a Vice President in 1999. He holds a Juris Doctor from the Cornell Law School, where he graduated magna cum laude and served as editor of the Cornell Law Review.


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SPEAKERS

Andres Jimenez

InterBolsaHead of Equity Sales

Andres Jimenez has been in the financial

business for 15 years, working on both the buy and sell side. During his years

in the sell side he has always been always in sales complementing with research. he build the Colombian B/D for Banco Santander and worked in the Latin-American sales/trading team covering institutional accounts worldwide. He has also worked in the private banking side in Beta Capital Management covering high net worth individuals in Colombia and Mexico advising investments in developed and emerging countries in bonds, equities and mutual funds. Lately he was covering companies in Venezuela, Colombia, Panama and Costa Rica for Sam Ramirez & Co. were with the affiliate a Ramirez & Co in Colombia called

Inversionistas de Colombia (Invercol) was transferred to Medellin and after a year assumed as head of research for Colombia of Invercol. Invercol merged in 2007 with Interbolsa and he was put in charge of the research team covering companies listed in Canada, Panama and covering 96% of the Colombian Index IGBC until Feb 2010. After working as a generalist, he has returned to the part of business, which he enjoys most , “sales” and has assumed the role of the director of equity for the firm.

Richard Kang

Emerging Global Advisors LLCChief Investment Officer and Director of Research

Richard Kang is currently Chief Investment Officer and Director of

Research at Emerging Global Advisors LLC, a New York based fund manager and research firm focused on

emerging markets. Their emerging market ETFs are the first globally to provide sector specific and thematic

exposures, the latter currently focused on infrastructure. Richard has been active in both institutional and individual asset/risk management for fifteen years

with extensive experience in alternative asset classes especially hedge funds and managed futures, as well as strategies applying the use of passively managed instruments. He has been involved in the use of both derivatives and ETFs within managed portfolios since 1995. In addition to CIO roles since 2001, Richard has been a blogger and has been quoted in a number of publications including The Wall Street Journal, Reuters, Investors Business Daily, SmartMoney, MarketWatch and BusinessWeek in addition to TV appearances on CNBC, CNBC Asia and Fox Business.

Elaine Keane

Maples and CalderSenior Associate

Elaine is a senior associate in the Investment Funds Group in Maples’ Dublin office. Elaine advises on

the establishment, authorisation, operation and maintenance of Irish regulated UCITS funds and open and closed-ended non-UCITS funds. She also advises service providers to such funds, including global administrators, custodians and investment managers. Elaine joined Maples in 2008. She previously worked for a large Irish corporate law firm. Elaine is a graduate

of University College Dublin and the Law Society of Ireland.


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SPEAKERS

Richard Keary

Global ETF Advisors LLCPrincipal/Founder

Richard is an ETF industry consultant who focuses on indexed-based financial products. His firm, Global ETF

Advisors LLC, was established in March 2009 and is dedicated to the global expansion of exchange traded products. Richard’s clients are principally product sponsors and indexers, and he collaborates with various partners, including the exchanges, to help bring products to market. Richard spent seven years at NASDAQ OMX. As Managing Director of Capital Market and Head of Global ETF/ETN Listings, Richard created and developed The NASDAQ ETF Market, a segment of the NASDAQ Stock Market dedicated to the listing of exchange traded products. He was responsible for all aspects of the listing process for ETFs, and also provided trading, marketing, regulatory and distribution expertise. In his role at NASDAQ, he frequently met with international delegations to present NASDAQ’s value proposition to various constituencies, including government officials, stock

exchange executives, and corporate executives. In his early tenure at NASDAQ, Richard assisted in the development of the NASDAQ Market Intelligence Desk which remains today a unit dedicated to bringing trading activity analysis to C-level executives of listed companies. Prior to joining NASDAQ, Richard was SVP and Head of Trading for Ladenburg Thalmann in New York. Earlier in his career, he held various positions as an equity block trader and institutional sales trader. A two-time winner of NASDAQ’s CEO Award, Richard served as a Board Member of the Security Traders Association of New York and remains a Member of the Structured Products Association.

Joseph F. Keenan

BNY Mellon Asset ServicingManaging Director, Head of Relationship Management

Joe has responsibility for the Financial Institutions relationships for BNY Mellon

Asset Servicing U.S. Asset Services business including banks and trust companies, insurance companies, asset managers, mutual fund management companies - including exchange traded funds, and the Latin American region. Joe has over twenty years experience in the financial services industry. Prior to

the merger of The Bank of New Company, Inc. and Mellon Financial Corporation, Joe joined The Bank of New York in 1985 in a customer service capacity for our mutual fund and unit investment trust company clients. He later served as the Bank’s Business Manager for Mutual Fund Services in San Francisco and in 1998, Joe returned to the Wall Street headquarters to spearhead sales and marketing efforts for our Global Fund Services. In early 2000, he was named Global Product Manager of Exchange Traded Products at the Bank, responsible for all sales and marketing of the Bank’s specialized services to meet the needs of the rapidly expanding Exchange Traded Fund marketplace. Joe has been interviewed by leading financial publications

and websites including: The Wall Street Journal, Financial Times, The New York Times, American Banker, Pensions and Investments, Global Finance, Business 2.0, Forbes.com, IndexFunds.com, and Morningstar.com. Joe has a B.A. in English Literature and Communications from the University of Michigan, and an M.B.A. in Finance from New York University’s Stern School of Business.


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SPEAKERS

Laurent Kssis

LaBranche Structured ProductsETF Sales Trading Specialist

Laurent Kssis is a trading advisory specialist & head of ETF Sales Trading with Labranche Structured Products

Europe (LSPE) focusing primarily on advising European investors & banks/brokers on trading ETFs more efficiently using market makers. He set up a market

making advisory desk in order to help investor understand the benefits & disadvantages in trading

cross listing ETFs either OTC or on-exchanges on the many European exchanges. Prior to that, Laurent was co-head of the Portfolio Trading desk and set up an ETF trading advisory team with Société Générale CIB in London where he was an ETF specialist advising institutional investors. He helped promote the wide European market making network for all ETF asset classes to the growing demands of European institutional clients. He worked with HVB in Germany where he worked closely with the expansion of the ETF issuer IndEXchange and built up a portfolio trading desk to answer the needs of the growing basket trading demand in German and European clients. He fulfilled similar roles with State Street Bank and Lehman

Brothers’ equity derivatives department which became one of the first market maker in Europe to quote

IndExchange’s ETFs on Xetra.

Shan Lan

Deutsche Bank Head of Global Equity Index and ETF Research

Shan Lan, Director, Head of Global Equity Index and ETF Research in Deutsche Bank,

is responsible for initiating, developing and publishing insightful research for ETF markets globally, as well as regular and ad hoc rebalances for major equity indices. Prior to joining Deutsche Bank, Shan was a Director of the Global Credit group with American Express, where he developed credit strategies based on quantitative analysis and modeling. Shan holds a Ph.D. in Engineering from Massachusetts Institute of Technology (MIT).

John Li

China Asset Management Co., Ltd.Chief International Business Officer

Mr. Li has been the Chief International Business Officer at ChinaAMC since he

joined the company in 2001. From 1996 to 1999, he was the deputy division chief, Intermediary at Beijing Regulatory Bureau of China Securities Regulatory Commission. From 1999 to 2001, he worked at Rothschild & Sons Ltd. and Pioneer Global Asset management respectively. Mr. Li obtained Ph.D. on management from China’s Academy of Sciences.

Andrew McOrmond

Wallach BethManaging Director, ETF Group

After graduating from University of Rhode Island with a BA in Communications (Class of ’95), Andrew

co-founded and operated a private enterprise that launched a branded spirits product within the food service industry. With that success in hand, Andrew entered the securities industry in 1999. From 2002-2007 Andrew was Managing Director of American Stock Exchange member firm Progressive Securities. In 2007,

Andrew acted as a General Partner of FM Brokerage LLC until joining WallachBeth Capital LLC in December 2008. With over a decade of experience in institutional ETF trading, Andrew has become a sought after panelist speaker. His unique perspective on trading, best execution and finding liquidity has added value

to conferences for NAAIM, FA Symposium and the 2010 Inside ETFs Conference. He has also been referenced in several publications including The Wall Street Journal, InsideETFs and SeekingAlpha. Andrew holds FINRA Series 7, 63 and 55. [email protected].


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SPEAKERS

Kathleen Moriarty

Katten Muchin Rosenman LLPPartner

Kathleen Moriarty concentrates her practice in financial services matters,

with extensive experience representing U.S. exchange-traded products and their sponsors, as well as index providers domestically and abroad. She regularly advises foreign entities and delegations from both public and private sectors with respect to the regulation and operation of U.S. ETFs and ETCs. Kathleen has published, appeared on national television and is a frequent speaker on the topic of exchange-traded products. She is on the editorial board of the Journal of Indexes and was included in the ETF Database’s ETF Hall of Fame in 2009. Kathleen was asked to speak at the CFTC-SEC Joint Meetings on Regulatory Harmonization in September 2009, is a member of the ABA Federal Regulation of Securities Subcommittee on Investment Companies and Investment Advisors and the Regulation of Futures and Derivative Instruments Committee, Kathleen received her A.B. from Smith College in 1975 and her J.D. from the University of Notre Dame Law School in 1980.

Jerry Moskowitz

FTSE AmericasManaging Director

Jerry Moskowitz is Managing Director of FTSE Group Americas. He joined the company in October 2003. Jerry

is responsible for developing and maintaining FTSE’s relationships with its key clients in the US and increasing its profile amongst major asset owners, managers

and investment banks. Additionally, he oversees FTSE’s global data distribution function to vendors worldwide. He also works closely with the marketing team to define and implement product development

and marketing programmes. Jerry has spent over 30 years working within the financial sector, building

extensive experience in Financial Sales and Marketing. In his last post before joining FTSE Group, Jerry was Senior-Vice President for Thompson Financial where

he concentrated on third party distribution and data acquisitions. As Managing Director of FTSE Americas, Jerry will act as a media spokesperson to speak about a range of financial topics.

Stephen O’Grady

Kellogg GroupPartner

Steve O’Grady is currently a partner at the Kellogg Group, serving as head of the ARCA Trading Platform,

which includes ETFs, ETNs and Structured Products. Mr. O’Grady formed and headed the Kellogg floor

brokerage operation on the American Stock Exchange floor in 2004 and was appointed head of the ETF group

and the Options Specialist operation in 2006. Prior to Kellogg, Mr. O’Grady worked at ABN-AMRO as Senior Vice President and Floor Manager on the American Stock Exchange. Mr. O’Grady was a first lieutenant,

Infantry, and a paratrooper in the U.S. Army from 1966-1969. He received a BA in Economics from Williams College, class of 1971 and an MBA from Harvard Business School, class of 1973. Mr. O’Grady is also a devoted Red Sox fan. Steve has his Licenses Series 7,53,55 and 24.


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SPEAKERS

Daniel D. O’Neill

DirexionPresident and Chief Investment Officer

As the President and Chief Investment Officer, Dan is responsible for all

investment management and trading operations. He joined Direxion in 1999 and plays a leading role in the development and launch of new products and value added services for advisors and investors. He is a member of the Direxion Executive Management Committee. Prior to joining Direxion Funds, he served as Portfolio Manager: Private Equity Investments at Hermitage Capital Management Limited in Moscow, Russia. His responsibilities included monitoring investments by two hedge funds in illiquid Russian equities. Dan earned a J.D. from the University of Virginia School of Law, where he served on the editorial board for Virginia Law Review. He holds a BA in English and Economics from the University of Virginia in Charlottesville, where he was a Jefferson Scholar.

Siddhartha Oberoi

Standard and Poor’sSenior Director

Siddhartha Oberoi is Senior Director, Exchange Traded Products at S&P Indices. Sid leads the ETP channel effort

for S&P Indices globally and works closely with several exchange traded product sponsors to help them with their index needs, to successfully implement their ETF strategy. Prior to that, Sid has held roles within S&P Indices including managing ETF licensing relationship for Americas and in the Index Innovation Group where he developed various indices including S&P Municipal Bond Indices, S&P’s Shariah Indices and helped to expand other equity index offerings. Prior to joining S&P in 2007, Sid worked at Calyx Financial and Prudential Financial where he helped develop and manage fund of funds focused on global asset allocation, including a product focused on the Shariah market. Active in the financial community, Sid is a charter

holder from the Chartered Alternative Investment

Analyst Association and has been a member of their Curriculum Committee. He holds an MBA from Rutgers University and a B.A. from Delhi University.

Thompson S. Phillips, Jr.

FaithSharesPresident

Thompson S. Phillips, Jr. is the president of FaithShares and the founder of T.S. Phillips Investments, Inc. located in Oklahoma

City, Oklahoma. He is a Registered Securities Principal, Registered Options Principal, Registered Municipals Principal, Investment Advisor Representative and a Certified Investment Management Consultant. He is

a past president of the Oklahoma Securities Industry Association and has served as a securities arbitrator for both the New York Stock Exchange and the National Association of Securities Dealers. Mr. Phillips brings over 30 years of expertise to the FaithShares endeavor.

Pietro Poletto

LSE Group Head of ETF and Fixed Income Markets

Pietro is currently Head of ETF and Fixed Income Markets at the LSE Group. From April 1999 to November 2007 was

Director of Fixed Income, ETF & Securitised Derivatives Markets at Borsa Italiana. Head for the starting ETF market in Italy, member of Board Committee, Member of Management Board of MTS SpA (June 2007- September 2008). Pietro is also Member of Board of MTS SpA (from September 2008). Member of Management Team LSEG member in working group for the definition

of rules and microstructure of the financial markets.

Pietro’s work experience includes: Banca della Svizzera Italiana (BSI) (Generali Insurance Group) (1994-99), Mercati Finanziari Sim (Gruppo Istbank) (1993-94), Paine Webber, Lugano branch (Switzerland) (1991-93).


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SPEAKERS

Kevin Quigg

SSgAVice President and Director of ETF Global Capital Markets Group

Kevin is a Vice President and Director of SSgA’s ETF Global Capital Markets

Group. The Global Capital Markets Group is responsible for working with the buy and sell side trading communities in the United States, Europe, and Asia as it relates to exchange traded products. The Global Capital Markets Group also represents the SPDR family of exchange traded funds to Hedge Funds, Endowments, Foundations, and Registered Investment Companies as well as lends support to SSgA’s broader efforts with Institutions and Consultants as it relates to exchange traded products. Additionally, Kevin oversees SPDR ETFs expansion into new markets in the Americas. Prior to rejoining SSgA, Kevin was a Business Development Officer responsible for exchange traded

product sales in New England for Barclay’s Global Investors. Prior to his time at BGI, Kevin spent 6 years as a Regional Consultant for SSgA in Los Angeles. Before joining SSgA, Kevin worked with Fidelity Investments Institutional Brokerage Group consulting with fee-based advisors on ways to realize efficiencies in their

practices. Kevin earned his Bachelor of Arts degree from The College of the Holy Cross. He is a Certified

Investment Management Analyst and holds his FINRA series 6, 7, 24 and 63 licenses.

Arlene C. Reyes

Exchangetradedfunds.com Chief Operating Officer and Founder

Arlene C. Reyes is Chief Operating Officer of exchangetradedfunds.com.

This is the 6th Global ETF Awards® Dinner and Workshop she has put together and now an expert in “Extreme Conference Engineering”. She has a diverse background and has been involved with various internet projects since 1989. Since establishing her own company in 1994, she has worked with a variety of industries; from retail through financial. In

1997 she co-founded exchangetradedfunds.com.

Ms. Reyes has traveled extensively throughout Europe and the Middle East. When she is not traveling or pursuing her studies in theology, Ms. Reyes is always trying to acquire knowledge.

Jim Rowley

Vanguard Head of ETF Data & Analytics

Jim Rowley leads the ETF Data & Analytics team at Vanguard. His team is responsible for conducting

comprehensive product and portfolio analysis, managing the ETF Product Management Team’s overall data reporting capabilities, and developing ETF product positioning. Prior to joining Vanguard in November 2005, he worked at Gartmore Global Investments as an investment analyst, at Lehman Brothers as an investment banker, and at Merrill Lynch as a marketing specialist. Mr. Rowley has an undergraduate degree from Villanova University and an M.B.A. from the Stern School of Business at New York University. He is a CFA charterholder and holds FINRA Series 7 and 63 licenses. He serves as vice president and treasurer of the CFA Society of Philadelphia.

Scott Sacknoff

SPADE Indexes President

Scott Sacknoff is the president of SPADE Indexes, a developer and manager of equity benchmarks

designed to measure the performance that the markets ascribe to economic sectors and regional economies. Currently three ETFs track their products including the Powershares Aerospace & Defense ETF (PPA), the OOK Oklahoma ETF (OOK) and the TXF Texas ETF (TXF). All three trade on the New York Stock Exchange. Details on the firm and the indexes can be found at www.spadeindexes.com.


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SPEAKERS

Sanjiv Shah

Benchmark Asset Management Co Pvt. Ltd Executive Director

Sanjiv has completed his M. Sc. (Economics) in International Accounting and Finance from London School of

Economics. He has obtained an FRM certification

from Global Association of Risk Professionals. He has over 20 years of experience in the Capital Markets. He has worked with DSP Merrill Lynch Ltd., Mumbai for 14 years. He has been involved in various committees and seminars to look into better functioning of the markets. Benchmark Asset Management Company Pvt. Ltd. (BAMC) is the first and only asset management

company in India with a primary focus on indexing and using quantitative techniques in creating innovative products.

Bibb L. Strench

Seward & Kissel LLPCounsel

Bibb L. Strench is a Counsel in the Washington, D.C. office of Seward

& Kissel LLP. Mr. Strench’s practice focuses on exchange-traded funds, investment advisers, mutual funds and separately managed account sponsors. He provides advice on regulatory, compliance, entity formation, auditor independence, corporate governance and other issues related to the operation of the aforementioned businesses. Mr. Strench frequently speaks and writes on issues surrounding investment management and securities regulation. Mr. Strench began his career as a staff attorney in the Division of Investment Management of the U.S. Securities and Exchange Commission. Mr. Strench received his J.D. from University of Virginia School of Law and B.A. from Vanderbilt University, 1984.

Don Suskind

PIMCOSenior Vice President

Mr. Suskind is a senior vice president in the Newport Beach office and head

of the exchange-traded fund (ETF) product management team, which is responsible for PIMCO’s ETF business globally. He also serves as a vice president of the PIMCO ETF Trust. He was previously on PIMCO’s StocksPLUS product management team, and prior to joining PIMCO in 2004 he provided merger and acquisition advisory services. He has 11 years of investment experience and holds an MBA from the Wharton School of the University of Pennsylvania and an undergraduate degree from the University of Virginia.

Robert Tull

Robert Tull and CompanyPresident

Robert Tull, president of Robert Tull and Company (RTCO) and specializes in serving as a consultant to multiple

members of the financial services community. RTCO

focus is helping new ETF issuers and service providers to engineer, service and launch new financial products.

Since 2005 Bob has been directly involved with the development of MacroShares, GlobalShares, and back office infrastructure for ETF custodians and distributors.

Additionally, Bob has help to develop new asset allocation applications for large pension systems.


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SPEAKERS

Michael D. Underhill

Capital Innovations, LLC Chief Investment Officer

Michael D. Underhill, Chief Investment Officer of Capital Innovations, is

responsible for portfolio management and leading the research for the firm’s infrastructure

investment strategies across equity and fixed-income

investments. Mr. Underhill has appeared on numerous television interviews, and his investment strategies have been featured in The New York Times, Pensions and Investments, Investments and Pensions Europe, The Economist, numerous Dow Jones publications as well as other national and international news organizations. Mr. Underhill holds a bachelor’s degree in economics from Pennsylvania State University. He is recognized worldwide as a leading expert in the infrastructure asset class. His seminal book, “The Handbook of Infrastructure Investing” published by John Wiley & Sons in 2010, is a collection of expert infrastructure investing content that was derived from his years of experience working with some of the largest sovereign wealth funds and government pension funds in the world.

speakers 2010 6h annual global etf awards · while at bear stearns, ... and is the author of ‘the...

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