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Hosted by Fairfield County Chapter of FPA Connecticut

Securities-Backed Lending: "Liquidity Without Liquidation" & Event-Driven Investing: 2019 Market Environment and Outlook


Securities-Backed Lending:
"Liquidity Without Liquidation" (1 CFP CEU)
Sean Quirk, CFP®, Senior Vice President
Private Bank New England Regional Director
TriState Capital Bank

This one-hour presentation will focus on securities-backed lines of credit (SBLOC), which allows the use non-qualified investment accounts as collateral for revolving or non-revolving lines of credit. The presenter will explain how the proceeds of this type of lending can be accessed. Also discussed will be client-advisor advantages, investment opportunities, as well as potential risks involved in SBLOCs.
Learning Objective(s): At the end of this session, attendees will (1) understand how an SBLOC can help manage both sides of a client's personal balance sheet and address liquidity needs and (2) understand the benefits and potential risks of the SBLOC and whether it would be an appropriate addition to a client's financial plan.
Level of Complexity: Intermediate

Event-Driven Investing:
2019 Market Environment and Outlook (1 CFP CEU)
Jordan Hoerl CAIA, Vice President
Client Analytics & Investor Relations
The Arbitrage Funds

Event-driven investing is a highly specialized strategy designed to profit from the behavior of equity and fixed-income securities trading within the timelines of specific corporate events. This presentation will provide a brief historical overview of event-driven investing as well as an in-depth analysis of the current market environment and outlook for the future. Special situations and other "soft catalysts and merger arbitrate and other "hard catalysts" will be discussed.
Learning Objective(s): At the end of this session, attendees will (1) understand the risk and opportunities of event-driven investing and (2) understand fixed equity and fixed-income securities trading and events that occur during the various life cycles of most corporations and how to capitalize on these situations over a short period of time.
Level of Complexity: Intermediate

More Event Details

Wednesday, October 23, 2019
5:30 PM - 8:00 PM

Location

Giovanni's (The Waters Edge)
2748 Post Road
Darien   CT   06820
(203)325-9979
 
Website for Location
Map for Location





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Program Sponsorship Fee $600.00
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