Annual ETF Industry Summit

12:30 p.m.

Registration, networking and refreshments

1:00 p.m.

Welcoming Remarks: Going Global with ETFs

Douglas M. Yones, Head of Exchange Traded Products, NYSE

Pierce Lord, Director, Indices, ICE

Douglas M. Yones

Head of Exchange Traded Products, NYSE

Douglas Yones is currently the Head of Exchange Traded Products at the New York Stock Exchange, where he oversees the listings and operations teams responsible for the ETP, Closed End Funds and SPAC businesses. His department is responsible for the delivery of customized, full service end-to-end capabilities for exchange traded product issuers. From the moment an asset manager begins developing their mandate, the team at the NYSE can help to drive product and index development, regulatory guidance and legal support, an unparalleled listing day experience, and long-term enhancement of product growth and distribution alongside superior market quality and liquidity.

Prior to joining the NYSE, Douglas spent 17 years at The Vanguard Group, most recently as the Head of Domestic Equity Indexing/ETF Product Management. From 2007 through 2015, Douglas worked on the development, launch, and distribution of numerous ETFs in the U.S., U.K., and Canada. He also spent a number of years in Hong Kong, responsible for the development and launch of the regional ETF business for Vanguard in Asia.

Douglas holds the Chartered Financial Consultant (ChFC) designation with the American College, an M.B.A from Villanova University, his undergraduate degree from the Pennsylvania State University, and is a registered Options and General Securities Principal with FINRA.

Pierce Lord

Director, Indices, ICE

Pierce Lord is Director of Product Development at ICE Data Services, a leading provider of market data solutions which is part of Intercontinental Exchange, Inc. (NYSE: ICE). Lord is responsible for business development and commercial strategy for ICE Data Indices.

Prior to joining ICE in 2019, Lord was a business manager at Bloomberg L.P. responsible for evaluated pricing and curves across municipal, corporate and government bonds globally. Before joining Bloomberg in 2010, Lord was founder and portfolio manager of Lord Capital Management, a registered investment adviser. He was a convertible bond trader and analyst at Drake Management and got his first job as an investment banking analyst at UBS.

Lord is a CFA® charterholder and received his bachelor’s degree in economics and mathematics from Colgate University. Lord has served on the board of regents of Mercersburg Academy from 2008 to 2020.

1:10 p.m.

Canada

Graham Mackenzie, Managing Director, Exchange Traded Products, Toronto Stock Exchange

Steve Hawkins, President and CEO, Horizon ETFs

Kevin Gopaul, President and CCO, BMO ETFs & Global Asset Management

Moderator: Mo Sparks, Director Exchange Traded Products, NYSE

Graham Mackenzie

Head of Exchange Traded Products, Toronto Stock Exchange, TMX Group

Graham leads the Exchange Traded Product businesses at the TMX. In this role, Graham is not only tasked with growing the TSX's ETF footprint but also focused on nurturing and fostering the adoption and use of ETFs in Canadian investment portfolios.

Graham joined the TMX after an 18 year career as an equity trader that included managing multiple trading businesses. While at CIBC, Graham’s responsibilities included Portfolio Trading, Head of the Retail Execution Services and Retail Block Trading desks. Prior to CIBC, Graham worked at RBC Capital Markets where he was a pioneer in the Canadian portfolio trading business. At both CIBC and RBC, Graham was responsible for managing their corporate trading relationships where he advised issuers on corporate buybacks, building toehold positions and disposing minority stakes. He began his trading career as an options trader on the floor of the TSX with RBC.

Graham and his wife, Michèle, are the founders of Ready, Set, Play Children's Charity. A Toronto based charity that provides funding for underprivileged children to participate in recreational sports and dance.

Steve Hawkins

President and CEO, Horizon ETFs

Steve Hawkins is the President and CEO of Horizons ETFs (a member of the Mirae Asset Global Investments Group), where he is responsible for the day-to-day business and affairs of the firm. With more than 35 years of experience in the investment industry, Mr. Hawkins has been with Horizons ETFs for more than 13 years including as its CIO, prior to becoming CEO in 2015. He is among the leaders responsible for the proliferation of ETFs in Canada, bringing many first-of-their-kind ETFs to market. Mr. Hawkins spearheaded the launch of the first family of actively managed ETFs in Canada, the world's first marijuana ETF, the world's first psychedelics ETF and the world's first inverse bitcoin ETF. As an innovative ETF and capital markets thought leader, he is frequently quoted in the news media, appears regularly on business television, and is a globally sought-after speaker for his expertise on his three favorite topics: ETFs, derivatives, and emerging sectors. Mr. Hawkins was recognized as CEO of the Year at the 2018 and 2022 Wealth Professional Awards and is a past chair of the Canadian ETF Association.

Kevin Gopaul

President & Chief Commercial Officer, BMO Exchange Traded Funds, BMO Global Asset Management

Kevin Gopaul is President and Chief Commercial Officer of BMO Exchange Traded Funds, for BMO Global Asset Management. Kevin is a key asset to the BMO Bank of Montreal Global Asset Management 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, having served as the Chairman of the Canadian ETF Association (CETFA) from 2017-2019 and where he continues to serve as a Director, as well as being appointed to the Public Policy Committee a key member committee of the Canadian Coalition for Good Governance (CCGG) in 2020, and acting as an advisor to several index advisory panels. Kevin studied Economics, Finance and Computer Science at the University of Waterloo, and was named one of IIAC's Top 40 Under 40 in 2015.

Mo Sparks

Director Exchange Traded Products, NYSE

Mo Sparks leads the New York Stock Exchange’s strategic initiatives and related activities for asset managers engaged in the development of ETFs. Prior to joining the NYSE, he spent nearly a decade at The Vanguard Group working in several different roles within the Product Management & Strategy functions responsible for oversight of Vanguard’s global ETF and mutual fund lineup. Mo most recently served as the Head of Product Technology & Analytics where he was responsible for designing and leading a portfolio of initiatives focused on enhancing the product development, launch, and monitoring processes globally. Mo also served as a founding member of the leadership team for the Global Product Management function and was the Head of Product Management Shared Services where he engaged in go to market strategy development, product development and sales distribution efforts for the global ETF business. Mo received his undergraduate degree from Clemson University.

1:40 p.m.

Latin America

Brazil (1:40 p.m. - 2:00 p.m.): Luis Kondic, Managing Director and Head of Listed Products and Data, B3

Mexico (2:00 p.m. - 2:20 p.m.): Juan Manuel Tirado Olivo, Director, Groupo BMV

Peru (2:20 p.m. - 2:40 p.m.): Miguel Angel Zapatero Alba

Luis Kondic

Managing Director and Head of Listed Products and Data, B3

Luis Kondic is a Managing Director and Head of Listed Products and Data at B3. Luis has joined B3 in April 2021 from Citigroup, where he was most recently the Managing Director responsible for Markets Corporate Sales and Structuring in Brazil. He joined Citigroup in 1996 as a Management Associate and held positions in Finance and Global Markets, in Brazil and in New York, with focus on structuring, product development and sales of derivatives, FX and investments products.

Juan Manuel Olivo Tirado

Director of Promotion and Issuers, Mexican Stock Exchange

Juan Manuel Olivo Tirado is the Director of Promotion and Issuers of the Mexican Stock Exchange where he began his career more than 10 years ago. He directs the listing and maintenance process of all the Securities listed on the stock market, as well as Linkage, Integral Client Services and the support program for new companies to be listed. Juan Manuel was responsible for the International Quotation System at Deutsche Bank from 2011 to 2014. With an innovation and growth culture, he has participated in the planning and refinement of the Certificados de Capital de Desarrollo (CKDes), Real State FIBRAs, SIC, as well as the recent instruments, Green Bonds, Social Bonds, FIBRA E, CERPIS, SPACS and the structure redesign of the SIC providing several benefits to Global Market. Juan Manuel shares his knowledge through different conferences and courses related to Stock Financing, Personal Finances, Economy and How to invest in the Stock Market. He has participated in different publications in magazines, newspapers and radio interviews highlighting; FORBES, El Economista, Fórmula financiera, El Financiero-Bloomberg, among others. He has an MBA from ITAM, as well as a degree in Finances from the Banking and Commercial School.

Miguel A. Zapatero

CEO, Lima Stock Exchange, Grupo BVL

Miguel A. Zapatero is CEO of the Lima Stock Exchange, part of the Grupo BVL, the leading capital market infrastructure provider in Peru.He joined the exchange in 2014 after working in BlackRock, where he worked as a Director for Latin America in USA and Chile.Previously, he held various roles at Barclays Global Investors, Apoyo Consultoria and the Central Bank of Peru.

2:40 p.m.

Break

2:55 p.m.

Europe

Henry Glynn, Head of ETF Capital Markets & Distribution, Waystone

Ciara O’Leary, Partner, Dechert

Clive Bellows, Executive Vice President, Northern Trust

Pawel Janus, PhD, Co-Founder and Head of Analytics, ETFbook

Moderator: Paul Heffernan, CEO, Waystone

Henry Glynn

Head of ETF Capital Markets & Distribution, Waystone ETFs

Henry Glynn joined Waystone in 2022 as Head of ETF Capital Markets & Distribution for Waystone ETFs. Henry has over 15 years of experience in the ETF industry, having previously built and led the Capital Markets team at VanEck Europe. Prior to this he worked at Vanguard in London, Hong Kong and Melbourne predominately as a Capital Markets Specialist building out their ETF capabilities in each region. Henry has a deep understanding of the drivers of ETF liquidity and of the ETF market and ecosystem.

At Waystone, Henry’s responsibilities include Authorised Participant and Market Maker relationships, Sales and Client Engagement, ETF product and business enhancement as well as engaging with International Stock Exchanges, ETF trading platforms and trading technology providers.

Henry joined Waystone from ICE Data Services where he was Head of Index and Analytics sales for EMEA. Henry has a Bachelor of Business Studies Degree from the Sligo Institute of Technology.

Ciara O’Leary

Partner, Dechert

Ciara O’Leary focuses her practice on investment funds, advising fund promoters and fund services firms on matters relating to the establishment, authorization, operation and ongoing maintenance of funds.

Ms. O’Leary advises on all types of funds, including UCITS and AIFs. She has extensive experience handling matters pertaining to ETFs, money market funds, alternative or structured UCITS and the use of derivatives and financial indices within the UCITS space.

Prior to joining Dechert, Ms. O’Leary was an investment management partner at another global law firm.

Clive Bellows

Executive Vice President, Northern Trust

As a member of the Northern Trust European Management Committee and Head of GFS EMEA, Clive has additional Global responsibility for Northern Trusts Private Capital business lines. Drawing on his deep sector knowledge, Clive has extensive experience supporting asset managers to achieve operational efficiency across the spectrum of alternative assets including hedge funds, private equity, private debt, real estate and infrastructure funds. He also has overall responsibility for leading the company’s Fund Administration and Depositary business in the UK, Ireland, Luxembourg, Switzerland, Netherlands and Guernsey. Clive is a Certified Investment Fund Director (CIFD) and Chairs the CIFD Advisory Committee. He is an ex‐President of the Irish Chamber of Commerce and also The Institute of Banking. Clive is Chairman of the Basis.Point charity and is a serving Board member of the Irish U.S. Council.

Pawel Janus, PhD

Co-Founder and Head of Analytics, ETFbook

Pawel is Co-Founder and Head of Analytics at ETFbook which supports institutional clients with data, analytics, and custom solutions within the European ETF/P market. Prior to ETFbook, Pawel established and managed team at UBS AM responsible for driving innovation and analytics in the Passive space. Broad exposure to quantitative market, credit, and liquidity risks. Expertise and experience in index construction methodologies and developments, including ESG layers. PhD degree in Econometrics.

Paul Heffernan

CEO, Waystone ETFs

Paul Heffernan joined Waystone in 2022 as CEO for Waystone ETFs. Paul has over 20 years experience in the global investment fund industry. This includes global asset servicing, investment fund structuring and the international distribution of funds. Paul is a recognised specialist in the ETF market since their European inception in 2000.

At Waystone, Paul’s role is to lead Waystone’s ETF platform capturing global opportunities in the ETF market, working closely with asset managers, asset owners, private banks and other financial institutions to build and distribute great ETFs. Core to the success of the platform will be client access to a comprehensive network of liquidity providers and specialist ETF distribution support. Paul leads the international ETF business development and expansion, including new listings across multiple regions globally.

Paul joined Waystone from HSBC where he was Head of Business Development and Client Management (Asset Manager Sector, Europe) and previously Head of Cross Border Sales EMEA. Prior to this Paul spent five years at Northern Trust where he held the role of Senior Vice President, EMEA Asset Servicing Sales.

Paul has an Executive MBA in Financial Services from University College Dublin and a Bachelor’s degree in Economics & Finance from University of Limerick.

3:40 p.m.

Australia

Andrew Campion, General Manager, Investment Products, ASX

Andrew Weaver, Senior Manager, Investment Products, ASX

Andrew Campion

General Manager, Investment Products, ASX

Andrew has worked for over two decades in financial services and related industries, with experience in multiple asset classes and geographies. He has spent a significant portion of his career in the UK and the US, where his roles varied from derivatives product controller, strategy consultant, as well as equity derivatives trader. Currently, he is General Manager of the Investment Products team at ASX, which covers ETFs, LICs, mFunds, REITs, warrants, hybrids, and bonds. Prior to joining ASX, Andrew was Executive Director in Equity Derivatives Trading for Goldman Sachs in Sydney.

Andrew holds a Bachelor of Economics (Hons) from Macquarie University, an MBA from the University of Chicago Booth School of Business and is a CFA charterholder.

Andrew Weaver

Senior Manager, Investment Products

Andrew Weaver is the Senior Manager of the Investment Product Specialists team at ASX; whose responsibilities include on-boarding new ETFs and ETF issuers, managing the exchange’s relationship with market makers, and engaging with regulators.

He also sits on the S&P/ASX equity index committee which is charged with managing the benchmark Australian equity index, the S&P/ASX 200.

Andrew holds a Bachelor of Commerce and Laws from the Australian National University.

4:00 p.m.

Japan

Daisuke Tanaka, Director, ETF Market Development Department, Tokyo Stock Exchange, Inc.

Daisuke Tanaka

Director, ETF Market Development Department, Tokyo Stock Exchange, Inc.

Daisuke Tanaka joined Tokyo Stock Exchange (TSE) in 1997. He has served in several areas at TSE such as bond market, listing, and information services, as well as other fields in JPX group such as listed company compliance at Japan Exchange Regulation and OTC derivative clearing at Japan Securities Clearing Corporation. He has been the head of ETF Market Development Department, which was established in April 2022 to develop and promote overall ETF eco-system. He graduated from the University of Tokyo and received an MBA from the University of Michigan.

4:30 p.m.

Hong Kong & Greater China

Brian Roberts, Managing Director, Co-Head of Equity Product Development & Head of Exchange Traded Products, Hong Kong Exchanges and Clearing Limited

Interviewed by: Douglas M. Yones, Head of Exchange Traded Products, NYSE

Brian Roberts

Managing Director, Co-Head of Equity Product Development & Head of Exchange Traded Products, Hong Kong Exchanges & Clearing Limited

Brian is Managing Director, Co-head of Equities Product Development. In this capacity, Brian oversees the development and management of HKEX’s equities products, focusing on market development, client engagement and investor education.

Brian joined in 2015 bringing over 10 years of ETF development and leadership experience to HKEX. Prior to HKEX, Brian was at Vanguard, where he was most recently Head of ETF Product Development Asia, focusing on developing their global ETF business.

Brian holds an undergraduate degree from Purdue University and an MBA from Thunderbird School of Global Management.

5:00 p.m.

Singapore

Tom Connors, Executive Director, Global Sales & Origination, Singapore Exchange

Tom Connors

Executive Director, SGX America, LTD

Responsible for Singapore Exchange (SGX)’s business development and sales within North America. This includes marketing SGX’s core suite of products and services across asset classes including equities, fixed income, currencies, commodities, as well as its Data Connectivity and Indices business.  He has previously held product distribution roles at UBS Securities LLC (19yrs) and Bear Stearns & Co. (9yrs).

5:20 p.m.

Closing Remarks: Global Marketing in a Digital Age

Jon Fee, Chief Marketing Officer, VettaFi

Jon Fee

Chief Marketing Officer, VettaFi

Jon Fee is the Chief Marketing Officer of VettaFi, a data, analytics, indexing, and thought leadership fintech focused on transforming financial services from an industry to a community. He is responsible for building the brand and driving growth.

Jon's career has spanned technology, finance, and music—working for industry leaders in the US and UK, as well as getting scrappy with a few mission driven start-ups.

Prior to joining VettaFi, Jon served as SVP, Head of Global Marketing and Americas Business Development at Salesforce. Prior to this, he served as BlackRock's EMEA CMO as well as the Global Head of Marketing for iShares.

Jon is the father of 3 boys and is an environmentalist, avid mountain biker, and touring musician. He is a strategic advisor for Humanitas Technologies and Ant Money and the founder of indie-eco record label Parks and Records.

Mr. Fee earned his M.B.A. from the University of San Francisco and a B.S. degree from Sonoma State University.

5:30 p.m.

Networking reception

*Agenda is subject to change

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NYSE's Annual ETF Industry Summit

November 14, 2022

New York Stock Exchange

Agenda*