Established 1922Wealth Management Program Grow & Protect Now & for the Future Introduction to the Wealth Environment • Grow Wealth: Liquidity • Grow Wealth: Asset Management • Grow/Protect Wealth: Alternative Investments • Grow/Protect Wealth: Derivatives • Protect Wealth: International Estate Planning • Consultative Selling Skills to Investment Clients • Anti-Money Laundering July 2008 New York
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This introduction paints the big picture of the wealth environment andhow it cycles through changes. Learn the basics of global economicsand how this impacts wealth generation as well as the risks tomaintaining wealth in all parts of the world.
Global EconomyEconomic Cycles•Risk Factors•Impact on Wealth Creation & Retention•
Prerequisites: None
Grow Wealth: Liquidity■
July 8–9
Instructors: Henry Pullman
CPE Credits: 14.0
Learn the importance of liquidity to wealthy clients and how financialinstitutions typically meet those needs. Examine the basics of clientcredit analysis, loan structures and regulations governing lendingin the US and find out how credit is used to leverage other wealth-generating instruments.
Client Profile•Types of Borrowers•Leveraging Investments•5 C’s of Credit•Basic Approval Principles•
Risk Rating•Collateral•Major Types of Lending•Lending Regulations•
Prerequisites: Margin I: Introduction to Margin Regulations – Online
& Margin II: Advanced Margin for Options – Online , or equivalentknowledge.
Grow Wealth: Asset Management■
July 10–11
Instructor: James Davis
CPE Credits: 14.0
Explore the basics of portfolio management using traditional assetclasses. Learn how to identify appropriate risk and return parametersand how to explain asset allocation, diversification, and portfolioperformance to clients.
Risk/Return•
Standard Asset Classes•Bonds-Equities-
Asset Allocation &•Optimization
Securities Selections•
Individual Securities-Funds-
Performance•
Prerequisites: Portfolio Management I – Online, Equities – Online &
Fixed Income Securities – Online or equivalent knowledge.
Gain a broad understanding of alternative investments, required bymany sophisticated investors to both diversify and optimize portfoliosand reduce risk, as well as to enhance portfolio performance. Learnhow to identify and position individual products to meet specific
needs of clients.Increased Interest to•Sophisticated InvestorsInstitutional Differentiator •Solution•Hedge Funds•
Prerequisites: Hedge Funds – Online or equivalent knowledge. Afinancial calculator is required.
Protect Wealth: International Estate Planning■July 16–18
Instructors: James Donaldson &Roberta Ruddy
CPE Credits: 21.5
Explore the complex world of tax and estate planning structures inthe US and abroad. Learn client situations requiring formal planningstructures and which structures are best under specific circumstancesduring life and after death. Examine the resulting implications of not planning, and how to have sensitive discussions with clients andprospects.
Role of Insurance in Estate &•Tax PlanningInternational Issues•
Common Law- vs. Civil Law JurisdictionsTax Haven & Other -Regulatory ChangesSolutions-
PICs•Special Categories•
Prerequisites: Overview of Trusts – Online or equivalent knowledge.A financial calculator is required.
Grow/Protect Wealth: Derivatives■
July 21–22
Instructor: Mayra Rodriguez Valladares
CPE Credits: 14.0
Understand the dual purposes of derivatives products for clients – toreduce investment risk as well as to enhance investment performance.Learn how to identify and position individual products to meet specificneeds of clients.
Enhancements to•PerformanceHedges Against Loss•
Solutions•Options-Swaps-Futures-
Interest Rate-FX-Commodities-
Appropriateness & Risks•
Prerequisites: Derivative Instruments – Online , Options – Online &Forwards & Futures – Online or equivalent knowledge. A financialcalculator is required.
Consultative Selling Skills to Investment Clients■
July 23–24
Instructor: James Davis:
CPE Credits: 14.0
Learn how to maintain and grow business in an increasinglysophisticated, competitive and volatile market. Learn to speakconfidently and compellingly to clients about investments and their individual portfolios, and to build solid, lasting relationships with
Typical business cycle-Shape of yield curve through-the cycle
When particular asset classes- perform best/worstRepairing a Relationship•Build an Investment Policy and•Asset Allocation
Product/Manager Analysis &-SelectionBuilding a Portfolio-
Sudden Wealth•
Behavioral Finance – An•Introduction
Errors in Judgment-Overconfidence-Optimism-Hindsight Bias-The Law of Small Numbers-
Errors of Preference-Risky Behavior -
Mental Accounting- Choice and Procrastination-Fear of Regret-Dissatisfaction Matrix-
Evaluate Current Investments•and Repositioning the PortfolioReview Performance and•Progress
Rebalance-Reallocate-Preventative Maintenance-
Prerequisites: None
AML (Anti-Money Laundering)■
July 25
Instructor: Vincent Primerano
CPE Credits: 7.0
What information must wealth managers know about their clients’usual business and associates? Learn how to be aware of the signalsof any money laundering activities now and in the future
Additional Elective Courses:■
July 28
Instructor: Patricia Sparacio
CPE Credits: 7.0
KYC (Know Your Client)Learn to understand the total wealth picture of clients and how to usethis information to ascertain investment appropriateness, and to verifythat the client meets the firm’s standards and there is no improprietythat can harm the firm’s reputation
July 29–30
Instructor: Patricia Sparacio
CPE Credits: 14.0
Corporate Finance and Financial Management Solutionsfor Wealth AdvisorsDiscover how to have comfortable and confident business-focuseddiscussions with clients by learning the basics of corporate finance
and financial management
For more detailed information on these elective courses, please visit our website at www.nyif.com
Venue Information Midtown Campus Avenue of AmericasNew York, NY
For maps to this location, please visit www.nyif.com
Questions? Please contact our Customer Care Team:
Telephone: 212 641 6616 Email: [email protected] York Institute of Finance1330 Avenue of the AmericasNew York, NY 10019
Enrollment Policies Your registration is not complete until payment is received.
Cancellation, Transfer and Substitution Policy: A full refund less acancellation fee of % will be applied to all cancellations received inwriting at least business days before the event. Absolutely no refund
or credit will be given for cancellations received less than businessdays before the event. A charge of % of the course fee will be appliedto all transfers that occur within business days before the event.Please note that visa issues are subject to the same refund policy andrefunds will not be offered due to the inability to obtain a visa. Shoulda participant be unable to attend, a substitute may attend at no extracharge provided NYIF receives notification of the substitution beforethe event.
Incidental Expenses: NYIF is NOT responsible for covering airfare orother travel costs incurred by registrants.
Venue details: Please refer to our website for venue location. Full
details will be sent to you upon registration.
Disclaimer: NYIF reserves the right to alter the contents of this courseand/or the course directors due to circumstances beyond our control.
FT Subscription: One subscription per attendee. Subscriptions startwithin - weeks of start of course. US attendees only. FT.com includedfor all delegates.
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NEW YORK INSTITUTE OF FINANCE IS A SUBSIDIARY OF PEARSON, LLC.
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Full Program
Full Program with Wealth Management Certificate July 7–25 $9,950
Modules
Introduction to the Wealth Environment July 7 $1,475
Grow Wealth: Liquidity July 8–9 $2,375
Grow Wealth: Asset Management July 10–11 $2,375Grow/Protect Wealth: Alternative Investments July 14–15 $2,375
Protect Wealth: International Estate Planning July 16–18 $3,275
Grow/Protect Wealth: Derivatives July 21–22 $2,375
Consultative Selling Skills to Investment Clients July 23–24 $2,375
AML (Anti-Money Laundering) July 25 $1,475
Electives
KYC (Know Your Client) July 28 $1,475
Corporate Finance and Financial Management Solutions