2. Navigating the Sales Mine Field

3. Taylor Garrett Managing Director, Orchard Securities Scott Smith President, FactRight Moderator: John H. Grady Chief Operating Officer, Realty Capital Securities

4. Regulatory Environment for Alternative Products Define “alternatives” Define “new products” New offering New strategy New vehicle/structure Legal and Regulatory Oversight

5. Duties Placed on Advisors and Their Firms Firm diligence processes Role of in-house versus third party experts Benefits and costs Initial versus on-going diligence Selling agreement considerations

6. Rep/Advisor Diligence General Suitability assessment Compensation elements Liquidity Attributes

7. Marketing Materials; Training and Education Responsibility Liability

8. The Big Picture Cutting edge products versus first mover concerns Client concerns Litigation/arbitration Regulatory scrutiny Where’s the balance?