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Capital Markets Insights for First-Time ETF Entrants
What You Will Learn
As firms consider entering the ETF space, understanding the nuances of launching and managing ETFs becomes critical, especially for those transitioning from mutual funds.
ACA and Northern Trust provide best practices to help you navigate the ETF landscape, including approaches, operational considerations, and practical strategies to help you get through the launch process. We’ll also address how firms without in-house capital markets capabilities can leverage third-party providers to support their ETF initiatives.
Whether you're evaluating your first ETF launch or looking to refine your strategy, this session will offer actionable guidance and peer-driven insights.
Discussion Topics:
- Distribution Channel Landscape
- ETFs vs. Mutual Funds
- ETFs vs. Mutual Funds
- Compliance
- Rule 6c-11
- Custom Basket Transactions
- Capital Markets Function and Trading Support
All webcasts are recorded and will be sent to registrants following the live broadcast.
Register
Our Speakers
- Michael Minella, Director, ACA Group
- Sonja Formato, Solutions Consultant, ACA Group
- Phil Nanof, Senior Vice President, Head of North American ETF Services, Northern Trust
- Danielle Rutsky, Senior Vice President, ETF Capital Markets, Northern Trust
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Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.