March 30–April 1, 2017 New York Hilton Midtown Hotel

QUINNIPIAC G.A.M.E. VII FORUM 1 Welcome to the Quinnipiac G.A.M.E. VII Forum

Over the next 2½ days, the seventh annual Quinnipiac Global Asset Management Education (G.A.M.E.) Forum is bringing an international group of current and future leaders from the financial services industry together to explore important developments, challenges and opportunities facing investment professionals within our global financial markets.

Industry support for this innovative investment conference is very strong. G.A.M.E. VII Forum co-sponsor Nasdaq and strategic partners CFA Institute, Davidson Investment Advisors, Eagle Asset Management, The Hartford, Interactive Brokers, International Securities Exchange, LPL Financial, Mainstay Capital Management, Morningstar, The Options Industry Council and TD Ameritrade Dr. David A. Sauer are joined by 96 firms and organizations in providing more than 140 keynote speakers, panelists, workshop presenters and student- Founder, Executive Director managed portfolio competition judges. & Program Chair

Quinnipiac G.A.M.E. Forum Today, 17 keynote speakers will explore the global markets, corporate governance, global economy and investment strategy. After Professor of Finance the keynote speaker panelists make their initial comments, the Quinnipiac University moderator will welcome questions from students in the audience. This will be your first opportunity to interact with top leaders in the financial services industry.

On day two of G.A.M.E., students and faculty will participate in a number of concurrent breakout sessions, including panel discussions, workshop presentations and nine keynote sessions that will explore portfolio management, equity analysis, asset allocation, risk and ethical decision making to name a few. G.A.M.E. concludes on day three with a focus on careers and academic program development. Your G.A.M.E. experience will be rounded out through interactive career discussions with a group of young professionals who once sat in your shoes.

We hope to see you again at the Quinnipiac G.A.M.E. VIII Forum March 22–24, 2018, in New York City. More information will be available at qgame.qu.edu, by email at [email protected] or by calling 203-582-3888.

Sincerely,

2 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum Strategic Partners

NASDAQ THE HARTFORD Nasdaq (NASDAQ: NDAQ) Celebrating 200+ years of helping its is a leading provider of customers achieve what’s ahead, The trading, exchange technology, Hartford (NYSE: HIG) is an insurance and information and public wealth management company. Through company services across its unique focus on customer needs, the six continents. Through its diverse portfolio of solutions, Nasdaq enables company serves businesses and consumers customers to plan, optimize and execute their business vision with confidence, by providing the products and solutions using proven technologies that provide transparency and insight for they need to protect their assets and income navigating today’s global capital markets. As the creator of the world’s first from risks and manage their wealth and electronic stock market, its technology powers more than 70 marketplaces in retirement needs. A Fortune 100 company, The Hartford is recognized 50 countries, and one in 10 of the world’s securities transactions. Nasdaq is widely for its service expertise and as one of the world’s most ethical home to more than 3,400 listed companies with a market value of over $8.5 companies. More information on the company and its financial performance trillion. To learn more, visit www.nasdaqomx.com. is available at www.thehartford.com.

CFA INSTITUTE INTERACTIVE BROKERS CFA Institute is the global Interactive Brokers association of investment Group affiliates provide professionals that sets the automated trade execution standard for professional and custody of securities, excellence and credentials. The organization is a champion for ethical commodities and foreign behavior in investment markets and a respected source of knowledge in the exchange around the clock on more than 120 markets in numerous countries global financial community. The end goal is to create an environment where and currencies from a single IB Universal Account to customers worldwide. investors’ interests come first, markets function at their best, and economies The firm services individual investors, hedge funds, proprietary trading grow. CFA Institute has more than 142,000 members in 159 countries and groups, financial advisers and introducing brokers. Its four decades of focus territories, including 136,000 CFA charterholders, and 147 member societies. on technology and automation have enabled it to equip customers with a For more information, visit www.cfainstitute.org. uniquely sophisticated platform to manage their investment portfolios at extremely low cost relative to the financial services industry. Interactive Brokers strives to provide customers with advantageous execution prices DAVIDSON INVESTMENT ADVISORS and trading, risk and portfolio management tools, research facilities and Davidson Investment Advisors, investment products, all at unusually low prices, positioning them to achieve an SEC registered investment superior returns by providing low costs compared to its competitors. For adviser, has provided asset more information, visit www.interactivebrokers.com. management services for corporations, employee benefit plans, foundations and trusts since 1975, applying a consistent, repeatable and INTERNATIONAL SECURITIES EXCHANGE time-tested approach to portfolio management with a particular focus on the The International Securities application of independent thought within the context of a team orientation. Exchange Holdings Inc. (ISE The firm offers four distinct investment strategies, managed by a team of Holdings) is the owner and operator investment professionals whose considerable depth and breadth of experience of three electronic options exchanges: within the capital markets allows for a truly unique perspective. Davidson’s ISE, ISE Gemini and ISE Mercury. investment base of operations is equally divided between Great Falls, Through its comprehensive exchange Montana, and Seattle while Denver serves as a marketing and client servicing offering, ISE Options delivers a office. More information is available at www.davidsoncompanies.com/dia. superior trading experience to its member firms through its patented market structure, industry-leading technology, unique functionality for trading complex orders, and award- EAGLE ASSET MANAGEMENT winning customer service. In addition to its options business, ISE Holdings also operates ISE ETF Ventures, which provides its partners with a broad Since 1976 Eagle has been range of capabilities in index development, index licensing, financing and committed to employing marketing of exchange-traded products. Total assets under management investment managers with for ETPs tied to ISE ETF Ventures is approximately $3 billion. ISE also extensive experience in the owns Longitude and licenses its proprietary technology for event-driven investment-management industry. In fact, its managing directors have an applications in a diverse range of industries. ISE Holdings is part of Deutsche average 25 years of investment experience and average firm tenure of more Börse Group (Xetra: DB1). For more information, visit www.ise.com. than a decade. Over the years, Eagle has sought portfolio managers who possess the rare talent and insight required to construct portfolios that limit downside risk and add alpha over time. Eagle is as committed to providing its clients superior performance today as the day it was founded 35 years ago. It’s that unwavering dedication that helps ensure Eagle will be around for another 35 years. Additional information is available at www.eagleasset.com.

QUINNIPIAC G.A.M.E. VII FORUM 3 Quinnipiac G.A.M.E. VII Forum Strategic Partners continued

LPL FINANCIAL OPTIONS INDUSTRY COUNCIL LPL Financial was founded The Options Industry Council with the vision of helping (OIC) is an educational entrepreneurial financial organization funded by the advisers establish successful businesses through which they could offer truly nation’s options exchanges and independent financial guidance and advice. Today, with headquarters in OCC and is dedicated to helping individual investors, financial advisers and Boston, Charlotte and San Diego, LPL Financial and its more than 3,000 institutions understand the benefits and risks of exchange-traded options. For employees support more than 14,000 financial advisers in communities more than 20 years, the contributions that OIC has made to the investing across the United States, enabling them to provide objective, conflict-free and brokerage communities have been significant to the growth of the financial advice to millions of Main Street Americans. For more information options industry. OIC conducts hundreds of seminars, distributes educational about LPL Financial, visit www.lpl.com. materials, maintains a website and offers live help from options professionals. For more information, visit www.optionseducation.org.

MAINSTAY CAPITAL MANAGEMENT Mainstay Capital Management TD AMERITRADE LLC (MCM) was founded to help TD Ameritrade investors who do not have the Holding Corporation time or inclination to give their (NASDAQ:AMTD), through retirement savings accounts and its brokerage subsidiaries, other investments the thorough combines innovative trading technology, easy-to-use and understand trading research and analysis they require. tools, investment services, investor education and outstanding client service. Through its portfolio development and management process, MCM takes TD Ameritrade provides millions of retail investors, traders and independent full advantage of the investment options available in a client’s 401(k), 403(b), RIAs the tools, service and support they need to help build confidence in IRA or other type of managed account to meet his or her long-term goals and today’s rapidly changing market environment. For more information, visit tolerance for risk. Additionally, with a staff of certified financial planners and www.tdameritrade.com. chartered retirement planning counselors, Mainstay Capital Management can offer counsel and develop comprehensive solutions for any financial aspect of a client’s life. For more information, visit www.mainstaycapital.com. QUINNIPIAC Quinnipiac University offers more than 100 programs to MORNINGSTAR 6,784 undergraduate and Morningstar is a leading provider of 2,884 graduate, law and independent investment research in medical students through its North America, Europe, Australia Schools of Business, Communications, Education, Engineering, Health and Asia. The company offers an Sciences, Law, Nursing, the College of Arts and Sciences and the Frank H. extensive line of products and services for individuals, financial advisers and Netter MD School of Medicine. The School of Business is accredited by institutions. Morningstar provides data on more than 510,000 investment AACSB International—The Association to Advance Collegiate Schools of offerings, including stocks, mutual funds and similar vehicles, along with real- Business. Quinnipiac’s 250-acre Mount Carmel Campus, next to Sleeping time global market data on more than 17 million equities, indexes, futures, Giant State Park, contains academic buildings and residence halls. The nearby options, commodities and precious metals, in addition to foreign exchange 250-acre York Hill Campus houses the TD Bank Sports Center, residence and Treasury markets. Morningstar also offers investment management halls for 2,000 students, the Rocky Top Student Center and a 2,000-car services through its registered investment adviser subsidiaries and has more parking garage. A third 150-acre campus in North Haven serves as home to than $180 billion in assets under advisement or management as of Dec. 31, the School of Education, School of Health Sciences, School of Nursing, the 2015. The company has operations in 27 countries. Additional information is Frank H. Netter MD School of Medicine and other graduate programs. The available at www.morningstar.com. university consistently ranks among the top regional universities in the North in U.S. News & World Report’s America’s Best Colleges issue. For more information, visit www.qu.edu.

4 QUINNIPIAC G.A.M.E. VII FORUM Participating Firms & Organizations

AB Bloomberg Radio EY J.P. Morgan Funds RBC Capital Markets Chris Cheesman Lisa Abramowicz Jason Schafer, CPA Dr. David Kelly, CFA Joshua Rosenbaum Andrew Chin John Schafer, CPA Bryan Verbel Bloomberg Television & KPMG Larry Cohen Radio Federal Reserve Bank of Jessica Hardeman Richard Bernstein Janessa Cox Kathleen Hays St. Louis Advisors LLC Paul DeNoon Lazard Asset Management Dr. James Bullard Richard Bernstein Ashish Shah Boston Consulting Group Marco Carlacci Dr. Vicki A. Walia Maureen Mitchell Fordham University Dennis Neveling S&P Investment Craig Marderstein Scott Toohig Advisory Services Abbot Downing Brahman Capital Corp. Chelsea Williams Erin Gibbs Rob Farrington, CFA, CAIA Joshua Pearl FOX Business Network David Asman LPL Financial Saratoga Proxy Aberdeen Asset Brown Brothers Harriman Mark Casady Consulting LLC Management Inc. Kyle Barndollar GARP John Ferguson Jim O’Connor Lily Gordon Lisa Ponti Mainstay Capital Andrew Hodgkins, CFA Management LLC Security Traders Association ABR Management LLC Goldman Sachs Edward Johnson, CFA David Kudla Jim Toes Taylor Lukof Abby Joseph Cohen, CFA David Masterman Arianne Criqui Malin Hughes SoftBank Vision Active Owners Fund Jeff Price Max Mullen Robert Becker Fund Advisers John Mantia Matthew Smith Salina Sabri Aidan O’Connor Manulife Asset Management Additive Advisory & BTIG Serena Shi Frances Donald Solberg Advisors Capital LLC Katie Stockton, CMT Goldman Sachs Timothy Solberg, CFA Robert Specht, CFA Market Technicians CAIA Association Asset Management Association State Street Global Advisors AEGIS Wealth Partners Dr. Keith Black, CFA, CAIA Maria S. Jelescu, CFA Tyler Wood Jill Iacono Mavro Raymond H. Bovich, CFA Capstone Investment Guggenheim Investments Alastair McKibbin, CFA, Morgan Stanley Alleghany Capital Advisors LLC Gary McDaniel, CFA CAIA Elizabeth Clark John Daly Jordan Sinclair, CFA Samir Sanghani, CFA Andrea Diamond Stradley Ronon Stevens Altaira Capital Partners LLP Cardinal Capital Hanweck Damon Wright & Young LLP Ralph Acampora, CMT Management LLC Molly McGregor Fabio Battaglia Morgan Stanley Investment Eva Maria Janerus, CFA Nicole Ojakian American Century Funds Management Summit Place Andy Provencher Centre Lane Partners LLC Hardee Brothers Maureen O’Toole, CAIA Financial Advisors Sibil Sebastian, CFA, CAIA Leviathan Winn Sidney Hardee, CFA Liz Miller, CFA, CFP Morningstar Aon Hewitt Investment CFA Institute Harvest Volatility Leslie Marshall Swan Global Investments Consulting Inc. Neil Govier, CFA Management Kevin McDevitt, CFA Randy Swan Brian Binkley, CFA Beth Kaiser, CFA, CIPM Dennis Davitt Nasdaq TD Ameritrade Paul Kovarsky, CFA Appomattox Advisory Inc. Highland Capital Robert F. Phillips JJ Kinahan Kurt N. Schacht, JD, CFA Drianne Benner, CFA Management Allan Schoenberg Mary Ryan CFP Board Mike Hurley, CMT Auctos Capital Management Nuveen Asset Three Ocean Partners Joseph Maugeri, CFP Mark Okada, CFA Dustin Tait Management LLC Phil Smith, CFA CFRA Horizons ETFs & Bob Doll, CFA Bank of America TIAA Global Asset Sam Stovall Recon Capital Partners Merrill Lynch NYSE Options Management Kevin Kelly Geralyn Endo Charles Schwab & Co. Bill Ryan Stephanie Link Jeffrey Kleintop, CFA Huntington Bank Bank of the Ozarks NYSSA TurnVest Partners LLC & John Augustine, CFA Phil Pearlman Chicago Board Mario Carias, CFA Angrisani Turnarounds LLC Options Exchange Independent Director Harumi Urata-Thompson, Al Angrisani Barclays Russell Rhoads, CFA Dr. Bob Froehlich CFA, PMP Christian Kurasek University of Pamela Culpepper Interactive Brokers Options Clearing Northern Colorado BlackRock ClearBridge Investments Frank A. Magnani Corporation Dr. Tim Jares Chad Hummel, CAIA Mary Jane McQuillen Tracy Raben Brooke Juniper, CFA, CAIA International Securities Villanova University Mary Savoie Kristen Pulley, CFA Clothier Springs Capital Exchange Dr. David Nawrocki Ned Rosenman Management LLC Gary Katz Options Industry Council Virtus Investment Partners Thomas F. McKeon, CFA Bloomberg J.P. Morgan Asset Joe Burgoyne Joe Terranova Joe Weisenthal DolphinDB Inc. Management Eric Cott Voya Investment Yangchun Chu Joshua Hemmert Bloomberg Brief OTC Markets Group Management Rebecca Mitchem, CFA Richard Yamarone DTCC Daniel Zinn Douglas Coté, CFA Eric Wald Jim Binder Bloomberg News Quinnipiac University Wells Fargo Bank, N.A. Tom Keene, CFA Dr. David A. Sauer Jeff Rombach, CPA Dr. Mark Thompson

QUINNIPIAC G.A.M.E. VII FORUM 5 Keynote Speakers

LISA ABRAMOWICZ DAVID ASMAN Co-Host, “Bloomberg Markets” Anchor Bloomberg Radio FOX Business Network Lisa Abramowicz is co-host of the “Bloomberg David Asman joined FOX Business Network as an Markets” show on Bloomberg Radio. She is also a anchor in September 2007. He co-hosts “After the columnist for Bloomberg Gadfly, a fast commentary Bell” weekdays with Melissa Francis. Asman also group aimed at providing insight and context to serves as host of “Forbes on FOX,” a weekend half- breaking news. Abramowicz covers the debt markets hour program on FOX News Channel. He has been at Gadfly and has been writing about fixed income with FNC since 1997, when he joined the network as for more than a decade. She was formerly a senior writer at Harrison Scott a weekday anchor for “Fox News Live.” In 2005, he was named head of FNC’s Publications, where she reported on various structured products, including documentary unit, where he hosted a series of investigative specials including collateralized debt obligations and asset-backed and mortgage-backed “Global Warming: The Debate Continues” and “U.N. Blood Money,” a series securities, for Harrison Scott’s Asset-Backed Alert publication. Abramowicz is that examined the oil-for-food controversy. Prior to joining FNC, Asman a graduate of the University of Chicago. served as The Wall Street Journal’s award-winning editorial features editor. He joined the newspaper in 1983 as an editorial writer, where he edited the Manager’s Journal and The Americas columns in addition to writing RALPH ACAMPORA, CMT editorials and more than 100 articles from Latin America and elsewhere. In Senior Managing Director 1994, he was named senior editor for the paper’s editorial page. Altaira Capital Partners LLP Ralph Acampora, CMT, is senior managing director JOHN AUGUSTINE, CFA of Altaira Capital Partners LLP and a pioneer in the development of market analytics. He has a global Chief Investment Officer reputation as a market historian and a technical Huntington Bank analyst, providing unique insights on market timing John Augustine, CFA, has spent nearly 30 years as and related investment strategy issues. Acampora an investment manager, investment strategist and was previously the New York Institute of Finance’s director of technical economic strategist for various financial institutions. analysis studies. He taught at the institute for nearly 40 years. Before joining In May 2014, he became the chief investment officer NYIF, he was director of technical research at Knight Equity Markets and at Huntington Bank, headquartered in Columbus, also worked for 15 years at Prudential Equity Groups as director of technical Ohio, which has more than $17 billion in assets analysis. As one of Wall Street’s most respected technical analysts, he has under management. Previously, Augustine was with Fifth Third Bank in consistently been ranked by Institutional Investor for more than 10 years. He Cincinnati for 16 years holding various roles. He also worked with Star is a chartered market technician (CMT), a designation he helped create. Banc in Ohio; Heritage Trust and Asset Management in Colorado; and IDS Financial Services in Colorado. He is a former president and board member AL ANGRISANI for the Dayton Society of Financial Analysts and was a long-time adjunct professor in the graduate school at the University of Dayton. Augustine has Founder & CEO, TurnVest Partners LLC & a bachelor’s degree from the Ohio State University and is a graduate of the Angrisani Turnarounds LLC Midwest Bankers Association Trust School. He has appeared frequently in the national media—including Fox News, CNBC and Bloomberg. Al Angrisani is a leading expert on corporate turnarounds and the former assistant U.S. secretary of labor under President Ronald Reagan, as well RICHARD BERNSTEIN as an author and business media personality. His decades of experience and recognized expertise Chief Executive Officer in both the private and public sector make him a Richard Bernstein Advisors LLC sought-after, regular commentator on national news programs including As CEO and chief investment officer of Richard CNBC, Fox Business News and Bloomberg TV. Television producers have Bernstein Advisors LLC, Richard Bernstein heads utilized his background and knowledge of the economy and labor markets the investment firm specializing in longer-term, to put economic and financial data into perspective for a lay audience of client-focused investments. Previously, he was head business people and consumers. He was a regular commentator during the of the Investment Strategy Group at Merrill Lynch recent presidential election cycle, bringing intelligence and common sense & Co., and also held positions at E.F. Hutton and to discussions about the economy and job market. He oversees Angrisani Chase Econometrics/IDC. Prior to Merrill Lynch, he worked on Wall Street Turnarounds, which serves as an operator and adviser to the boards of for more than 30 years. He is the author of “Style Investing: Unique Insight directors of distressed companies, and TurnVest Partners, which focuses into Equity Management,” and “Navigate the Noise: Investing in the New on investing in public and private distressed companies. His work in the Age of Media and Hype.” Bernstein was named to Institutional Investor turnaround/investment world led Angrisani to develop a proprietary Value magazine’s “All-America Research Team” 18 times, and to the “First Team” Creation Model that also served as the foundation for his book, “Win One for 10 times. He was twice named to both Fortune magazine’s “All-Star Analysts” the $hareholders.” and SmartMoney magazine’s “Power 30.” He earned his BA from Hamilton College and his MBA from New York University.

6 QUINNIPIAC G.A.M.E. VII FORUM DR. JAMES BULLARD LARRY COHEN President & CEO Partner & Head of Operations & Technology Federal Reserve Bank of St. Louis AB As president and CEO of the Federal Reserve Bank Larry Cohen is a partner and the head of operations of St. Louis, James Bullard directs the activities and technology at AB (AllianceBernstein), where he of the Federal Reserve’s Eighth District. He also manages the global infrastructure for institutional participates in the Federal Open Market Committee. and retail asset management, private wealth Bullard, a noted economist and scholar, has been a management and sell-side research and brokerage. strong advocate for basing monetary policy on solid He created a business-aligned infrastructure model economic research and for making policy decisions based on the state of the to focus on key business priorities, enterprise goals and infrastructure risk economy, as opposed to the calendar. In 2010, he wrote a paper that warned management. Cohen also is engaged in AB’s corporate social responsibility about the possibility of a Japanese-style deflation in the U.S. The paper helped efforts including the sponsorship and mentorship of two New York City move thinking toward a second round of quantitative easing, which the high school robotics teams and a partnership with Year Up to provide FOMC ultimately adopted. Bullard also advocated for establishing an explicit career opportunities and training to young adults in New York City. He inflation target, which is now the committee’s approach. Bullard earned his joined AB in 2004 as chief technology officer. Prior to AB, he held senior doctorate in economics from Indiana University in Bloomington. He holds BS leadership roles at UBS, Goldman Sachs, Morgan Stanley, Deutsche Bank degrees in economics and in quantitative methods and information systems and Fidelity Investments. He earned an AB degree in engineering and applied from St. Cloud State University. sciences from Harvard University. He is vice-chair of the board of Bridges to Prosperity, which provides isolated communities in Africa, Central and South America, and Asia with access to health care, education and economic MARK CASADY opportunities by building footbridges over impassable rivers. Former Chief Executive Officer LPL Financial DOUGLAS COTÉ, CFA Mark Casady retired as LPL Financial CEO in early Chief Market Strategist & January 2017 and as non-executive chairman of the Senior Portfolio Manager board in early March. He guided LPL to become a leading financial services organization that serves Voya Investment Management independent financial advisers, banks and credit Douglas Coté, CFA, is the Voya Investment unions and provides clearing services to broker/ Management chief market strategist and the senior dealers at financial services companies. Before joining LPL Financial in 2002, portfolio manager for the Global Perspectives Casady was managing director of the mutual fund group for Deutsche Asset funds, a group of global tactical asset allocation Management, Americas—formerly Scudder Investments. He joined Scudder strategies. With more than 20 years of active in 1994 and held roles as managing director, head of the global mutual fund money management experience as a portfolio manager and hedge fund chief group, and head of defined contribution services; he was also a member of the investment officer, Coté delivers hands-on interpretations of the forces driving Scudder, Stevens, & Clark board of directors and management committee. capital markets and effective ways to respond. In his former role as a portfolio Since 2016, Casady has served as general partner and chairman of the manager with ING, he managed more than $14 billion in equity assets. Coté advisory board of Vestigo Ventures. Additionally, he is treasurer of the Casady is featured regularly on CNBC’s “Closing Bell,” Bloomberg TV’s “In the family’s One Step Forward Education Foundation. He earned a BS degree Loop with Betty Liu,” Fox Business, and other media outlets. A recognized from Indiana University and an MBA from DePaul University. authority on trading cost, impact and timing risk, he has been published in the International Journal of Managerial Finance and other publications, coining the term “Honest EPS” as a way of identifying high-quality stocks. ABBY JOSEPH COHEN, CFA Senior Investment Strategist & BOB DOLL, CFA President, Global Markets Institute Chief Equity Strategist & Goldman Sachs Senior Portfolio Manager Abby Joseph Cohen, CFA, is senior investment Nuveen Asset Management LLC strategist and president of the Global Markets Institute at Goldman Sachs. She has served on the Bob Doll, CFA, is chief equity strategist and senior partnership committee, the investment committee portfolio manager at Nuveen Asset Management. for the firm’s U.S. retirement plans and is a senior He manages Nuveen’s large cap equity series, which champion for the Disability Interest Forum. She joined Goldman Sachs includes traditional large cap equities, specialty in 1990 and was named partner in 1998. Cohen began her career as an categories and alternative strategies. He is a well- economist at the Federal Reserve Board in Washington, D.C. She is a respected authority on the equities markets among investors, advisers and presidential councillor at Cornell University, where she chairs the steering the media. As the author of popular weekly commentaries and annual market committee for the Jacobs Technion-Cornell Institute at Cornell Tech and predictions, Doll provides ongoing, timely market perspectives. Prior to serves on the board of Weill Cornell Medicine. She is a board member of joining Nuveen Asset Management, he held similar roles at other large asset the Brookings Institution, Economic Club of New York and the Jewish management firms, including serving as chief equity strategist at Blackrock; Theological Seminary and a former board chair of the Chartered Financial president and chief investment officer of Merrill Lynch Investment Analyst Institute, which awarded her the Distinguished Service Award. A Managers; and chief investment officer of Oppenheimer Funds. Doll appears guest lecturer at several graduate schools of business, she was a member regularly on CNBC, Bloomberg TV and Fox Business News discussing the of the White House-appointed Innovation Advisory Board for Economic economy and markets. He earned a BS in accounting and a BA in economics Competitiveness. She earned degrees in economics from Cornell University from Lehigh University and an MBA from the Wharton School of the and George Washington University. University of Pennsylvania.

QUINNIPIAC G.A.M.E. VII FORUM 7 Keynote Speakers continued

FRANCES DONALD GARY KATZ Senior Economist Former President & CEO Manulife Asset Management International Securities Exchange Frances Donald is a senior economist at Manulife Gary Katz was president and CEO of the Asset Management. As part of the economic team International Securities Exchange and a co-founder in Toronto, she forecasts global macroeconomic of the company. He is one of the principal developers and financial trends and analyzes the potential of the unique options market structure—an auction opportunities and impact on the company’s market on an electronic platform—used by both ISE individual business lines and investments. Prior and ISE Gemini. Before ISE, Katz served from 1997- to joining Manulife, she worked as a financial economist for Scotiabank 98 as president and co-founder of K-Squared Research, a financial services in Toronto, where she produced a variety of daily and weekly publications consulting firm. From 1986-97, he held several positions in the options and with a focus on financial markets and economic strategy, emphasizing the index products division at the New York Stock Exchange, where he became implications for fixed-income and equity markets. Before that, she was a managing director. During his tenure at NYSE, Katz also was a co-founder global macro analyst for Pavilion Global Markets in Montreal. Earlier in her of the Options Industry Council. Before 1986, Katz was an actuary with career, she held various positions at Deloitte, Roubini Global Economics and the Equitable Life Assurance Company and an associate of the Society of Bank of Canada. Donald earned a BA in economics from Queen’s University Actuaries. Katz taught business mathematics applications as an adjunct and a master’s in economics from New York University. professor of statistics at the Stern School of Business, New York University, and also taught options strategies and pricing at the New York Institute of Finance. He earned an MS in statistics from New York University and a BA DR. BOB FROEHLICH from Queens College. Independent Director Bob Froehlich brings more than 35 years of Wall TOM KEENE, CFA Street experience where he chaired investment Editor-At-Large committees for multiple global asset management organizations including Deutsche Bank, Hartford Bloomberg News and Kemper Funds. He was elected to three “All- Tom Keene, CFA, is an editor-at-large at Bloomberg American” institutional research teams. Froehlich News and host of “Bloomberg Surveillance,” the has delivered investment speeches in 107 different morning program featuring economic, finance countries, as well as having six investment books published and translated and investment news. He can be heard on the into 10 different languages. Since his retirement from Wall Street, he has program starting at 6 a.m. across Bloomberg TV, begun a new chapter in his professional career by building a portfolio of radio, Bloomberg.com and Bloomberg’s devices for boards of directors. He currently serves on the boards of AXAR Acquisition mobile and tablets. In addition, Keene provides economic and investment Corporation, Inc., Galen Robotics, Inc., NEXPOINT Capital, Inc., and perspectives to Bloomberg TV and to its various news divisions. He Highland Capital Mutual Funds. Froehlich also is the chairman, chief also founded the “Chart of the Day” article, available on the Bloomberg executive officer, president and owner of the Kane County Cougars Baseball Professional Service. Keene is the editor of “Flying on One Engine: The Club, the Class A affiliate of the Arizona Diamondbacks. Bloomberg Book of Master Market Economists” (2005). He is a graduate of the Rochester Institute of Technology and is enrolled in courses at the external programme of the London School of Economics & Political Science. KATHLEEN HAYS A chartered financial analyst, Keene is a member of the CFA Institute, the Global Economics & Policy Editor National Association for Business Economics, the American Economic Bloomberg Television & Radio Association and the Economic Club of New York. Kathleen Hays is global economics and policy editor for Bloomberg television and radio focusing on the DR. DAVID KELLY, CFA Fed and central banks around the world, with a Chief Global Strategist special emphasis on the Pacific Rim. Prior to her current role, Hays hosted Bloomberg Radio’s “Taking J.P. Morgan Funds Stock,” a program that covered the forces driving the David Kelly, CFA, is chief global strategist and U.S. and global markets. Recognized as one of the top economics reporters head of the Global Market Insights Strategy Team and anchors in the country, Hays has covered the U.S. economy and the for J.P. Morgan Funds. With more than 20 years Federal Reserve for more than 20 years. She joined Bloomberg in 2006 after of experience, Kelly provides valuable insight years as an on-air and online economics correspondent at CNN, CNNfn, and perspective on the economy and markets to and CNBC, where she served as a host, correspondent and commentator for thousands of financial advisers and their clients. numerous programs including “Squawk Box.” She began her career as a print Throughout his career, Kelly has developed a unique ability to explain journalist, initially serving as a founder, director, economics correspondent complex economic and market issues in a language that financial advisers can and New York bureau chief at Markets News International, a financial use to communicate to their clients. He is a keynote speaker at many national news service. She earned both a bachelor’s degree and a master’s degree in investment conferences and a frequent guest on CNBC and other financial economics from Stanford University. news outlets. Prior to joining J.P. Morgan Funds, he served as economic adviser to Putnam Investments. He also has served as a senior strategist/ economist at SPP Investment Management, Primark Decision Economics, Lehman Brothers and DRI/McGraw-Hill. Kelly is a CFA® charterholder. He also has an MA and PhD in economics from Michigan State University and a BA in economics from University College Dublin in Ireland.

8 QUINNIPIAC G.A.M.E. VII FORUM KEVIN KELLY DAVID KUDLA Chief Investment Officer Founder, CEO & Recon Capital Partners & Chief Investment Strategist Managing Director, Horizons ETFs Mainstay Capital Management LLC Kevin Kelly serves as chief investment officer of David Kudla is founder, CEO and chief investment Recon Capital Partners and managing director strategist of Mainstay Capital Management LLC. of Horizons ETFs. He oversees all investment He has been ranked by Barron’s as one of the “Top decisions, research and strategies in the equity and 100 Independent Financial Advisers” in the country options markets. He also serves as portfolio manager for the past eight years, and in the top 25 for the for Horizons ETFs’ USA-listed products. Previously, Kelly was a portfolio past three years. Kudla is a contributing writer for Dow Jones and Forbes. He manager for a private fund from 2008-11, focusing on equities and equity regularly speaks at national conferences, publishes articles about retirement derivatives. He also worked for Goldman Sachs and at Deutsche Bank. He planning and investing, and advises thousands of workplace savings plan contributes weekly to “Options Insight” on Bloomberg TV and is a market participants. He regularly appears on Bloomberg, CNBC, Fox Business and commentator for “Mornings with Maria” on Fox Business. His thought other networks and is frequently quoted in the financial press. Kudla has leadership frequently can be found in several media outlets including The earned his certificate in financial planning and two postgraduate degrees, Wall Street Journal, Reuters, CNBC, Cheddar, The New York Times and including a master’s in management at Stanford University. He is an adjunct Barron’s. He earned a BS in finance from the W.P. Carey School of Business professor, serves on several university advisory councils, and sponsors student- and the Barrett Honors College at Arizona State University. managed portfolios, including the largest at Stanford University.

JJ KINAHAN STEPHANIE LINK Chief Strategist Managing Director, Equity Investments TD Ameritrade TIAA Global Asset Management JJ Kinahan, chief strategist for TD Ameritrade, began Stephanie Link is a managing director and equity his career as a Chicago Board Options Exchange portfolio manager for the TIAA organization, where market maker in 1985, trading primarily in the S&P she manages large-cap equities primarily based in 100 and S&P 500 pits. While mainly an independent the U.S. region. She has 24 years of investment market maker, he also worked for ING Bank, Blue experience. Prior to joining TIAA, she spent seven Capital and was managing director of option trading years at The Street, a financial news and services for Van Der Moolen, USA. In 2006, Kinahan joined the thinkorswim group, website, as the chief investment officer and was the co-portfolio manager and which eventually was acquired by TD Ameritrade. He led the Educational director of Research of Action Alerts Plus, Jim Cramer’s Charitable Trust. Events Team, working to implement the instructional path for thousands of She was responsible for all premium content at The Street and the daily investors throughout the United States. In 2009 he became the managing management of the charitable trust, which included macro strategy, portfolio director of active trader services. Kinahan, a 25-year trading veteran, is a construction and stock selection. Before this, she spent 10 years at Prudential frequent CNBC commentator, a Forbes contributor and is often quoted in Equity Group as managing director of institutional sales and as director of the Wall Street Journal, the Financial Times and many other media outlets. research. Link is a CNBC contributor and appears regularly on “Closing Bell” He is also a member of the board of directors at NYSE Arca and is a member and “Fast Money Halftime” shows. She began her career at Dean Witter of the Arbitration Committee at the Chicago Board Options Exchange. Reynolds, Inc. She earned a BS degree in finance at Boston College.

JEFFREY KLEINTOP, CFA MARK OKADA, CFA Chief Global Investment Strategist Co-Founder & Chief Investment Officer Charles Schwab & Co. Highland Capital Management Jeffrey Kleintop, CFA, chief global investment Mark Okada, CFA, is co-founder and chief strategist at Charles Schwab, analyzes and discusses investment officer of Highland Capital Management international markets, trends and events to help U.S. LP, a Dallas-based investment adviser with $18 investors understand their significance and financial billion in assets under management. At Highland, he implications. Prior to Schwab, he served as chief is responsible for overseeing the firm’s investment market strategist at LPL Financial. Earlier in his activities for its various strategies. He is also portfolio career, he was chief investment strategist at PNC Wealth Management and manager of the Highland Floating Rate Opportunities Fund, which has won senior investment strategist at ARIS Corporation of America. He has been the Lipper Fund Award for best loan participation fund in each of the past cited in a range of national media outlets including The Wall Street Journal, two years. Okada is responsible for structuring one of the industry’s first which labeled him one of “Wall Street’s best and brightest,” and he has been arbitrage CLOs and has been instrumental in the development of Highland’s a featured or keynote speaker at dozens of industry events annually. He is the bank loan separate account and mutual fund platforms. Additionally, he has author of “Market Evolution: How to Profit in Today’s Changing Financial been named CNBC “squawk master” and is regularly featured on CNBC’s Markets.” He has a BS in business administration from the University of “Squawk Box,” “Opening Bell” on Fox Business, and on many other media Delaware and an MBA from Pennsylvania State University. He also studied at outlets. He is a director of NexBank, a member of the Grow South Fund the London School of Economics and is a chartered financial analyst. Advisory Board, chairman of the board of directors of Common Grace Ministries and a member of the board of directors for Education Is Freedom.

QUINNIPIAC G.A.M.E. VII FORUM 9 Keynote Speakers continued

KURT N. SCHACHT, JD, CFA JOSEPH M. TERRANOVA Managing Director, Standards & Advocacy Chief Market Strategist, CFA Institute Virtus Investment Partners & Kurt Schacht, JD, CFA, is managing director of the Fast Money Contributor, CNBC Standards & Advocacy division of CFA Institute. Joe Terranova is the chief market strategist for Virtus He manages all efforts to develop and maintain Investment Partners. He works with the regional sales the highest ethical standards for the investment teams and financial advisers who sell the company’s community including CFA Institute’s Code of Ethics investment products and provide insight into the and Standards of Professional Conduct, Global domestic and global investing landscape. Terranova Investment Performance Standards, CFA Institute Research Objectivity has represented Virtus as a keynote speaker and is a member of the firm’s Standards, and CFA Institute Soft Dollar Standards. Schacht has been Investment Oversight Committee. Before joining Virtus in 2008, he spent 18 involved in the investment management business since 1990, serving as chief years at MBF Clearing Corp., rising to the position of director of trading for operating officer for a retail mutual complex in White Plains, New York; the company and its subsidiaries. He is known for his risk-management skills, general counsel and COO for a Manhattan-based hedge fund; and as chief honed while overseeing MBF’s proprietary trading operations during some of legal officer for the State of Wisconsin Investment Board. He has an extensive the most calamitous times for the U.S. markets, including the first Gulf War, background in securities law and regulation, alternative investments, hedge the 1998 Asian Crisis and 9/11. He is a panelist on CNBC’s “Fast Money” and a funds, financial reporting and corporate governance matters. He is a chair on frequent panelist on “Fast Money Halftime Report.” He has a bachelor’s degree the U.S. Securities and Exchange Commission Investor Advisory Committee in finance from The Peter J. Tobin College of Business at St. John’s University. and a member of the advisory board of the Millstein Center for Global Markets, Columbia Law School. He has a JD and a BS from University of Wisconsin. DR. VICKI A. WALIA Senior Vice President & ASHISH SHAH Head, Digital Investment Solutions Chief Investment Officer, Global Credit & AB Head, Fixed Income Vicki A. Walia is a senior vice president and head AB of digital investment solutions for AB. She leads a firm-wide initiative to develop business strategies Ashish Shah is chief investment officer of global credit that harness recent trends in technology, regulation and head of fixed income for AB. He is also a partner. and the delivery of investment services to enhance Shah oversees all of AB’s credit-related strategies, and differentiate AB’s existing services. Previously she was director of talent including its global and regional investment-grade and management and diversity, responsible for the implementation of talent high-yield strategies. As head of fixed income, Shah is development initiatives and for leading the firm’s diversity initiatives. She responsible for the management and strategic growth of the overall business. joined AB in 2007 from Development Dimensions International (DDI), He is the author of several papers and blogs, including those highlighting high- where she worked with clients on projects related to assessment, selection yield bonds as attractive substitutes for equities (June 2015), concerns around and leadership/executive development. Walia has presented at the annual the bank loan market (November 2013) and the dangers in reaching for yield meetings of the Society for Industrial and Organizational Psychology and in the high-yield market (August 2013). Prior to joining AB in 2010, he was the Academy of Management and the Global Business Forum. She also a managing director and head of global credit strategy at Barclays Capital, has been an adjunct professor at Montclair State University. She earned a where he was responsible for the high-grade, high-yield, structured credit and BFA in music from York University and an MS and PhD in industrial and municipal strategy groups and the special situations research team. From organizational psychology from Alliant International University. 2003-08, Shah was the head of credit strategy at Lehman Brothers. He holds a BS in economics from the Wharton School of the University of Pennsylvania. RICHARD YAMARONE SAM STOVALL Senior Economist Chief Investment Strategist Bloomberg Brief CFRA Richard Yamarone is an economist with three decades of experience. He focuses on monetary As chief investment strategist, Sam Stovall serves and fiscal policy, economic indicators, fixed as analyst, publisher and communicator of CFRA’s income and general macroeconomic conditions for outlooks for the economy, market and sectors. “Bloomberg Brief: Economics,” a daily newsletter. He is chairman of the CFRA Investment Policy He is the creator of the Bloomberg Orange Book, a Committee, where he focuses on market history and compilation of macroeconomic anecdotes gleaned from comments CEOs and valuations, as well as industry momentum strategies. CFOs made on quarterly earnings conference calls. He travels extensively to Prior to joining CFRA, Stovall was managing director and chief investment speak to clients and corporate executives on the economic outlook and career strategist at S&P Global for more than 27 years, and served as editor-in- and management coaching. Earlier in his career, Yamarone was director of chief at Argus Research. Stovall is the author of “The Seven Rules of Wall economic research at Argus Research and a member of the firm’s investment Street” and writes weekly “Sector Watch” and “Investment Policy Committee policy committee. He has been a consultant to monetary and fiscal meeting notes” on CFRA’s MarketScope Advisor platform. His work is also policymakers, served as an economic adviser to major U.S. corporations and found in CFRA’s flagship weekly newsletter, “The Outlook.” He received an has held senior positions for several international and domestic money centers MBA in finance from New York University and a BA in history/education and investment banks. Yamarone has taught courses on macroeconomics from Muhlenberg College. He is also a certified financial planner. Stovall is a and economic indicators at several colleges and is the author of the “Trader’s board member of W!SE (Working in Support of Education), and a trustee of Guide to Key Economic Indicators” (Bloomberg Press, 2012). Muhlenberg College and of the Securities Industry Institute.

10 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Thursday, March 30, 2017 New York Hilton Midtown Hotel

Event Check-In & West Promenade (Third Floor) 6:30–7:45 a.m. Continental Breakfast with Sponsored by: The Options Industry Council Exhibitors

Dr. Mark Thompson, Executive Vice President & Provost, Quinnipiac University Welcome from Quinnipiac University 8–8:15 a.m. Opening Remarks Dr. David A. Sauer, Founder, Executive Director & Program Chair, Quinnipiac G.A.M.E. Forum, Quinnipiac University Forum Overview

8 a.m.–4:30 p.m. Moderator Dr. Bob Froehlich, Independent Director

Topic: Global Markets Panelists: Ralph Acampora, CMT, Senior Managing Director, Altaira Capital Partners LLP Abby Joseph Cohen, CFA, Senior Investment Strategist & President, Global 8:15–9:45 a.m. Keynote Panel Markets Institute, Goldman Sachs Kathleen Hays, Global Economics & Policy Editor, Bloomberg Television & Radio Dr. David Kelly, CFA, Chief Global Strategist, J.P. Morgan Funds

9:45–10:15 a.m. Break Sponsored by: Quinnipiac University

Topic: Corporate Governance Panelists: Al Angrisani, Founder & Chief Executive Officer, TurnVest Partners LLC & Angrisani Turnarounds LLC 10:15–11:30 a.m. Keynote Panel Mark Casady, Former Chief Executive Officer, LPL Financial Gary Katz, Former President & Chief Executive Officer, International Securities Exchange Kurt N. Schacht, JD, CFA, Managing Director, Standards & Advocacy, CFA Institute

11:30 a.m.–12:45 p.m. Break for Lunch Lunch in New York City

Topic: Global Economy Panelists: David Asman, Anchor, FOX Business Network 1–2:30 p.m. Keynote Panel Douglas Coté, CFA, Chief Market Strategist & Senior Portfolio Manager, Voya Investment Management Frances Donald, Senior Economist, Manulife Asset Management Tom Keene, CFA, Editor-At-Large, Bloomberg News

2:30–3 p.m. Break

Topic: Investment Strategy Panelists: Richard Bernstein, Chief Executive Officer, Richard Bernstein Advisors LLC 3–4:30 p.m. Keynote Panel Bob Doll, CFA, Chief Equity Strategist & Senior Portfolio Manager, Nuveen Asset Management LLC JJ Kinahan, Chief Strategist, TD Ameritrade Jeffrey Kleintop, CFA, Chief Global Investment Strategist, Charles Schwab & Co.

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Friday March 31, 2017 New York Hilton Midtown Hotel

Light Continental Breakfast Regent & Sutton South (Second Floor) 8–9 a.m. with Exhibitors Sponsored by: Stradley Ronon Stevens & Young LLP

9–10 a.m. SESSION I SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton Investment Management Trend—The Road to 2020 Keynote Perspective (Second Floor) John Augustine, CFA, Chief Investment Officer, Huntington Bank

The Pros & Cons of Bringing a Company Public Al Angrisani, Founder & CEO, TurnVest Partners LLC & Angrisani Gramercy Featured Perspective Turnarounds LLC (Second Floor) Robert F. Phillips, Managing Director, Global Corporate Client Group, Nasdaq

The Investment Practices of Sovereign Wealth Funds Gibson Perspective Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, (Second Floor) CAIA Association, Amherst, Massachusetts

Staying Ahead of Tomorrow New York Panel Discussion Janessa Cox, Head, Diversity & Inclusion, AB, New York, New York (Fourth Floor) Paul DeNoon, Head, Corporate Responsibility, AB, New York, New York

Ethical Dilemmas in Investment Management Mario Carias, CFA, Managing Director, Education & Content, New Hudson Workshop York Society of Security Analysts, New York, New York (Fourth Floor) Harumi Urata-Thompson, CFA, PMP, Chief Operating Officer, New York Society of Security Analysts, New York, New York

Operation & Regulation of Investment Vehicles: Mutual Funds, Exchange-Traded Funds & Hedge Funds Fabio Battaglia, Partner, Stradley Ronon Stevens & Young LLP, Lincoln Philadelphia, Pennsylvania Panel Discussion (Fourth Floor) Aidan O’Connor, Assistant General Counsel & Chief Compliance Officer, SoftBank Vision Fund Advisers, San Francisco, California Jim O’Connor, Managing U.S. Counsel, Aberdeen Asset Management Inc., Philadelphia, Pennsylvania

Exercise Your “Career” Options: Making Your Mark in Derivatives Moderator: Tracy Raben, Senior Vice President & Chief Human Resources Officer, Options Clearing Corporation, Chicago, Illinois Morgan Panelists: Panel Discussion (Second Floor) Robert Becker, Chief Operating Officer, Malin Hughes, Chicago, Illinois Pamela Culpepper, Chief Human Resources Officer, Chicago Board Options Exchange, Chicago, Illinois Nicole Ojakian, Director of Human Resources, Hanweck, New York, New York

12 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Friday March 31, 2017 continued New York Hilton Midtown Hotel

Capital Formation: What You Should Know & Why You Should Care Jim Toes, President & CEO, Security Traders Association, New York, Green Panel Discussion New York (Fourth Floor) Daniel Zinn, General Counsel, OTC Markets Group, New York, New York

Researching New Cool Trading Ideas Murray Hill West Workshop Mary Ryan, Manager, TD Ameritrade U, TD Ameritrade, (Second Floor) Chicago, Illinois

High Yield Trading Murray Hill East Workshop Damon Wright, Executive Director, Morgan Stanley, New York, (Second Floor) New York

Private Wealth Management in 2017: A Look Ahead Nassau Perspective Raymond H. Bovich, CFA, Senior Partner & Chief Investment Officer, (Second Floor) AEGIS Wealth Partners, Madison, Connecticut

Regent & Sutton South (Second Floor) 10–10:30 a.m. Break Sponsored by: Quinnipiac University School of Business

10:30–11:30 a.m. SESSION II SEE SESSIONS & LOCATIONS BELOW

Federal Reserve Perspective Dr. James Bullard, President & Chief Executive Officer, Federal Reserve Beekman & Sutton Keynote Panel Bank of St. Louis (Second Floor) Kathleen Hays, Global Economics & Policy Editor, Bloomberg Television & Radio

Capital Markets Update Gramercy Keynote Perspective Joe Terranova, Chief Market Strategist, Virtus Investment Partners & (Second Floor) Fast Money Contributor, CNBC

When it Comes to Investment Flows, Active Versus Passive Is the Clinton Wrong Question Perspective (Second Floor) Kevin McDevitt, CFA, Senior Equity Analyst, Morningstar, Chicago, Illinois

Madison CFA Institute: Raising the Standards of Professional Excellence Presentation (Second Floor) Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong Kong

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Friday, March 31, 2017 continued New York Hilton Midtown Hotel

Making the Most of Social Media in Financial Services Moderator: Jim Binder, Director, Executive Communications, Depository Trust & Clearing Corporation, New York, New York Panelists: Gibson Leslie Marshall, Director, Events, Magazine & Social Media, Morningstar, Panel Discussion (Second Floor) Chicago, Illinois Phil Pearlman, Executive Vice President, Director of Marketing, Bank of the Ozarks, New York, New York Allan Schoenberg, Vice President, Global Corporate Communications, Nasdaq, New York, New York Joe Weisenthal, Editor, Bloomberg, New York, New York

Large Cap Equity Investing: Taking the Long-Term View Andrew Hodgkins, CFA, Associate, Brown Brothers Harriman, New Bryant Panel Discussion York, New York (Second Floor) Edward Johnson, CFA, Senior Vice President, Brown Brothers Harriman, New York, New York

Leveraging Big Data in Asset Management Murray Hill West Perspective Andrew Chin, Chief Risk Officer & Head, Quantitative Research, AB, (Second Floor) New York, New York

Women in Financial Services: Opportunities & Challenges Moderator: Mary Savoie, Executive Director, Options Industry Council & First Vice President, Industry Services, Options Clearing Corporation, Chicago, Illinois Nassau Panel Discussion Panelists: (Second Floor) Arianne Criqui, Vice President, Goldman Sachs, New York, New York Geralyn Endo, Vice President, Bank of America Merrill Lynch, New York, New York Molly McGregor, Chief Marketing Officer, Hanweck, New York, New York

14 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Friday March 31, 2017 continued New York Hilton Midtown Hotel

How You Can Manage RISK Moderator: Eric Cott, Director, Financial Adviser & Institutional Education, Options Industry Council, Chicago, Illinois Panelists: Morgan Panel Discussion Dennis Davitt, Partner & Co-Portfolio Manager, Harvest Volatility (Second Floor) Management, New York, New York Taylor Lukof, Founder, Managing Member & Chief Investment Officer, ABR Management LLC, New York, New York Randy Swan, CEO & Lead Portfolio Manager, Swan Global Investments, Durango, Colorado

High Yield Trading Murray Hill East Workshop Damon Wright, Executive Director, Morgan Stanley, New York, (Second Floor) New York

New York The Mystique of Hedge Funds Perspective (Fourth Floor) Frank A. Magnani, Interactive Brokers, Greenwich, Connecticut

11:30 a.m.–12:45 p.m. Break for Lunch Lunch in New York City

1–2 p.m. SESSION III SEE SESSIONS & LOCATIONS BELOW

Portfolio Management Moderator: David Kudla, Founder, CEO & Chief Investment Strategist, Mainstay Capital Management LLC Panelists: Beekman & Sutton Lisa Abramowicz, Co-Host, “Bloomberg Markets,” Bloomberg Radio Keynote Panel (Second Floor) Kevin Kelly, Chief Investment Officer, Recon Capital Partners & Managing Director, Horizons ETFs Stephanie Link, Managing Director, Equity Investments, TIAA Global Asset Management Mark Okada, CFA, Co-Founder & Chief Investment Officer, Highland Capital Management

Technical Analysis Murray Hill East Featured Workshop Ralph Acampora, CMT, Senior Managing Director, Altaira Capital (Second Floor) Partners LLP

Gramercy Wall Street Career Advice from a 30-Year Veteran Keynote Perspective (Second Floor) Richard Yamarone, Senior Economist, Bloomberg Brief

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Friday March 31, 2017 continued New York Hilton Midtown Hotel

Professional Designations in the Investment Industry Moderator: Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong Kong Panelists: Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, Gibson CAIA Association, Amherst, Massachusetts Panel Discussion (Second Floor) Beth Kaiser, CFA, CIPM, Director, Investment Performance Standards, CFA Institute, New York, New York Joseph Maugeri, CFP, Managing Director, Corporate Relations, Certified Financial Planner Board of Standards Inc., Washington, D.C. Lisa Ponti, Vice President Academic & Regulatory Outreach, Global Association of Risk Professionals, Jersey City, New Jersey

Private Equity: Investing with an Owner’s Mindset Kyle Barndollar, Assistant Vice President, Brown Brothers Harriman, New York, New York David Masterman, Associate, Brown Brothers Harriman, New York, Murray Hill West Panel Discussion New York (Second Floor) Jeff Price, Senior Vice President, Brown Brothers Harriman, New York, New York Matthew Smith, Associate, Brown Brothers Harriman, New York, New York

Audit & Governance in the Financial Securities Industry New York Perspective Chris Cheesman, Senior Vice President & Chief Audit Officer, AB, (Fourth Floor) New York, New York

Option Strategies & What to Think When Developing Them Thomas F. McKeon, CFA, Principal, Chief Investment Officer & Portfolio Manager, Clothier Springs Capital Management LLC, Lincoln Phoenixville, Pennsylvania Panel Discussion (Fourth Floor) Jordan Sinclair, CFA, Derivative Research Strategist, Capstone Investment Advisors LLC, New York, New York Robert Specht, CFA, Investment Strategist & Portfolio Manager, Additive Advisory & Capital LLC, New York, New York

The World of Investment Banking—Valuation, Leveraged Buyouts, Mergers & Acquisitions Nassau Joshua Pearl, Managing Director, Brahman Capital Corp., New York, Panel Discussion (Second Floor) New York Joshua Rosenbaum, Managing Director, RBC Capital Markets, New York, New York

Investment Banking—A Guide to Securitization Christian Kurasek, Vice President, Structured Finance, Barclays, New Morgan Panel Discussion York, New York (Second Floor) Salina Sabri, Associate, Structured Finance, Goldman Sachs, New York, New York

How Institutions Design Superior Portfolios Bryant Workshop Ned Rosenman, Director, Client Solutions, BlackRock, New York, (Second Floor) New York

16 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Friday March 31, 2017 continued New York Hilton Midtown Hotel

Shareholder Activism Hudson Perspective John Ferguson, Senior Partner, Saratoga Proxy Consulting LLC, (Fourth Floor) New York, New York

Financial Statements and Valuation Complexities in an Evolving Regulatory Environment Jason Schafer, CPA, Senior Manager, Financial Services Office, EY, Green Panel Discussion Los Angeles, California (Fourth Floor) John Schafer, CPA, Senior Manager, Financial Services Office, EY, Cincinnati, Ohio

Market Cycles & Asset Mix in a Post-Election Year Clinton Timothy Solberg, CFA, Bretton Woods Committee, World Bank Civil Perspective (Second Floor) Society Organization, International Monetary Fund, Solberg Advisors & Project Medishare for Haiti, Chicago, Illinois

2–2:15 p.m. Break

2:15–3:15 p.m. SESSION IV SEE SESSIONS & LOCATIONS BELOW

Buy Bonds or Bye Bye Bonds? Fixed Income Markets in 2017 Beekman & Sutton Keynote Presentation Ashish Shah, Chief Investment Officer, Global Credit & Head, Fixed (Second Floor) Income, AB

Trends in the Investment Industry Moderator: Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong Kong Panelists: Brian Binkley, CFA, Senior Investment Consultant, Aon Hewitt Investment Consulting Inc., Norwalk, Connecticut Madison Panel Discussion Paul Kovarsky, CFA, Director, Institutional Partnerships, CFA Institute, (Second Floor) New York, New York Alastair McKibbin, CFA, CAIA, Vice President & Relationship Manager, Strategic Relationship Group for the Intermediary Business Group, State Street Global Advisors, Boston, Massachusetts Liz Miller, CFA, CFP, President, Summit Place Financial Advisors, Summit, New Jersey

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Friday March 31, 2017 continued New York Hilton Midtown Hotel

Women in Investment Management Moderator: Beth Kaiser, CFA, CIPM, Director, Investment Performance Standards, CFA Institute, New York, New York Panelists: Drianne Benner, CFA, Managing Director, Appomattox Advisory Inc., New York, New York Gibson Eva Maria Janerus, CFA, Director, Marketing & Client Service, Cardinal Panel Discussion (Second Floor) Capital Management LLC, Greenwich, Connecticut Maria S. Jelescu, CFA, Managing Director & Portfolio Manager, Goldman Sachs Asset Management, New York, New York Jill Iacono Mavro, Senior Managing Director & Head, Strategic Relationship Group for the Intermediary Business Group, State Street Global Advisors, Boston, Massachusetts Maureen Mitchell, Senior Advisor, Boston Consulting Group, New York, New York

Recruiting Process, Debunking Myths & Interview Tips Elizabeth Clark, Director, Campus Recruiting Operations, North America, Morgan Stanley, New York, New York Murray Hill West Andrea Diamond, Vice President, Head, Investment Banking & Global Panel Discussion (Second Floor) Capital Markets Campus Recruiting, North America, Morgan Stanley, New York, New York Jessica Hardeman, Associate Director, Campus Recruiting, Advisory, KPMG, New York, New York

Fintech & Asset Management: Opportunities & Partnerships Larry Cohen, Partner & Head of Operations &Technology, AB, New Clinton Panel Discussion York, New York (Second Floor) Dr. Vicki A. Walia, Senior Vice President & Head of Digital Investment Solutions, AB, New York, New York

Business Development Moderator: Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts Panelists: Gramercy Panel Discussion Chad Hummel, CAIA, Vice President ETF & Index Investments, (Second Floor) BlackRock, New York, New York Maureen O’Toole, CAIA, Managing Director, Morgan Stanley Investment Management, New York, New York Scott Toohig, Senior Vice President, Lazard Asset Management, New York, New York

So You Want To Trade Options… Hudson Panel Discussion Joe Burgoyne, Director, Options Industry Council, Chicago, Illinois (Fourth Floor) Bill Ryan, Managing Director, NYSE Options, New York, New York

Getting Prepared for a Career in Investment Banking Joshua Pearl, Managing Director, Brahman Capital Corp., New York, Nassau Workshop New York (Second Floor) Joshua Rosenbaum, Managing Director, RBC Capital Markets, New York, New York

18 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Friday March 31, 2017 continued New York Hilton Midtown Hotel

Real Estate Capital Markets: Finding Opportunity in an Uncertain Environment Murray Hill East Jeff Rombach, CPA, Vice President, Commercial Real Estate, Wells Fargo Panel Discussion (Second Floor) Bank, N.A., St. Louis, Missouri Eric Wald, Vice President, Global Real Assets, J.P. Morgan Asset Management, New York, New York

Let’s Make a Deal: Private Equity Investments in the 21st Century Green John Daly, Vice President, Alleghany Capital, New York, New York Panel Discussion (Fourth Floor) Leviathan Winn, Vice President, Centre Lane Partners LLC, New York, New York

Multi-Asset & Private Equity Investing: A Dive into the World of Traditional & Alternative Asset Classes Lincoln Joshua Hemmert, Executive Director, Client Portfolio Manager, Multi- Panel Discussion (Fourth Floor) Asset Solutions, J.P. Morgan Asset Management, New York, New York Rebecca Mitchem, CFA, Associate, Portfolio Manager, Private Equity Group, J.P. Morgan Asset Management, New York, New York

How Institutions Design Superior Portfolios Bryant Workshop Ned Rosenman, Director, Client Solutions, BlackRock, New York, (Second Floor) New York

Investment Banking—A Guide to Securitization Christian Kurasek, Vice President, Structured Finance, Barclays, New Morgan York, New York Panel Discussion (Second Floor) Salina Sabri, Associate, Structured Finance, Goldman Sachs, New York, New York

Making Your Investment Case: How to Build a Credible & Impactful New York Investment Thesis Perspective (Fourth Floor) Dennis Neveling, Director & Research Analyst, Consumer, Lazard Asset Management, New York, New York

3:15–3:30 p.m. Break

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Friday March 31, 2017 continued New York Hilton Midtown Hotel

3:30–4:30 p.m. SESSION V SEE SESSIONS & LOCATIONS BELOW

Balancing Risk & Return Moderator: Beekman & Sutton Keynote Perspective John Augustine, CFA, Chief Investment Officer, Huntington Bank (Second Floor) Keynote Speaker: Sam Stovall, Chief Investment Strategist, CFRA

The Evolving Role of Technology in Asset Management from a Historical & Trends in Innovation Perspective Gibson Keynote Panel Larry Cohen, Partner & Head of Operations & Technology, AB (Second Floor) Dr. Vicki A. Walia, Senior Vice President & Head of Digital Investment Solutions, AB

Portfolio Management Moderator: Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong Kong Panelists: Rob Farrington, CFA, CAIA, Director, Asset Management, Nassau Abbot Downing, New York, New York Panel Discussion (Second Floor) Sidney Hardee, CFA, Managing Partner, Hardee Brothers, New York, New York Thomas F. McKeon, CFA, Principal & Chief Investment Officer, Clothier Springs Capital Management LLC, Phoenixville, Pennsylvania Mary Jane McQuillen, Managing Director, Portfolio Manager & Head of ESG Investment, ClearBridge Investments, New York, New York

Quantitative Portfolio Management Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts Panelists: Gramercy Yangchun Chu, Chief Operating Officer, DolphinDB Inc., Jersey City, Panel Discussion (Second Floor) New Jersey Erin Gibbs, Portfolio Manager, Equities, S&P Investment Advisory Services, New York, New York Craig Marderstein, Adjunct Professor, Tech Quantitative Methods & Decision Analysis, Fordham University, New York, New York

20 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Friday March 31, 2017 continued New York Hilton Midtown Hotel

Financial Statements and Valuation Complexities in an Evolving Regulatory Environment Bryant Jason Schafer, CPA, Senior Manager, Financial Services Office, EY, Los Panel Discussion (Second Floor) Angeles, California John Schafer, CPA, Senior Manager, Financial Services Office, EY, Cincinnati, Ohio

Technical Analysis Moderator: Tyler Wood, Managing Director, Global Business Development, Market Technicians Association, New York, New York Morgan Panel Discussion Panelists: (Second Floor) Mike Hurley, CMT, Portfolio Manager, Highland Capital Management, Dallas, Texas Katie Stockton, CMT, Chief Technical Strategist, BTIG, New York, New York

Networking Reception & Awards Ceremony 4:30–5:30 p.m. Regents & Sutton South (Second Floor) Sponsored by: CFA Institute

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Saturday April 1, 2017 New York Hilton Midtown Hotel

Gramercy (Second Floor) 8–9 a.m. Light Continental Breakfast Sponsored by: Quinnipiac University

9–10 a.m. SESSION VI SEE SESSIONS & LOCATIONS BELOW

Career Paths in Trading & Investing Nassau Presentation Russell Rhoads, CFA, Senior Instructor, Options Institute, Chicago Board (Second Floor) of Options Exchange, Chicago, Illinois

Private Equity & Wealth Management Lily Gordon, Analyst, Brown Brothers Harriman, New York, New York Murray Hill West Career Panel Andrew Hodgkins, CFA, Private Equity Analyst, Brown Brothers Harriman, (Second Floor) New York, New York Phil Smith, CFA, Associate, Three Ocean Partners, New York, New York

Asset Management Murray Hill East Marco Carlacci, Vice President, Financial Institutions Group, Lazard Asset Career Panel (Second Floor) Management, New York, New York John Mantia, Senior Analyst, Active Owners Fund, New York, New York

Investment Banking Max Mullen, Associate, Corporate Structured Finance, Goldman Sachs, Gibson New York, New York Career Panel (Second Floor) Serena Shi, Associate, Corporate Structured Finance, Goldman Sachs, New York, New York Bryan Verbel, Analyst, RBC Capital Markets, New York, New York

Leaving a Lasting Impression in the Financial Industry Clinton Presentation Chelsea Williams, Vice President, Human Resources, Lazard Asset (Second Floor) Management, New York, New York

Innovations in Investment Management Education Dr. Tim Jares, Student & Foundation Fund, University of Northern Colorado, Greeley, Colorado Madison Panel Discussion Dr. David Nawrocki, Christopher Haley SMIF, Villanova University, Villanova, (Second Floor) Pennsylvania Dr. David A. Sauer, Quinnipiac G.A.M.E. Forum, Quinnipiac University, Hamden, Connecticut

10–10:30 a.m. Break Gramercy (Second Floor)

22 QUINNIPIAC G.A.M.E. VII FORUM Quinnipiac G.A.M.E. VII Forum

Saturday April 1, 2017 continued New York Hilton Midtown Hotel

10:30–11:30 a.m. SESSION VII SEE SESSIONS & LOCATIONS BELOW

Career Paths in Trading & Investing Nassau Presentation Russell Rhoads, CFA, Senior Instructor, Options Institute, Chicago Board of (Second Floor) Options Exchange, Chicago, Illinois

Exploring Career Pathways in Finance Clinton Presentation Chelsea Williams, Vice President, Human Resources, Lazard Asset (Second Floor) Management, New York, New York

SAVE THE DATE

March 22–24, 2018 New York, New York

For more information, visit qgame.qu.edu Email [email protected] or call 203-582-3888

QUINNIPIAC G.A.M.E. VII FORUM 23 ADDITIONAL INFORMATION AVAILABLE

24 QUINNIPIAC G.A.M.E.WEB: VIIqgame.qu.edu FORUM | EMAIL: [email protected] | PHONE: 203-582-3888