The summit is designed to facilitate a substantive and in-depth discussion on the impact that ETFs have on markets and market structure, and the regulatory, trading, and technological developments impacting the use of ETFs.
Attendees will have the opportunity to see and hear speakers via live video and audio of the keynote and panel discussions with audience Q&A, visit virtual event booths where you can meet and speak with our sponsors, attend virtual happy hours, virtual networking sessions and receive physical promotional items from our sponsors for qualified buy side investors.
Free registration and CPD educational credits are offered to buy side institutional investors, financial advisors and RIAs.
Date & Time
May 19 & 20, 2021, 2:00 PM – 5:30 PM EDT
No problem! If you can't attend on the day, Register anyway and you'll receive recordings of all the sessions.
•Visit virtual exhibition booths • Watch product demos • Arrange one-on-one chats • Make new connections • Network with the industry
July 28 2:00 PM
Registration, Exhibit Hall & Networking
2:25 - 2:30 PM
2:30 - 5:00 PM
An Appraisal of Regulatory Issues impacting Market Structure and ETF Trading Moderator: Eric Pollackov, Global Head of ETF Capital Markets
Debating the State of Markets and Trading
Update on key regulatory developments impacting ETFs
Discussion of future ETF rulemakings and reforms
Fireside Chat with Anna Paglia, Global Head of ETFs and Indexed Strategies, Invesco Ltd Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
An investigation of Semi- Non-transparent Active ETFs Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
Discussing and comparing the existing / proposed models
What types of products are likely to be launched?
Will we see conversions of existing mutual funds?
Fireside Chat with Jim Ross, Non-Executive Chairman at Fusion Acquisition Corp. & Former Executive Vice President, Chairman, Global SPDR Business, State Street Global Advisors Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
5:00 - 5:30 PM
Networking & Virtual Drinks Reception
Featuring the Exhibit Hall & Networking Open Discussions
July 29 2:00 PM
Registration, Exhibit Hall & Networking
2:30 - 5:00 pm
ETF Trading – Creating Better Trading Systems and Trading Tools Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
Innovations in trading platforms and trading tools: ICE ETF Hub, RFQ platforms
Evaluating the ETF trade and best execution issues
Examination of the impact of recent trading rule changes on ETFs
Fireside Chat with Alex Matturri, Retired CEO, S&P Dow Jones Indices Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
Impact of Regulations on Investor Choice Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
How are regulations impacting ETFs, indices and investment product development?
Do investors need new or revamped ETF classifications
Asset Allocation Outlook – How Are Institutions and Financial Advisors Using ETFs? Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
How are Covid-19, WFH, political and economic trends impacting asset allocation?
How do and should investors select the best ETF?
How are model portfolios being constructed?
Who is using model portfolios?
5:00 - 5:30 PM
Networking & Virtual Drinks Reception
Featuring the Exhibit Hall & Networking Open Discussions
July 30 2:00 PM
Registration, Exhibit Hall & Networking
2:30 - 5:00 pM
Fireside Chat - How Regulators View ESG and Benchmarks Speaker: Rick Redding, CEO, Index Industry Association Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
Trends in ESG and Sustainable Investing Moderator: John Jacobs. Executive Director, Centre for Financial Markets and Policy, Georgetown University
What is ESG, sustainable and impact investing?
How are regulations impacting ETFs, indices and investment product development?
Which investors are using ESG products and how are they being used?
Fireside Chat with Kevin Gopaul, Global Head, Exchange Traded Funds, BMO Global Asset Management Moderator: Deborah Fuhr, Managing Partner and Founder, ETFGI
4:30 - 4:50 Pm
ETFGI's Update on Flows & Trends in the Global ETF Industry
Speaker: Deborah Fuhr, Managing Partner and Founder, ETFGI
4:50 - 5:00 Pm
4:50 - 5:00 Pm
Exhibit Hall & Networking Open Discussion
Visit virtual exhibition booths Watch product demos Arrange one-on-one chats Make new connections Network with the industry
THANK YOU TO OUR SPONSORS AND MEDIA PARTNERS!
Based in New York City, Blue Tractor Group, LLC develops proprietary solutions to facilitate novel exchange-traded fund products. Blue Tractor’s Shielded Alpha℠ ETF structure (patent pending) permits active fund management within an ETF wrapper, while fully obfuscating an advisor’s proprietary alpha strategy. The SEC permitted the exemptive relief for Blue Tractor’s ETF wrapper on December 10, 2019. More information is available at bluetractorgroup.com.
BMO ETFs is a Canadian leader in the Exchange Traded Fund industry with 30% of the market share. For the past 10+ years BMO ETFs has partnered with financial advisors, institutions and other clients to build ETFs that resonate with Canadians. We recognize the importance of providing our clients with innovative solutions and the highest quality service. We are dedicated to ETF education and continuing to grow the ETF industry in Canada. BMO ETFs takes pride in leading the way in Canada for Environmental, Governance and Social (ESG) related education and products. As well as ESG, BMO ETFs offers a comprehensive product suite of over 100 listings that includes well-known market indexes, broad and segmented fixed income, smart beta, tactical and active solutions. Highlights include core ETFs, low volatility and industry-leading covered call solutions. In Canada, BMO ETFs is the top fixed income ETF provider, the top provider of Smart Beta ETFs and has led the industry in sales for the past 9 years.
BNP Paribas Securities Services is creating an ETF Service Platform designed from the Issuing Agent’s prospective. By applying today’s technology we intend to improve the ETF Services Ecosystem by creating a “best in class” platform which consolidates and manages data on a single platform built upon three fundamental principals: Technology, Transparency and Value Added Features.
Chapman and Cutler represents a broad spectrum of financial institutions and issuers in connection with public and private offerings of debt and equity securities in a comprehensive corporate finance practice, including domestic and cross-border private placements and Rule 144A offerings, public offerings, private equity, mezzanine and project finance. Our clients include insurance companies, investment banks, pension funds, foreign and domestic issuers and commercial finance companies. We also counsel issuers with respect to disclosure requirements, stock exchange rules and other matters affecting public companies, including compliance with the requirements of the Sarbanes-Oxley Act.
Invesco is a global independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. Our distinctive investment teams deliver a comprehensive range of active, passive and alternative investment capabilities. With offices in 25 countries, Invesco managed $1.1 trillion in assets on behalf of clients worldwide as of May 31, 2020. For more information, visit invesco.com.
Nasdaq (Nasdaq: NDAQ) is a global technology company serving the capital markets and other industries. Our diverse offering of data, analytics, software and services enables clients to optimize and execute their business vision with confidence. To learn more about the company, technology solutions and career opportunities, visit us on LinkedIn, on Twitter @Nasdaq, or at www.nasdaq.com.
RIMES provides managed data services and regtech solutions to asset managers, owners, servicers and banks. We are a pioneer provider of cloud-based technology which delivers highly customized financial data over the internet. Supplying world-class data, supported by first-class service remains our prime focus today. The success of RIMES reflects a unique practical approach that combines the right technology with the best people. Our solutions are designed, delivered, and supported by an expert team recruited from the heart of the industry. As a global company, we serve over 350 institutions in 40 countries.
State Street Global Advisors serves governments, institutions and financial advisors with a rigorous approach, breadth of capabilities and belief that good stewardship is good investing for the long term. Pioneers in index, ETF, and ESG investing and the world’s third-largest asset manager, we are always inventing new ways to invest.
ETFs – Powered By State Street. In a complex, fragmented and rapidly evolving sector with distinctive servicing requirements, it is State Street’s long-standing and deep-rooted organizational commitment to ETFs that equips ETF issuers for success. We are the only global provider servicing all major ETF markets* - with more than 2,294 ETFs with AUM of $3,500B. Sources: 1. State Street analysis of ETFGI Global Insights report 4/30/2020
• Rochelle “Shelly” Antoniewicz, PhD, Senior Director of Industry and Financial Analysis, Investment Company Institute • Jeffrey Baccash, Director, Global Head of ETF Solutions, BNP Paribas Securities Services • Tony Baker, Founder and CEO, Investment Innovations • Stephen Blumenthal, Executive Chairman & CIO, CMG Capital Management Group • Hernando Cortina, CFA, Executive Director, Head of Index Strategy, ISS ESG • Edward Coughlin, Director of Trading Services, Nasdaq • Deborah Fuhr, Managing Partner and Founder, ETFGI • Stacy Fuller, Partner, K&L Gates • Kevin Gopaul, Global Head, Exchange Traded Funds, BMO Global Asset Management • Jodie Gunzberg, CFA, Managing Director, Chief Investment Strategist, Wealth Management Institutional, Morgan Stanley • Chris Hackel, Index Product Manager, Bloomberg • John Jacobs, Executive Director, Center for Financial Markets and Policy, McDonough School of Business, Georgetown University • Christopher Johnson, VP, Head of ETF Capital Markets & Equity Trading, Charles Schwab & Co. • John Lanaro, Global Head of ETF data, RIMES Technologies • Alex Matturri, Retired CEO, S&P Dow Jones Indices • Kathleen Moriarty, Partner, Chapman and Cutler • Terry Norman, Founder, Blue Tractor Group • Raina Oberoi, Managing Director, Head of Americas - Index Solutions Research, MSCI • Luke Oliver, Managing Director, Head of Index Investing, Americas, DWS Investment Management Americas • Anna Paglia, Global Head of ETFs and Indexed Strategies, Invesco Ltd • Barry Pershkow, Partner, Chapman and Cutler • Eric Pollackov, Global Head of ETF Capital Markets, Invesco • Anita Rausch, Head of Capital Markets, WisdomTree Asset Management • Rick Redding, CEO, Index Industry Association • Jim Ross, Non-Executive Chairman, Fusion Acquisition Corp. & Former EVP, Chairman, Global SPDR Business, SSGA • Kimberly Russell, Market Structure - ETF Capital Markets, State Street Global Advisors • Catherine Wood, Founder, CEO and CIO, ARK Invest
THANK YOU TO OUR SPEAKERS!
Rochelle (Shelly) Antoniewicz
Senior Director of Industry and Financial Analysis, Investment Company Institute
Rochelle (Shelly) Antoniewicz is Senior Director of Industry and Financial Analysis at the Investment Company Institute (ICI) where she conducts research on the structure and trends of the US and global ETF, mutual fund, and closed-end fund industries and on the equity and bond markets in the US and globally. Since the financial crisis of 2007-2008, Shelly also has contributed heavily to analysis on financial systemic risks in the US and more recently in the global arena. She also conducts economic analysis to better understand the costs, benefits, and impacts of proposed laws and regulations governing mutual funds and ETFs (e.g. summary prospectus, Rule 12(b)(1), Rule 30(e)(3), and derivatives). Prior to joining ICI in 2005, Shelly spent 13 years as a staff economist and Senior Economist at the Federal Reserve Board. She earned a BA in Management Science from the University of California, San Diego and an MS and PhD in Economics from the University of Wisconsin, Madison.
Jeffrey B. Baccash
Director, Global Head of ETF Solutions, BNP Paribas Securities Services
Jeffrey B. Baccash is the Global Head of ETF Solutions for the Securities Services business of BNP Paribas. In this role, he is responsible for driving the global strategy and enhancing the value proposition for ETF issuers and all the other stakeholders in the ETF market. Jeffrey leads the ETF community within Securities Services, with members spanning from Client Development, Client Lines, and Client Delivery. Prior to his current role, Jeffrey was US Head of Product Management for Asset Managers and Alternatives Investors, a role he has held since relocating to the New York office in 2013. He began his career with BNP Paribas in the King of Prussia office in 2004, where he held various roles in the Middle Office and Hedge Fund Administration groups, eventually managing the hedge fund operations group. Jeffrey holds a BSBA in International Economics & Finance from The Catholic University of America in Washington, DC and received an MBA from the Villanova School of Business.
Founder and CEO, Investment Innovations
Tony Baker brings over 30 years’ experience in the investment industry, specializing in new product development, quantitative investment techniques, and derivatives strategies. Prior to founding Investment Innovations LLC, Mr. Baker was Managing Director of the Index and Exchange Traded Products group at NYSE Euronext. This group and the exchange represent the principal listing venue for ETFs with an approximately 94% market share for listings. Tony was responsible for spearheading the active ETF initiative which was a continuation of his efforts begun in 2003 at the American Stock Exchange which was purchased by NYSE Euronext in October, 2008. As part of these endeavors, he has had extensive contact with the SEC, including meetings and presentations, as well as being an author on 10 patents regarding a process for allowing ETFs to trade without the need for daily disclosure of portfolio holdings (non-transparent active ETFs). In addition to pursuing solutions to the non-transparency issue, he worked with a number of new ETF issuers on a variety of issues related to developing and launching their ETFs. An integral part of this work was the access to virtually all constituents in the ETF industry, including regulators, trading firms, legal counsel, administrators, and distributors.
Executive Chairman & CIO, CMG Capital Management Group
Stephen Blumenthal founded CMG Capital Management Group, Inc. in 1992. Mr. Blumenthal is CMG’s Executive Chairman and Chief Investment Officer. Mr. Blumenthal began his career at Merrill Lynch in 1984 and he has over 34 years of investment management and industry experience. Mr. Blumenthal is a frequent speaker and writer on investment strategies. He writes investment commentary for Forbes and has been featured in The Wall Street Journal, Barron’s, Investor’s Business Daily, Pensions & Investments Magazine, Investment News and ETF.com. Mr. Blumenthal has appeared in various media outlets, including Bloomberg, CNBC and Fox Business News. Mr. Blumenthal is the author of the popular weekly e-letter, On My Radar, that helps investors, advisers and institutions gain a deeper understanding of the forces driving the economy and investment markets.
Mr. Blumenthal graduated with a Bachelor of Science degree in Accounting from Pennsylvania State University.
CFA, Executive Director, Head of Index Strategy, ISS ESG
Hernando Cortina, CFA is Head of Index Strategy at ISS ESG. Previously, he was Director of Indexes & Analytics at JUST Capital and portfolio strategist and equity index trader with Morgan Stanley. He started his career in Latin America equity research at Goldman Sachs. Hernando earned Bachelor of Science degrees in Electrical Engineering and Economics from MIT and an M.A. in Mathematical Finance from Columbia University. He was also awarded the Chartered Financial Analyst designation.
Director of Trading Services, Nasdaq
Mr. Coughlin currently serves as the Director of Trading Services and has over 30 years of experience in the securities industry and securities-related matters. He currently oversees the Nasdaq trading desk where he is responsible for the operational day to day activities. In addition, Mr. Coughlin represents Nasdaq on the industry’s LULD committee and is involved with market structure initiatives to improve auctions and reduce the risks associated with automated trading. Prior to joining Nasdaq, Mr. Coughlin was employed by Surge Trading where he served as the Head of Trading and Operations. In his role at Surge, Mr. Coughlin was responsible for supervising all market making and proprietary trading activity in addition to overseeing the day to day operational functions. Mr. Coughlin holds Series 3, 4, 7, 24, 55, and 63 registrations.
Managing Partner and Founder, ETFGI
Deborah Fuhr is the founder of ETFGI, an independent research events and consultancy firm which offers paid for subscription research services on trends in the global ETF ecosystem. Previously she was the global head of ETF research and implementation strategy and managing director at BlackRock/BGI, managing director and head of the investment strategy team at Morgan Stanley and an associate at Greenwich Associates.
She is a Fellow of CFA UK, the recipient of 100 Women in Finance’s 2017 European Industry Leadership Award, the 2014 William F. Sharpe Lifetime Achievement Award for outstanding and lasting contributions to the field of index investing and the ETF.com 2018 lifetime achievement award. She is a founder, board member and co-president of Women in ETFs EMEA and a founder and board member of Women in ETFs inc.
Partner, K&L Gates
Stacy Fuller is a partner at K&L Gates LLP, where she represents ETFs, their sponsors and boards of trustees. Since 2013, Ms. Fuller has been voted one of the leading U.S. lawyers for investment management by U.S. Best Lawyers. Before joining K&L in 2007, Ms. Fuller spent eight years at the SEC.
Global Head, Exchange Traded Funds, BMO Global Asset Management
Kevin Gopaulis the Head of BMO Global Asset Management Canada, Global Head of ETFs and Chief Investment Officer. Kevin is a key asset to the team with over 18 years of progressive investment industry experience, including global passive and active strategies. Prior to joining BMO GAM, he served as Principal, Portfolio Manager at Barclays Global Investors Canada where he played an integral role in overseeing the management of Exchange Traded Funds and Institutional mandates. Kevin also worked as an index arbitrage trader with Scotia Capital. Kevin continues to be an active participant in the financial services industry, serving as a member of the Standard & Poor’s Advisory Panel, and the Dow Jones Global Index Committee. Kevin studied Economics, Finance and Computer Science at the University of Waterloo. Kevin was named one of IIAC’s Top 40 Under 40 in 2015 and is currently the Vice Chair of Canadian ETF Association.
Jodie M. Gunzberg
CFA, Managing Director, Chief Investment Strategist, Wealth Management Institutional, Morgan Stanley
Jodie M. Gunzberg, CFA is Managing Director and Chief Investment Strategist, Wealth Management Institutional at Morgan Stanley. Jodie serves as head of the Graystone Investment Office that supports the investment needs of Graystone Consulting, which include the supervision and guidance of the Graystone Discretionary program and the support of Graystone “specialized” product due diligence. Jodie is also responsible for creating Graystone specific model portfolios, including 401K and target solutions, and manages a robust platform of thought leadership aimed exclusively at the needs and concerns of Institutional clients and sponsors.
Index Product Manager, Bloomberg
Based in New York, Chris Hackel is a product manager in the fixed income index product team at Bloomberg. The responsibilities of his team include new product development, with a focus on alternative weight, ESG, and smart beta indices; and advising clients and ETF providers on using the index platform to create customized solutions. Chris has been with the index business since 2010. Chris began his career as a developer in Fixed Income Quantitative Research at UBS. Subsequently, he worked on the Fixed Income trading desk at UBS structuring CMO deals, and developed and implemented automated strategies at a high-volume equity hedge fund. He holds a BA in Computer Science from Syracuse University.
Executive Director, Center for Financial Markets and Policy, McDonough School of Business, Georgetown University
John Jacobs is the executive director and distinguished fellow of the Center for Financial Markets and Policy. Prior to this role, he served more than 30 years at Nasdaq where he worked with institutional investors, IPOs, and top global public companies, including most recently in his roles as executive vice president of global information services and chief marketing officer. Currently, he serves as an executive advisor and principal consultant to Nasdaq’s CEO, president, and the executive vice president of global information services. Jacobs earned an MBA from Loyola University of Maryland and a bachelor’s degree in accounting from the University of Maryland.
VP, Head of ETF Capital Markets & Equity Trading, Charles Schwab & Co.
Chris Johnson is a Vice President and Head of ETF Capital Markets and Equity Trading supporting CSIM. In this role, he is responsible for overseeing the Equity Trading Team as well as the implementation of all ETF capital markets functions for CSIM, including managing relationships with authorized participants, market makers, stock exchanges and regulators.
Global Head of ETF data, RIMES Technologies
John Lanaro is the Global Head of ETFs at RIMES technologies and brings more than a decade of experience specializing in ETF data management. At RIMES Technologies John’s responsibility is to partner with ETF issuers/custodians in order to gain access to holdings and fund level data for RIMES clients. John is an expert in requirements gathering, development and implementation of technology solutions for the buy-side including Delta One, swaps and other derivatives trading. Prior to joining RIMES John gained extensive ETF experience at Morgan Stanley and IHS Markit.
Retired CEO, S&P Dow Jones Indices
Mr. Matturri has been a member of S&P Global’s executive team for 12 years having joined the company in 2007. During his tenure, Mr. Matturri has been instrumental in overseeing S&P DJI’s transformation into the growing and leading global index provider it is today. He has spearheaded the division’s strategic mergers and acquisitions including the historic combination of S&P Indices and Dow Jones Indexes, forming S&P Dow Jones Indices LLC, a joint venture between S&P Global as the controlling member, and the CME Group to become one of the world’s largest providers of financial markets indices.
Partner, Chapman and Cutler
Kathleen Moriarty is a partner in Chapman’s Corporate and Securities Department and a member of the firm’s Investment Management Group. She has extensive experience representing investment companies with the creation, structuring, and development of new exchange-traded products (ETPs) and was actively involved in the development of SPDRs, the first US exchange-traded fund (ETF) as well as many other ETFs. Kathleen represents a wide variety of market participants in connection with ETPs as well as commodity-backed derivative securities and non-investment company exchange traded vehicles, such as the US ETFS precious metals trusts. She also advises index providers licensing their financial products to ETPs.
Founder, Blue Tractor Group
Terry is a financial mathematician, experienced at developing alpha generation models to support Equity, Fixed Income and FX businesses globally. Previously he worked for firms in both the UK and U.S., including Bank of America, WorldInvest, PanAgora Asset Management, Morgan Stanley and Merrill Lynch. He is a listed inventor on numerous issued and pending patent applications concerning ETFs. Terry has a degree in mathematics from the University of London.
Managing Director, Head of Americas - Index Solutions Research, MSCI
Raina Oberoi heads the Index Solutions research team for the Americas. She conducts research and assists institutional clients on their investment decisions with respect to MSCI products. Previously, she was an index trading strategist at Morgan Stanley. Raina has a B.S. in Finance and an MBA from Columbia Business School. She is also a Trustee for the Oliver Scholars Program.
Managing Director, Head of Index Investing, Americas, DWS Investment Management Americas
Luke is the Head of U.S. ETF Capital Markets for Deutsche Xtrackers, is one of the founding members of the U.S. business, joining in 2009. In this capacity Luke has been a prominent member of the team that manages 40 exchange traded products and $14bn in assets under DBX Advisors, a Registered Investment Advisor. Mr. Oliver’s responsibilities have included portfolio management, product development and is now focused on running capital market liquidity for the growing U.S. business. Prior to joining the DBX business in 2009, Mr. Oliver worked in Deutsche Bank’s award winning Foreign Exchange business in both London and New York.
Global Head of ETFs and Indexed Strategies, Invesco Ltd
Anna Paglia is a Managing Director and Global Head of ETFs and Indexed Strategies at Invesco. In this role, she is responsible for managing the operations and setting forth the strategy and vision for Invesco’s exchanged-traded funds (ETFs) and indexed business.Ms. Paglia joined Invesco in 2010. Prior to her current role, she served as head of legal for Invesco’s US ETFs and was team leader for and provided legal support to Invesco’s unit investment trust business for nine years and has worked with various teams, market participants, and external index partners. Before joining Invesco, Ms. Paglia was a partner in the investment management group at K&L Gates LLP and served as fund counsel and counsel to the independent directors for a number of mutual funds and ETFs. Prior to K&L Gates LLP, she was in-house counsel at Barclays Global Investors in London, where she contributed to theEuropean expansion and cross-listings of the iShares ETFs. Ms. Paglia has provided thought leadership to the ETF industry since 2000 and has worked toward ETF innovation in both Europe and the US. Ms. Paglia earned a JD from L.U.I.S.S. Law School in Rome, a law school certificate from Kingston University School of Law in London and an LLM from Northwestern University School of Law in Chicago. She is admitted to practice law in Illinois and New York.
Partner, Chapman and Cutler
Barry Pershkow is a partner in Chapman’s Corporate and Securities Department and a member of the firm’s Investment Management Group. He is nationally recognized for his work in the field of exchange-traded funds (ETFs). Barry has extensive experience working on matters involving the establishment, representation, and counseling of ETFs, alternatively structured exchange-traded investment products (ETPs), commodity pools, their advisers, and listing markets. He advised on the formation and operation of a variety of investment products, including the industry’s first leveraged and inverse ETFs, the first leveraged and inverse commodity and currency exchange-traded products, and the first long/short ETF. Prior to joining Chapman in 2017, Barry served as senior counsel with the U.S.Securities and Exchange Commission’s (SEC) Division of Investment Management for more than five years. While at the SEC, Barry led ETF-related initiatives as chair of the SEC’s interdivisional ETP Task Force and led SEC staff meetings with senior representatives of the fund industry concerning new and novel products and proposals, including sponsors, liquidity providers, national securities exchanges, and service providers. Additionally, Barry served as a member of the SEC’s Fintech Working Group, which addressed transformative issues, including those related to digital currency, initial coin offerings, and blockchain technology. Prior to the SEC, Barry was in private practice and also served as vice president and counsel at ETF sponsor ProShares.
Global Head of ETF Capital Markets, Invesco
Eric Pollackov is Global Head of ETF Capital Markets for PowerShares by Invesco. In this role, Mr. Pollackov proactively develops relationships with sell-side trading desks, implements PowerShares’ ETF capital markets strategies and develops and measures the success of client business plans. Before joining PowerShares by Invesco in 2016, Mr. Pollackov was Head of ETF Capital Markets for Charles Schwab. Previously, he served as managing director of exchange-traded products at NYSE Euronext. He began his career in 1999 as a derivatives trader for Susquehanna International Group, specializing in ETFs. Mr. Pollackov earned a bachelor’s degree from The State University of New York at Buffalo and holds the Series 7 and 24 registrations.
Head of Capital Markets, WisdomTree Asset Management
Anita Rausch is the Head of Capital Markets for WisdomTree Asset Management. She is responsible for global senior relationship management with the trading ecosystem, focused on trading firms, broker dealers, asset managers, hedge funds and exchanges. Anita is involved in all aspects of the ETF cycle, from product development through education and distribution, and support of the ETF in its secondary life. She has been working with ETFs for over 18 years and is an educator, advocate and consultant for the structure. Prior to joining WisdomTree, Anita was an Executive Director and senior trader on the JP Morgan ETF trading desk where she facilitated trades for all of the firm’s clients across all ETFs. Anita started her career at Morgan Stanley and was an Executive Director co-heading their ETF trading desk. Anita is also a major contributor to both of David Abner’s books, The ETF Handbook (Wiley, 2010/2016) and The Visual Guide to ETFs (Bloomberg, 2013). She holds a BA in International Business with a minor in German from the George Washington University.
CEO, Index Industry Association
Rick Redding has spent more than twenty five years in global financial markets and is currently the Chief Executive Office of the Index Industry Association. As CEO, Rick is responsible for leading IIA’s global education and advocacy strategy. IIA’s mission is to represent the global index industry by working with market participants, regulators, and other representative bodies to promote sound practices in the index industry. Prior to joining IIA, Rick served the majority of his career in senior leadership roles with the CME Group, a leading provider of benchmark futures and options products and an innovator in trading. Rick held the post of Managing Director of Products and Services at CME Group. In this role, he led product management and development, global sales and developed strategic growth initiatives. He was a key player in transitioning the Exchange into electronic trading. In addition, he played a vital role in the historic merger of the Chicago Board of Trade (CBOT) and the acquisition and integration of New York Mercantile Exchange and the Commodity Exchange Inc. (NYMEX and COMEX). Previously, Rick was the global head of CME’s Index Products Division. Rick is a Chartered Financial Analyst and holds a Masters of Business Administration from the University of Houston, and a Bachelor of Science from Houston Baptist University. Barry served as senior counsel with the U.S.Securities and Exchange Commission’s (SEC) Division of Investment Management for more than five years. While at the SEC, Barry led ETF-related initiatives as chair of the SEC’s interdivisional ETP Task Force and led SEC staff meetings with senior representatives of the fund industry concerning new and novel products and proposals, including sponsors, liquidity providers, national securities exchanges, and service providers. Additionally, Barry served as a member of the SEC’s Fintech Working Group, which addressed transformative issues, including those related to digital currency, initial coin offerings, and blockchain technology. Prior to the SEC, Barry was in private practice and also served as vice president and counsel at ETF sponsor ProShares.
Non-Executive Chairman, Fusion Acquisition Corp. & Former EVP, Chairman, Global SPDR Business, SSGA
Jim Ross is Non-Executive Chairman at Fusion Acquisition Corp. Ross retired from State Street in March after 27 years with the firm, most recently serving as executive vice president of State Street Global Advisors and chairman of the asset manager’s global SPDR exchange-traded funds.
Market Structure - ETF Capital Markets, State Street Global Advisors
Kimberly Russell is a Vice President and Market Structure Specialist in the ETF Capital Markets Group at State Street Global Advisors. Based in New York, she is responsible for business development with exchanges, evaluating market structure and regulatory developments, and providing analysis on aspects of equity market structure that impact liquidity of exchange-traded funds. Prior to joining State Street, Kimberly was a Director at Barclays Capital Inc., where she held various roles in the Equities division from 2008-2017. Kimberly started her career at Lehman Brothers as an investment banking intern in the Global Real Estate Group. Kimberly holds a Bachelor of Arts with Honors from Cornell University. She is a member of the Security Traders Association’s Market Structure Analyst Committee, Nasdaq’s Institutional Traders Advisory Council (ITAC), and Limit Up-Limit Down Advisory Committee. Outside of the securities industry, she serves as an officer of the Cornell Rowing Association’s Board of Trustees.
Founder, CEO and CIO, ARK Invest
Cathie registered ARK Investment Management LLC (“ARK”) as an investment adviser with the U.S. Securities and Exchange Commission in January 2014. Focused solely on disruptive innovation, ARK aims to identify large-scale investment opportunities in the public markets resulting from technological innovations centered around genome sequencing, robotics, artificial intelligence, energy storage, and blockchain technology. Prior to ARK, Cathie spent twelve years at AllianceBernstein as Chief Investment Officer of Global Thematic Strategies where she managed over $5 billion. Cathie joined Alliance Capital from Tupelo Capital Management, a hedge fund she co-founded which, in 2000, managed $800 million in global thematic strategies. Prior to her tenure at Tupelo Capital, she worked for 18 years with Jennison Associates as Chief Economist, Equity Research Analyst, Portfolio Manager and Director. She started her career in Los Angeles, California at The Capital Group as an Assistant Economist. Cathie received her Bachelor of Science, summa cum laude, in Finance and Economics from the University of Southern California in 1981. In 2018, editors at Bloomberg acknowledged Cathie by selecting her to its second annual Bloomberg 50 list of people across business, entertainment, finance, politics, technology, and science who have defined global business. Additionally, Fortune named Cathie to its exclusive roundtable of experts in the annual Fortune Investors Guide: The Best Investing Advice for 2019 From Fortune’s Experts. In 2016, Cathie received the “Women in Finance – Outstanding Contribution Award” from Market Media, and she was a featured speaker at the World Economic Forum (China) in 2016 & 2017, and the World Strategic Forum (Miami) in 2017.Barry served as senior counsel with the U.S.Securities and Exchange Commission’s (SEC) Division of Investment Management for more than five years. While at the SEC, Barry led ETF-related initiatives as chair of the SEC’s interdivisional ETP Task Force and led SEC staff meetings with senior representatives of the fund industry concerning new and novel products and proposals, including sponsors, liquidity providers, national securities exchanges, and service providers. Additionally, Barry served as a member of the SEC’s Fintech Working Group, which addressed transformative issues, including those related to digital currency, initial coin offerings, and blockchain technology. Prior to the SEC, Barry was in private practice and also served as vice president and counsel at ETF sponsor ProShares.
Launched in 2012 by Deborah Fuhr, ETFGI has become the dominant independent research and consulting provider providing insights on the entire global industry of ETFs and ETPs listed globally as well as the service providers.
Our range of research and subscription services include annual reviews of institutions that use ETFs and ETPs, an annual analysis of active ETFs and smart beta ETFs. We are the only company to provide a monthly report of every region in the world where ETFs / ETPs are listed.
Deborah Fuhr is the founder of ETFGI, an independent research events and consultancy firm which offers paid for subscription research services on trends in the global ETF ecosystem. Previously she was the global head of ETF research and implementation strategy and managing director at BlackRock/BGI, managing director and head of the investment strategy team at Morgan Stanley and an associate at Greenwich Associates. She is a Fellow of CFA UK, the recipient of 100 Women in Finance’s 2017 European Industry Leadership Award, the 2014 William F. Sharpe Lifetime Achievement Award for outstanding and lasting contributions to the field of index investing and the ETF.com 2018 lifetime achievement award. She is a founder, board member and co-president of Women in ETFs EMEA and a founder and board member of Women in ETFs inc.
Deborah Fuhr is the co-founder of ETF TV, a new show which provides insights into the use, trading, regulatory and product development trends for exchange traded funds ETFs and exchange traded products ETPs. Go to www.ETFtv.net to watch the latest episodes and contact us if you are interested in sponsoring a mini segment or a full episode.