Our first innovation

Building defined outcome investments from liquid market securities:

1Diversified portfolio of investment grade credit with < 3 year maturities
2Embedded, cleared options competitively priced with < 2 year maturities
A defined outcome


This innovative structure presents several advantages over historical defined outcome products such as bank issued structured investments, which are OTC debt instruments of the issuing bank. Our products are liquid, enjoy credit diversification, and present mitigated counterparty risk as compared with traditional structured notes.

Our second innovation

Introducing a portfolio approach to defined investing. For example, our Nasdaq Exceed Structured Protection Index is outlined below:

Nasdaq Exceed Structured Protection Index tracks four staggered defined outcome investments

Portfolio rebalances quarterly; always to same target characteristics
Each defined outcome investment has a life of approximately one year
At maturity, each defined outcome investment is redeemed and rolled into a new one

A new single defined outcome investment is tracked each quarter and matures approximately one year later. For the Nasdaq Exceed Structured Protection Index, each defined outcome investment targets a maximum upside gain of approximately 15% and maximum downside loss of 12.5%. Both the cap and floor exposure levels are set based on the value of the S&P 500 Index at the beginning of the defined outcome investment’s term.

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