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