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The SBIC Summit: Increased Profit, Improved Regulatory Compliance

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The SBIC Summit: Increased Profit, Improved Regulatory Compliance
How to Form, Launch and License a Small Business Investment Company

Discover how to take part in the $4 billion annual SBIC Program to achieve higher returns and ensure significant CRA & Dodd Frank compliance

Business and teamwork

One Day: December 7, 2016
Kelley Drye & Warren LLP
3050 K St NW #400, Washington, DC 20007

Download a Registration Form

Meet, hear and network with influential banking, SBIC, legal and finance experts as they discuss the attractive incentives for banks and investment managers to embrace the SBIC financing channel. You’ll also learn advantages of launching your own SBIC—or investing in one—as well as inside strategies for licensing and operating an SBIC.

Your event co-chairs will guide participants to a wealth of SBIC opportunities:
  • head_coleman

    Bob Coleman, Publisher, Coleman Report

  • head_teckler

    Marty Teckler, Partner, Kelley Drye

Learn about the attractions to using the SBIC Program:
  • How banks receive Community Reinvestment Act Credits for their SBIC-related investments
  • How SBIC investing often provides median IRRs of 15% and top quartile IRRs of 28%
  • How the SBIC Program can profitably help banks broaden their suite of banking services to the small business community
  • How using the SBIC platform can dramatically increase investors’ internal rate of return, while reducing risk
  • Why SBIC investments remain attractive for private capital investors and what restrictions apply
  • Reasons so many banks prefer to own their own SBICs
  • Three major regulatory incentives for taking part in SBIC investing
  • Obstacles to launching and structuring an SBIC—and how to overcome them
  • How bank investment in SBICs creates unrelated business opportunities
  • How to navigate SBA’s licensing process for SBICs
  • How SBA supports SBICs and their investors
  • Small group forum, so you’ll have the chance to meet and speak personally with all speakers and participants
Acquire facts, wisdom and advice for capitalizing on the SBIC Program:
Wednesday, December 7th

8:00AM – 8:45AM: Breakfast

8:45AM – 9:00 AM: SBIC Investing for Main Street
Bob Coleman, Editor, Coleman Report

9:00AM – 10:30AM: How to Form, License and Operate an SBIC
Martin Teckler, Partner, Kelley Drye & Warren

10:30AM – 11:00AM: Networking Break

11:00AM -11:45AM: Regulatory Implications for Bank-Operated SBICs and SBICs Banks Invest In
Martin Teckler, Partner, Kelley Drye & Warren

12:00PM – 1:00PM: Luncheon Keynote

1:00PM – 2PM: The Logistics of Operating an SBIC
David Gerogosian, Executive Vice President, PEF Services, LLC

2:00PM – 2:15PM: Networking Break

2:15PM – 3:15PM: What It’s Like to Manage a Bank-Sponsored SBIC
Roy Swan, CEO Morgan Stanley Impact SBIC

3:15PM – 4:00PM: The SBIC Program and SBIC Lower Middle-Market Investments from the Washington, DC Perspective
Chris Hayes, General Counsel, Small Business Investor Alliance

About the Speakers

MartinTeckler011515Martin Teckler, Partner, Kelley Drye & Warren
Mr. Teckler is a frequent speaker on SBIC, Certified Development Company, and Small Business Lending Fund matters. He participates in, and has presented before, the Small Business Investor Alliance and the National Association of Government Guaranteed Lenders.

bobcolemanbioheadshotBob Coleman, Editor, Coleman Report
Bob is the Publisher of the Coleman Report, a trade newsletter and website for small business bankers. He is the nationally recognized expert on small business lending.
He is a regular contributor for Fox Business News and is sourced frequently by all major financial media news outlets including the Wall Street Journal and Bloomberg.
He is a prolific keynote speaker and training instructor at events in the US and EU.
Bob has a B.A. in Medieval History from the University of California Santa Barbara and a M.B.A. in Real Estate Finance from the University of Southern California

David Gerogosian, Executive Vice President, PEF Services, LLC
David has been active in the SBIC industry since 1990. He was a senior analyst and manager with the Small Business Administration (SBA), overseeing the regulatory and financial investment practices of a portfolio of SBIC venture funds with $2.2 billion of capital. David has direct, hands-on knowledge of the program — from licensing to operational issues through the distribution stage to wind-up of fund operations for both participating securities and debenture SBIC funds. David has served on the SBA’s regulations and SBIA (formerly NASBIC) CFO training staffs. Before SBA, David was the finance officer for a publicly traded bank and served as a consultant to the financial services industry.

royswanRoy Swan, CEO Morgan Stanley Impact SBIC
Roy Swan is a Managing Director and member of Morgan Stanley’s Global Sustainable Finance team, where he is Community Reinvestment Act (CRA) Officer of the Firm’s national bank subsidiaries, Morgan Stanley Bank, N.A., and Morgan Stanley Private Bank, National Association (MSPBNA). As CRA Officer, Roy sets investment targets and manages numerous activities required to achieve the Firm’s CRA objectives. Before his current role, Roy was President and Chief Operating Officer of Morgan Stanley Trust (predecessor to MSPBNA). He was also a Corporate Treasury Risk Manager and Chair of Morgan Stanley banks’ New Product Approval Committees.

brett_palmerChris Hayes, General Counsel, Small Business Investor Alliance
Hayes has broad experience in financial regulation and securities law. Most recently, he worked with the U.S. Department of Justice’s Civil Division, Commercial Litigation Branch, assisting DOJ staff in litigating cases involving financial fraud against certain financial institutions in connection with the 2008 subprime mortgage crisis under the False Claims Act and FIRREA. Prior to that, Hayes served as State Regulatory Affairs Counsel at the Financial Services Institute (FSI), a trade association of independent broker dealers and financial advisers, where he was responsible for building relationships and advocating on behalf of members with securities regulators at the state and federal level. He also served as a subject matter expert at the association on regulations including the Investment Advisers Act, ’33 and ’34 Acts, state blue sky laws, the JOBS Act, and MSRB and FINRA rules. Hayes also led the association’s in-state outreach program to state securities regulators and NASAA and worked closely on state regulatory issues impacting non-traded BDCs and REITS.

Five Easy Ways to Register:

Regular registration fee for the Forum is $1,095.
1) Previous customers need only to send an email to joseph@colemanreport.com with “Register SBIC Summit” in the subject line. We will do all the paperwork and charge your credit card on file, or send you a PayPal request.

2) Call Customer Service at 818-790-4591 extension 1

3) Fax the order form to 818-790-7859

4) Mail the order form to: Coleman Publishing, 607 Foothill Blvd., #546, La Cañada, CA 91012

5) Click here for paying using PayPal


SBIC Summit: Increased Profit, Improved Regulatory Compliance



colemanlogoBob Coleman
Editor, Coleman Report
28081 Marguerite Pkwy, #4525 | Mission Viejo, CA 92690-4525 | (818) 790-4591
(c) 2016 All Rights Reserved

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