Established 1922

Wealth Management Program
Grow & Protect Now & for the Future
July 2008 New York

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

www.nyif.com

Wealth Management Program
Grow & Protect Now & for the Future
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 to prepare 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

How is the Program Structured?
The Wealth Management Program consists of 8 core modules over a 3 week period: Introduction to the Wealth Environment Grow Wealth: Liquidity Grow Wealth: Asset Management Grow/Protect Wealth: Alternative Investments Grow/Protect Wealth: Derivatives 1 Day 2 Days 2 Days 2 Days 2 Days

Protect Wealth: International 3 Days Estate Planning Consultative Selling Skills to Investment Clients AML (Anti-Money Laundering) 2 Days 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

Prerequisites
An undergraduate degree or equivalent. Fluent in English. Knowledge of Microsoft Office Suite. Financial calculator required.

WEALTH MANAGEMENT PROGRAM 2008

■ Introduction to the Wealth Environment
July 7 Instructor: William Coda CPE Credits: 7.0 This introduction paints the big picture of the wealth environment and how it cycles through changes. Learn the basics of global economics and how this impacts wealth generation as well as the risks to maintaining wealth in all parts of the world. Global Economy • Economic 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 financial institutions typically meet those needs. Examine the basics of client credit analysis, loan structures and regulations governing lending in the US and find out how credit is used to leverage other wealthgenerating instruments. • Client Profile • Risk Rating • Types of Borrowers • Collateral • Leveraging Investments • Major Types of Lending • 5 C’s of Credit • Lending Regulations • Basic Approval Principles Prerequisites: Margin I: Introduction to Margin Regulations – Online & Margin II: Advanced Margin for Options – Online, or equivalent knowledge.

■ Grow Wealth: Asset Management
July 10–11 Instructor: James Davis CPE Credits: 14.0 Explore the basics of portfolio management using traditional asset classes. Learn how to identify appropriate risk and return parameters and how to explain asset allocation, diversification, and portfolio performance to clients. • Risk/Return • Securities Selections • Standard Asset Classes - Individual Securities - Bonds - Funds - Equities • Performance • Asset Allocation & Optimization Prerequisites: Portfolio Management I – Online, Equities – Online & Fixed Income Securities – Online or equivalent knowledge.

Key:

Financial Calculator Required

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■ 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 by many sophisticated investors to both diversify and optimize portfolios and reduce risk, as well as to enhance portfolio performance. Learn how to identify and position individual products to meet specific needs of clients. • Increased Interest to • Private Equities Sophisticated Investors • Venture Capital • Institutional Differentiator • Commodities • Solution • Real Estate • Hedge Funds Prerequisites: Hedge Funds – Online or equivalent knowledge. A financial 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 in the US and abroad. Learn client situations requiring formal planning structures and which structures are best under specific circumstances during life and after death. Examine the resulting implications of not planning, and how to have sensitive discussions with clients and prospects. • Estate Planning Instruments: • Role of Insurance in Estate & Tax Planning JTWROS, POAs, Wills, • International Issues Companies, Trusts - Common Law vs. Civil Law • During Life - Incapacity Jurisdictions - Confidentiality - Tax Haven & Other - Special Needs Regulatory Changes - Taxation - Solutions - Philanthropy & Gifting • PICs • After Death • Special Categories - Confidentiality - Control - Probate - Taxation

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 – to reduce investment risk as well as to enhance investment performance. Learn how to identify and position individual products to meet specific needs of clients. • Enhancements to • Solutions Performance - Options - Interest Rate • Hedges Against Loss - Swaps - FX - Futures - Commodities • Appropriateness & Risks Prerequisites: Derivative Instruments – Online, Options – Online & Forwards & Futures – Online or equivalent knowledge. A financial calculator is required.

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WEALTH MANAGEMENT PROGRAM 2008

■ 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 increasingly sophisticated, competitive and volatile market. Learn to speak confidently and compellingly to clients about investments and their individual portfolios, and to build solid, lasting relationships with investment clients. • Behavioral Finance – An • The Consultative Process - Investment Experience Introduction - Errors in Judgment - Preferences - Overconfidence - Common Language - Optimism • Investments and the economic - Hindsight Bias cycle - The Law of Small Numbers - Typical business cycle - Errors of Preference - Shape of yield curve through - Risky Behavior the cycle - Mental Accounting - When particular asset classes perform best/worst - Choice and Procrastination - Fear of Regret • Repairing a Relationship • Build an Investment Policy and - Dissatisfaction Matrix • Evaluate Current Investments Asset Allocation - Product/Manager Analysis & and Repositioning the Portfolio • Review Performance and Selection Progress - Building a Portfolio - Rebalance • Sudden Wealth - Reallocate - Preventative Maintenance Prerequisites: None

■ AML (Anti-Money Laundering)
July 25 What information must wealth managers know about their clients’ Instructor: Vincent Primerano usual business and associates? Learn how to be aware of the signals of any money laundering activities now and in the future CPE Credits: 7.0

■ 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 use this information to ascertain investment appropriateness, and to verify that the client meets the firm’s standards and there is no impropriety that can harm the firm’s reputation

July 29–30 Instructor: Patricia Sparacio CPE Credits: 14.0

Corporate Finance and Financial Management Solutions for Wealth Advisors
Discover how to have comfortable and confident business-focused discussions 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

Key:

Financial Calculator Required

5

Venue Information

Midtown Campus 1330 Avenue of Americas New York, NY 10019 For maps to this location, please visit www.nyif.com Questions? Please contact our Customer Care Team: Telephone: 212 641 6616 Email: customercare@nyif.com New York Institute of Finance 1330 Avenue of the Americas New York, NY 10019

Enrollment Policies

Your registration is not complete until payment is received.
Cancellation, Transfer and Substitution Policy: A full refund less a cancellation fee of 10% will be applied to all cancellations received in writing at least 10 business days before the event. Absolutely no refund or credit will be given for cancellations received less than 10 business days before the event. A charge of 10% of the course fee will be applied to all transfers that occur within 10 business days before the event. Please note that visa issues are subject to the same refund policy and refunds will not be offered due to the inability to obtain a visa. Should a participant be unable to attend, a substitute may attend at no extra charge provided NYIF receives notification of the substitution before the event. Incidental Expenses: NYIF is NOT responsible for covering airfare or other 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 course and/or the course directors due to circumstances beyond our control. FT Subscription: One subscription per attendee. Subscriptions start within 6-8 weeks of start of course. US attendees only. FT.com included for all delegates. Privacy Policy: NYIF takes your privacy seriously. We collect and use personal 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 personal information to companies outside the Pearson Group, except to business partners and suppliers that process data on our behalf. As we are an international group we may transfer your data on a global basis for the purposes indicated above. NEW YORK INSTITUTE OF FINANCE IS A SUBSIDIARY OF PEARSON, LLC.

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Enrollment Application and Order Form
Fax your completed form to 212-641-2598
Full Program Full Program with Wealth Management Certificate Modules Introduction to the Wealth Environment Grow Wealth: Liquidity Grow Wealth: Asset Management Grow/Protect Wealth: Alternative Investments Protect Wealth: International Estate Planning Grow/Protect Wealth: Derivatives Consultative Selling Skills to Investment Clients AML (Anti-Money Laundering) Electives KYC (Know Your Client) Corporate Finance and Financial Management Solutions for Wealth Advisors July 28 July 29–30 $1,475 $2,375 $ July 7 July 8–9 July 10–11 July 14–15 July 16–18 July 21–22 July 23–24 July 25 $1,475 $2,375 $2,375 $2,375 $3,275 $2,375 $2,375 $1,475 July 7–25 $9,950

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