Join us to toast the holidays, network and engage in a great discussion!
Equities margins have been squeezed to near zero. MiFID II is shifting the equity research market in Europe and -potentially- the U.S. Brokerages and equity research specialists are shifting their business model to remain relevant and regain profitability. What does this mean for Investor Relations? What is the future of the IRO/Equity Research relationship? How should we shift our outreach and communications strategies? How should we prepare our management teams for the change?
We'll close out 2017 with networking and a candid discussion with experts in market structure, broker-dealer regulation and equities research. Additionally, we'll have a presentation of original research on MiFID II by CACI. You will leave with a better understanding of the changing landscape of equity research and trading as well as actionable ideas on how to adapt your investor relations strategies.
Wednesday, December 6, 2017
6:00 pm - 7:00 pm - Registration, Networking, and Reception - The Reception includes, dinner, beer, wine, and soft drinks
7:00 pm - 8:00 pm - Program
Capital Area Chapter Members: $35
Non Capital Area Chapter Members & Guests: $45
Brian Baltz, Morgan Lewis
Brian concentrates his practice on matters affecting the regulation of broker-dealers and investment advisers under US federal securities laws. Before joining Morgan Lewis, Brian held multiple positions in the Division of Trading and Markets of the US Securities and Exchange Commission (SEC). Most recently, he was special counsel in the Office of Chief Counsel, where he focused on regulatory matters impacting broker-dealers and investment advisers.
Before serving in that role, Brian was special counsel in the SEC's Office of Market Supervision. There, he focused on market structure issues in the equity and fixed income markets, including the SEC's Report on the Municipal Securities Market, and helped to develop the agency's final rule requiring the registration of municipal advisers.
Prior to his work at the SEC, Brian was public policy counsel to a financial services industry trade association based in Washington, DC, where he worked on legislative and regulatory issues impacting broker-dealers and investment advisers, including the Dodd-Frank Wall Street Reform and Consumer Protection Act.