wealth mgmt brochure 2008

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Established 1922

Wealth Management ProgramGrow & Protect Now & for the Future

www.nyif.com

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



What Does Wealth Management

Mean to Clients?

Grow Wealth

Protect Wealth

Provide Liquidity

Minimize Taxes

…during their life and after they are gone

The New York Institute of Finance’s Wealth

Management Program captures the best

practices and insights from corporate

thought leaders and wealth management

firms.

This modular suite of classes is designed toprepare client-facing professionals with the

knowledge and skills to meet and add value

to wealthy individuals and families.

Attend the Wealth Management Program

and explore:

Global Economic Impact on Wealth

Consultative Discussions and

Recommendations Asset Allocation and Portfolio

Optimization

Lending and Leverage

Tax and Intergenerational Planning

Maintaining Good Relationships with

Investment Clients

Prerequisites

An undergraduate degree or equivalent.

Fluent in English. Knowledge of Microsoft

Office Suite. Financial calculator required.

How is the Program Structured?

The Wealth Management Program consists

of 8 core modules over a 3 week period:

Introduction to the Wealth

Environment

1 Day

Grow Wealth: Liquidity 2 Days

Grow Wealth: Asset

Management

2 Days

Grow/Protect Wealth:

Alternative Investments

2 Days

Grow/Protect Wealth:

Derivatives

2 Days

Protect Wealth: International

Estate Planning

3 Days

Consultative Selling Skills to

Investment Clients

2 Days

AML (Anti-Money

Laundering)

1 Day

Each module may also be taken individually.

All classes are available at our Midtown

campus. Breakfast and lunch available

daily.

Who Should Attend?New Private Bankers

New Wealth Advisors

Brokers who are going to cover broader

wealth solutions

Portfolio Managers and other Product

Specialists requiring an in-depth

overview of wealth management

Individuals working in the finance arena

Wealth Management ProgramGrow & Protect

Now & for the Future



W EALTHM ANAGEMENT PROGRAM 2008

Key: Financial Calculator Required

Introduction to the Wealth Environment■

July 7

Instructor: William Coda

CPE Credits: 7.0

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.



Grow/Protect Wealth: Alternative Investments■

July 14–15

Instructors: Lance Eckel & John Palicka

CPE Credits: 14.0

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•

Private Equities•Venture Capital•Commodities•Real Estate•

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.

Estate Planning Instruments:• JTWROS, POAs, Wills,Companies, TrustsDuring Life•

Incapacity-Confidentiality-Special Needs-Taxation-Philanthropy & Gifting-

After Death•

Confidentiality-Probate-

Control-Taxation-

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.



W EALTHM ANAGEMENT PROGRAM 2008

Key: Financial Calculator 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

investment clients.The Consultative Process•

Investment Experience-Preferences-Common Language-

Investments and the economic•cycle

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.

Privacy Policy: NYIF takes your privacy seriously. We collect and usepersonal information to provide you with our information services,conduct market research surveys and contact you with details of products and services we offer.

Tick the relevant boxes if you prefer not to receive information about:

NYIF products

Pearson products

Products or services offered jointly with, or other organizations

If you have checked the third box, we will not disclose your personalinformation to companies outside the Pearson Group, except tobusiness partners and suppliers that process data on our behalf. As weare an international group we may transfer your data on a global basisfor the purposes indicated above.

NEW YORK INSTITUTE OF FINANCE IS A SUBSIDIARY OF PEARSON, LLC.



Enrollment Application and Order Form

Personal Information Required for all enrollments and orders.

Mr. Ms. Mrs.

Last Name First Name Middle Initial

Firm Name

Title Department

Manager

Home

Address Work Ste./Fl.

City State Zip Country

Phone ( ) Fax ( )

Email Address

Please send me information via email (see privacy policy below)

How did you What industry dohear about us? you work in?

Payment Method Company Check Mastercard VISA American ExpressIf paying by credit card, complete and sign below.

Cardholder Signature

Name as on Card

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If you would like to send your company check directlyto our bank account, please make the check payable to“New York Institute of Finance” and mail to:

Bank of America12562 Collection Center DriveChicago, Illinois 60693

I certify that the above information is correct. I am aware of the prerequisites for the course(s) for which I am registering and havemet the necessary requirements. I have read and understand the enrollment policies.

Attendee Signature Date

Fax your completed form to -- Date Cost

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

for Wealth Advisors July 29–30 $2,375

$

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wealth mgmt brochure 2008

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