Panel recordings are now available from the Capital Markets Strategies US Trading and Best Execution Summit held on May 12-13, 2021.

Panel – Examining the Impact of Regulatory Developments on Trading and Best Execution

Topics

• Update on key regulatory proposals and changes affecting trading and best execution
• How institutional investors are adapting to keep pace with changes and ensure compliance with regulations

Panelists

• Ari Burstein, Moderator, President, Capital Markets Strategies
• Stephanie Dumont, Executive Vice President and Head of Market Regulation and Transparency Services, FINRA
• Nat Evarts, Managing Director, Head of Trading, Americas, State Street Global Advisors
• Richard Grant, Global Head of Regulatory and Government Affairs, AQR
• John Roeser, Associate Director, Division of Trading and Markets, US Securities and Exchange Commission
• Joe Wald, Managing Director, Co-Head of Electronic Trading, BMO Capital Markets

Keynote “Fireside Chat” – Conversation with the CFTC

• Brian D. Quintenz, Commissioner, Commodity Futures Trading Commission

Panel – “Fireside Chat” With Current and Former SEC Division of Examinations (formerly “OCIE”) Directors

Topic

Discussion with current and former Division Directors that will examine whether the current regulatory environment works for today’s market structure; upcoming challenges for the markets; and lessons for the industry from past missteps.

Panelists

• Gail Bernstein, Moderator, General Counsel, Investment Adviser Association
• Andrew Bowden, Former OCIE Director
• Carlo di Florio, Partner & Global Chief Services Officer, ACA Compliance Group
• Peter Driscoll, Director, Division of Examinations, U.S. Securities and Exchange Commission
• Lori Richards, Former OCIE Director
• Marc Wyatt, Head of Global Trading, T. Rowe Price

Panel – Advancements in Technology and Execution Tools and Services – Impact on Investors and Best Execution in the Equities Markets

Topics

• Examination of new trade execution tools and services to assist institutional investors
• Advancements in the use of AI and machine learning in trading
• How to best use algorithms and other technology-driven trading tools

Panelists

• Ari Burstein, Moderator, President, Capital Markets Strategies
• Brian Bulthuis, Global Head of Quantitative Trading Strategy, Instinet
• Enrico Cacciatore, Senior Quantitative Trader, Head of Market Structure & Trading Analytics, Voya Investment Management
• Roman Ginis, Founder and CEO, IntelligentCross
• Chuck Mack, Head of US Equities, Nasdaq

Panel – Developments in ETF Trading and Market Structure – Trading Issues to Consider for Institutional Investors

Topics

• Innovations in trading platforms and trading tools
• Increased use of program trading vs. trading of ETFs
• Evaluating the ETF trade and metrics for gauging liquidity

Panelists

• Ari Burstein, Moderator, President, Capital Markets Strategies
• Brad Kotler, Vice President, SPDR ETF Sales Execution & Institutional Strategy, State Street Global Advisors
• Cory Laing, Head of Institutional Equity and ETF Sales, Citadel Securities
• Eric M. Pollackov, Global Head of ETF Capital Markets, Invesco
• Douglas Yones, Head of Exchange Traded Products, New York Stock Exchange

Panel – Utilization of ETFs and Indices by Institutional Investors and the Impact on Trading and Best Execution

Topics

• Factors to consider when investing in ETFs
• How institutional investors are utilizing ETFs and indices to address liquidity solutions
• How to construct and implement portfolios utilizing indices

Panelists

• David LaValle, Moderator, CEO, Alerian and S-Network Global Indexes
• Giang Bui, Head of U.S. Exchange Traded Products, Nasdaq
• Chris Heakes, Director, Portfolio Manager, BMO Global Asset Management
• Anita Rausch, Head of Capital Markets, WisdomTree Asset Management
• Steve Sachs, Managing Director, Global Head ETF Capital Markets, Goldman Sachs Asset Management