Securities-Backed Lending:
"Liquidity Without Liquidation"
&
Event-Driven Investing:
2019 Market Environment and Outlook
(both presentations have been accepted by CFP Board  for 1 CFP CEU each)
Our Program
Securities-Backed Lending:
"Liquidity Without Liquidation"
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
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) u nderstand the risk and opportunities of event-driven investing and (2) u nderstand 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

Click here  for speaker bios.
Many Thanks to Our Program Sponsors!

represented by
Thomas DiBari, CIMA®
Regional Director-Northeast Division
Chartwell Investment Partners
  Cell: (917) 865-0365 -  dibari@chartwelltscs.com

Jason M Coburn, CFA®
Product Specialist
The Arbitrage Funds
Direct: (202) 321-1146 -  jcoburn@wicfunds.com
Save the Dates!
Wednesday, November 13
Secrets of Success Luncheon Event, Stamford
Wednesday, December 4
Code of Ethics Dinner Meeting, Darien
Dates/Times/Topics Subject to Change.
When & Where
When:
5:30pm-8:00pm
Wednesday, October 23

Where:
Giovanni's II
(The Waters Edge)
2748 Post Road
Darien,  CT  06820

Click here for directions.
Registration
Dinner Meeting Registration Fees

FPA CT-Fairfield County Season Pass Members:
N/C
(advance registration required)
Other FPA Chapter Members: 
$45 Advance 
($55 at door)
Non-Members: 
$55 Advance 
($65 at door)
Students: 
$30 Advance 
($35 at door)

to download/print registration form.

Questions, c ontact 
Lori Somerville at 
877-777-0600 or fairfield@fpact.org

Registration Deadline: Monday, October 21
The Fall Membership Drive is Here!
Through October 31, FPA is offering exciting deals to grow and strengthen our community:
* A one-time 40% savings on dues for new CFP® Professional and Allied Professional members (coupon code: FALLJOIN40)
* New members get an FPA coaster
* Administrative fees will be waived for new FPA Group Memberships (a savings of $250!)
Click here to learn more!
FPA Statewide Chapter Events
For information on events presented  by all three FPA Chapters in Connecticut,  please visit our website at
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