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Capital Markets Colloquium

Jim and Judy O'Brien Capital Markets Colloquium

Wednesday, February 22, 2017

Register here for the workshops you wish to attend including the lunch speaker (lunch is provided). This is an excellent opportunity to mix with industry practitioners and discover just how broad and complicated the capital markets industry has become.

Overview of the Day

8:30 a.m. - Market Opening Bell
Scott Rothbort, Scott Fullman
Trading Room JH 559

9:30 a.m. & 11 a.m. - Investing in Corporate Credit
Stephen McCall
PC Lab JH524

Auditing Hedge Funds and Private Equity Companies
Kunjan Mehta
Faculty Library JH669

The Value of Comprehensive Financial Planning
Brian Snerson
Entrepreneurial Rm JH528

Regulatory Guidance for Model Risk Management
Ben Steiner
Market Research Center JH 677

12:30 p.m. Welcome
Dean Joyce Strawser
Luncheon Speaker:James Malgieri, EVP / Markets, BNY Mellon
Atrium 4th Floor

2:00 p.m. & 3:30 p.m. - Another Boom and Bust Cycle
Brian Reynolds
Market Research Rm JH677

The acceleration in the growth of financial services outside the U.S. and the career opportunities that are emerging
Adam Broder
Dean's Conference Room JH 558

Cultural Due Diligence in a M & A Environment
Mark McCoy
Faculty Library JH 669

Debt Capital Markets Update - Current Market Trends for Corporate Debt
Matthew Mc Neily
Entrepreneurial Rm JH528

5:30 p.m. The Over Blemished Strength of the Economy
Jordan Canevari, Carter McIntosh
PC Lab JH524

Session Descriptions

Market Opening Bell - Scott Rothbort, Scott Fullman - Trading Room JH 559
Our day starts with a preparation for today's maket open, bagels and coffee provided. We will review what is happening in the global markets in Asia and London. Closer to home the question of expected earnings announcements, regulatory metrics to be released, and corporate announcements made over-night in the U.S. markets will be discussed. Companies impacted will define the corporate stocks and bonds that are "watch list" stocks for today.

Led by: Scott Rothbort (bio)

Investing in Corporate Credit - Stephen McCall - PC Lab JH524
This seminar will address the following questions: What should I be concerned about when lending money to a company or buying corporate bonds? How can I be sure a company will be financially healthy enough to repay its obligations? How can I tell if a company is going to go bankrupt? An internship opportunity will also be discussed. (BFIN 2001 Credit Apprenticeship students are expected to attend).

Led by: Stephen McCall (bio)

Auditing Hedge Funds and Private Equity Companies - Kunjan Mehta - Faculty Library JH669
The multi-trillion dollar hedge fund and private equity market place is changing faster than ever and change brings risk. Kunjan will discuss what makes this financial services sector unique and some of the nuanced challenges of providing cogent advice during the review process.

Led by: Kunjan Mehta (bio)

The Value of Comprehensive Financial Planning - Brian Snerson - Entrepreneurial Rm JH528
Robo-advisors are changing the landscape for younger investors looking for low-cost, technology friendly financial management solutions. Is this just the latest trend or a long-term solution for younger investors? What value do fee-based planners offer those who need traditional holistic advice? This workshop will discuss the options available in the marketplace and the pro's and con's of the various service models.

Led by: Brian Snerson (bio)

Regulatory Guidance for Model Risk Management - Ben Steiner - Market Research Center JH 677
Mathematical Finance involves mathematical models to describe various aspects of the financial system (for example: asset prices, volatility levels, actor behavior and the behavior of the system as a whole). These models are often taught on a course on Mathematical Finance: how to derive the model, the theory of how the model works, how to implement and program them and so on.

However, models are only ever a simplification of reality rather than the reality itself. A good modeler will also understand that a model can be dangerous in the wrong hands or when used in the wrong context. Bank regulators are increasingly focused on understanding the assumptions, limitations and weaknesses of any model that the banks are using.

This seminar will review the regulatory requirements for model risk management. The presentation will be a light-hearted and entertaining review of SR 11-7, since it's not exactly the most exciting of topics…

However, for anyone interested in a job working with models in the financial system, an understanding of the regulatory expectations is required as well as the technical ability to create the models themselves.

Led by: Ben Steiner (bio)

Welcome - Dean Joyce Strawser - Atrium 4th Floor
Luncheon Speaker:James Malgieri, EVP / Markets, BNY Mellon

2:00 p.m. & 3:30 p.m. Another Boom and Bust Cycle - Brian Reynolds - Market Research Rm JH677
Many equity investors do not seem to understand that the prime mover of a modern bull market is not the fundamentals but rather the structural need of credit investors to "go long." Pensions are bringing in even more money from the cities and towns that contribute to them, leading to a more intense credit boom that eventually ends badly. This has direct implications for the global stock markets. This workshop will examine the direct influence the credit markets have upon the stock market and what to look for as an equity investor.

Led by: Brian Reynolds (bio)

The acceleration in the growth of financial services outside the U.S. and the career opportunities that are emerging - Adam Broder - Dean's Conference Room JH 558
We will discuss the reasons why financial services companies are rapidly expanding their non-U.S. operations, with a particular focus on developing economies. We will examine the short and long-term goals companies are setting, the obstacles to growth and the keys to success. Given this growth, we will discuss the career opportunities that are materializing, as well as strategies for recent graduates and young professionals who choose to seek such opportunities.

Led by: Adam Broder (bio)

Cultural Due Diligence in a M & A Environment - Mark McCoy - Faculty Library JH 669
Human capital remains and will continue to be one of the most important resources to organizations in the foreseeable future. The inability to successfully integrate employees after a merger or acquisition can not only hinder progress, but eliminate any accretion projected prior to the transaction. Recently there have been several instances of companies miscalculating the "human factor." This session will host an open discussion on best practices that can assess talent, reduce attrition and boost morale, all of which will drive both top and bottom line growth.

Led by: Mark McCoy (bio)

Debt Capital Markets Update - Current Market Trends for Corporate Debt - Matthew McNeily - Entrepreneurial Rm JH528 Interactive update on market activity for corporate bond markets. Topics covered will include economic drivers, market performance, interest rate views and swap market developments. Discussions will entail recent trends, current conditions and expectations as we drive through a period of enhanced volatility stemming from ancillary markets (equities, commodities, global concerns). M&A was a large driver of volume in 2016 and will persist in 2017.

Led by: Matthew Mc Neily (bio)

The Over Blemished Strength of the Economy - Jordan Canevari, Carter McIntosh - PC Lab JH524
This workshop will cover the major indicators that show the contrarian belief is incorrect, and how this is effecting corporate earnings and the market overall.

Led by: Jordan Canevari, Carter McIntosh (bio)

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