ETFs Investment Strategies

1. Register by 10/24/08 and
Save $1,000
Proudly presents the 4th Annual:
ETFs AND INDEXING TM
ASSEMBLY Tracking ETF Strategies to
Navigate Market Turmoil
January 28-29, 2009 | New York, NY
Highlights of the program include:
Implementing trading strategies for bear and volatile markets
•
Examining the latest sector and industry ETFs to hit the market
•
Weighing fundamental indexing against market cap and other methods
•
Assessing how to replicate alternative investments strategies with ETFs
•
Using ETFs in ERISA-based accounts
•
Hear from Participating Organizations such as:
AltaVista Research
Oppenheimer & Co. Appel Asset Management Corp.
Hennion & Walsh Asset
Morgan Stanley Fox Hall Capital
Management
Avatar Associates Ladenburg Thalmann
Picket Fence Financial
Efficient Market Advisors ScotiaMcLeod
PUR Investing Inc.
Janney Montgomery Scott ETF Associates
RBC Wealth Management
Penn Financial Group Harmony Asset Management
Lakeview Asset Management
The Beta Brief Chapin Hill Advisors
Sponsor: Media Partners:
Register Today! Call Dhaval: 416.597.4754 or e-mail: dhaval.thakur@iqpc.com

2. Finance IQ’s 4th ETF & Indexing Assembly will examine pressing issues from trading techniques using
exchange traded funds in volatile and bear markets to exploring the latest sector and industry funds to
incorporating ETFs in retirement accounts. Advisors, portfolio managers, and others have been summoned from
some of the largest and innovative firms in North America to share insight of successful investing in ETFs
CONFERENCE DAY ONE Wednesday
January 28, 2009
Registration and Coffee Assessing Principals of Index Construction
8:00 2:00
Using methodologies behind new weighting techniques
•
Chairperson’s Opening Remarks
9:15 Weighing the pros and cons of weighting schemes, such as
•
market cap, total dividend, fundamental, equal weighting,
Investing and Trading Strategies for Volatile
9:30 and collared
and Bear Markets • Looking at the common criteria used to set up an index
Using ETF puts, calls, and options to mitigate risk • Conducting periodic reviews for updating index constituents
•
Cost impact in volatile and downward market – what impacts an index’s holdings?
•
• Utilizing creation baskets and creation units for arb Kathy Boyle, CFP, President, Chapin Hill Advisors
opportunities
Weighing Fundamental Indexing against
• Determining if inverse ETFs will perform well in down markets 2:45
Market Cap and other Methods
Moderator: Kris Rollenhagen, Executive Director, Closed End &
Exchange Traded Index Funds, Oppenheimer & Co Assessing fundamental indexers’ “independence
•
Marvin Appel, CEO, Appel Asset Management Corp. assumption” of fair value
Scott Rothbort, Founder & President, Lakeview Asset • Developing a value bias for fundamental weighting
Management • Examining the pros and cons vs. market cap indexes
Nicholas G. Penna, Vice President, Portfolio Manager, Rampart • Strategies of combining fundamental and market-cap
Investment Management weights that produce exceptional results
Preet Banerjee, Senior Vice President, Pro-Financial Asset
Active vs. Passive ETF Management
10:15 Management
Determining how actively managed ETFs will communicate Sean O’Hara, President, RevenueShares
•
changes in its portfolio throughout the trading day
Networking Break
• Judging when a fund would need to announce its trades 3:30
• Assessing cost implications
Developing an Approach to ETF Investment
• Discussing if the down market will trigger investors’ interests 4:00
Analysis
in active ETFs
• Examining if active managers are better prepared to protect as Proliferating choices and competing claims
•
compared to passive funds Uses and limitations of traditional, performance-based
•
Moderator: Richard Kang, Editor, The Beta Brief analysis
Paul Mazzilli, Director, ETF Research, Morgan Stanley • Utilizing an alternative approach to analyzing ETFs
• Assessing what resources are available to help investors and
Networking Break
11:00 their advisors?
• Discussing if the market has moved too far away from the
Discovering the Latest Sector and Industry
11:30 simple ETF
ETFs • Detecting structural deficiencies
Measuring the success of the latest ETFs in commodities, Michael Krause, President, AltaVista Research, LLC
•
natural resources, and hard assets Joseph Witthohn, CFA, Director of ETF Research, Janney
• Examining “all-world” exchange traded funds
Montomery Scott LLC
• Inspecting inverse, leveraged, and inverse-leveraged funds
Reception
• Looking at the structure and upside of fund of ETFs
4:45
Matthew McCall, President, Penn Financial Group, LLC
Lloyd Raines, First Vice President, RBC Wealth Management
Kathy Boyle, CFPTM, President, Chapin Hill Advisors Inc.
Networking Luncheon
12:15
Exploring Frontier Market ETFs Special Thanks to Our Expert
1:15
Accessing Middle Eastern equity markets
•
Advisory Board:
• Evaluating risks and returns from hot regions, such as MENA,
BRIC, Pacific Rim, etc.
Richard Kang, Editor, The Beta Brief
• Looking at the risks of single-country ETFs
Moderator: Lloyd Raines, First Vice President, RBC Wealth Lloyd Raines, First Vice President, RBC Wealth Management
Management
Michael Krause, President, AltaVista Research, LLC
David Dziekanski, Head of ETF Research, Ladenburg Thalmann
Richard Kang, Editor, The Beta Brief
2 Register Today! Call Dhaval: 416.597.4754 or e-mail: dhaval.thakur@iqpc.com

3. CONFERENCE DAY TWO Thursday
January 29, 2009
Registration and Coffee Networking Break
8:00 10:30
Chairperson’s Opening Remarks Principals of Integrating ETFs into Investment
8:45 11:00
Portfolios
Replicating Alternative Investment Strategies
9:00 Matching an investor’s risk tolerance, liquidity, sophistication, and
•
with ETFs capital deployment with the appropriate ETF and index structure
Mastering portable alpha strategies and absolute returns • Structuring and executing trades through secondary service
•
Examining the constituents and weightings of an index that providers
•
track alternative investments • Implications of fund rebalancing on investment portfolios
• Investing trends in commodities and currencies Mark Yamada, President & CEO, PUR Investing Inc.
Dave Morton, President & Co-Chief Investment Officer, Fox Matthew Forester, Chief Investment Officer, ETF Associates
Hall Capital
Implementing ETFs into ERISA-Based Accounts
Alex Gurvich, Co-Founder and Managing Partner, 11:45
The Rockledge Group Assimilating exchange-traded-funds into 401(K), IRA, etc.
•
platforms
Developing New Commodities Indexes and
9:45 • Turning ETFs into viable long-term investment instruments
Investment Strategies • Gauging the success of target-date funds
Using momentum-based long/short approach to ETC investing • Developing a strategy to make ETFs appealing to retail
•
Incorporating the fundamentals of spot, futures, and storage investors as a retirement investment option
•
market activity when comparing commodity ETFs Herb Morgan, CIO, Efficient Market Advisors LLC
• Assessing differences in constituents and weighting schemes Kevin Mahn, Chief Investment Officer, Hennion & Walsh
and rebalancing rules Asset Management
• Developing commodity indexes that are consistent with the Alan Rosenfield, Managing Director, Harmony Asset
underlying economics of commodities futures market Management LLC
Ted Theodore, CFA, Chairman & Chief Investment Officer,
End of Conference
Avatar Associates 12:30
WORKSHOP: Tax Implications of ETF Investing
1:30 – 4:30
As an advisor, you can enhance after-tax rates of return by delaying the What we will cover:
taxation of appreciated assets. This workshop will outline the inherent tax • Various tax advantages enjoyed by ETFs
advantages of ETFs, while highlighting various strategies you can employ • How the creation/redemption process facilitates tax-efficiency
to lower your clients’ tax bills.. • Tax treatment of different ETF structures
• Practical strategies you can employ within your firm
How you will benefit:
• Understand the tax treatment of these innovative investment vehicles Workshop Leaders:
• Gain insight into a number of strategies that focus on increasing your TBA
clients’ after-tax rate of return
• Develop a competitive advantage over your peers
Who You Will Meet and Who Will Attend: About Our Sponsor
RevenueShares™ Investor
Financial Advisors Heads of Closed-End Funds
• •
Services, a division of Pacer
Chief Investment Officers Heads of Investor Solutions Financial, Inc. provides
• •
innovative benchmark driven Exchange Traded Funds to the
Managing Directors Portfolio Managers
• •
institutional and retail investor. Our patent-pending investment
Heads of ETF Research Chairman of Indexing
• •
methodology ranks known benchmarks (S&P 500®) by company
CEOs/Presidents Sales and Marketing Managers
• •
revenue instead of market capitalization. S&P® maintains the index
Attorneys
•
calculations and conducts the backtesting and rebalancing.
Sponsorship and Exhibition Opportunities
Sponsorships and Exhibits are excellent opportunities for your company to showcase
its products and services to high-level, targeted decision makers attending the 4th
ETF & Indexing Assembly. Finance IQ helps companies like yours achieve sales,
marketing and branding objectives by setting aside a limited number of event
sponsorships and exhibit spaces – all of which are custom-tailored to help your
company create a platform to maximize its exposure at the event. Visit us on the
Web to see what other exciting and information-packed conferences are being
offered by the International Quality and Productivity Center. To find out more about
upcoming events, contact Mario Matulich at 866-232-8660 or via email at
sponsorship@iqpc.com.
3 Register Today! Call Dhaval: 416.597.4754 or e-mail: dhaval.thakur@iqpc.com

4. Proudly presents the 4th Annual:
ETFs AND INDEXING TM
TM
ASSEMBLY Tracking ETF Strategies to
Navigate Market Turmoil
REGISTRATION CARD (Email this form to info@iqpc.com or fax to 646-378-6025)
YES! Please register me for
❑ Conference Only ❑ Conference & Workshop A ❑ Workshop A only
Name _________________________________________________________________________________________________________
Job Title _________________________________________________ Organization_________________________________________
Approving Manager_____________________________ _______________________________________________________________
Address _______________________________________________________________________________________________________
City________________________________________State__________________________________________Zip_________________
Phone______________________________________E-mail_____________________________________________________________
❑ Please keep me informed via email about this and other related events.
❑ Check enclosed for $_________ (Payable to IQPC) ❑ Charge my ❑ Amex ❑ Visa ❑Mastercard ❑ Diners Club
Card #_______________________________Exp. Date___/___
❑ I cannot attend, but please keep me informed of all future events.
Book and Book and Book and Book and Book and Book and
PRICING Pay by Pay by Pay by Pay by Pay by Pay after
10/24/2008 11/7/2008 11/21/2008 12/5/2008 1/2/2009 1/2/2009
Standard Pricing
Save $1000 Save $800 Save $600 Save $400 Save $200
Conference Only $1,499 $1,699 $1,899 $2,099 $2,299 $2,499
Conference Save $1000 Save $800 Save $600 Save $400 Save $200
+ Workshop $2,048 $2,248 $2,448 $2,648 $2,848 $3,048
Workshop Only $549 $549 $549 $549 $549 $549
Note: Any registrations not accompanied by immediate payment will be subject to a $99 service charge. Please note that multiple discounts cannot be combined.
MAKE CHECKS PAYABLE IN U.S. DOLLARS TO: IQPC Details for making payment via EFT or wire transfer:
* CT residents or people employed in the state of CT must add JPMorgan Chase
6% sales tax. Penton Learning Systems LLC dba IQPC: 957-097239
ABA/Routing #: 021000021
Please note: Reference: Please include the name of the attendee(s) and the event number: 11243.004
All 'Early Bird' discounts must require payment at time of
•
registration and before the cut-off date in order to receive any Payment Policy: Payment is due in full at the time of registration and includes lunches, refreshment and
discount. detailed conference materials. Your registration will not be confirmed until payment is received and may be
Any discounts offered whether by IQPC (including team subject to cancellation. For IQPC’s Cancellation, Postponement and Substitution Policy, please visit
•
discounts) must also require payment at the time of registration. www.iqpc.com/cancellation
All discount offers cannot be combined with any other offer.
•
Venue Information:
TEAM DISCOUNTS TBD
For information on team discounts, please contact IQPC Customer New York, NY
Service at 1-800-882-8684. Only one discount may be applied per
registrant. Special Dietary Needs: If you have a dietary restriction, please contact Dhaval Thakur ta 416.597.4754
to discuss your specific needs.
Special Discounts Available: A limited number of discounts are
available for the non-profit sector, government organizations and ©2008 IQPC. All Rights Reserved. The format, design, content and arrangement of this brochure constitute
academia. For more information, please contact Dhaval Thakur a trademark of IQPC. Unauthorized reproduction will be actionable under the Lanham Act and common
at 416.597.4754. law principles.