2010 Operations Conference and Exhibit
May 1-4, 2011
Boca Raton Resort & Club,
Boca Raton, FL
Event Overview
Operations 2012 explored the most critical operations and regulatory issues facing the financial services industry today and in the future. Attendees gained unique, expert insight and engaged in discussion with senior thought leaders on key regulations, industry trends and operational changes impacting financial firms' operations.
Speakers and panelists included top regulators such as, Cyrus Amir-Mokri, Department of Treasury and Grace Vogel, FINRA as well as leading industry experts, William Rutledge, Promontory Financial Group and Robert L.D. Colby, Davis Polk, who offered insights into the impacts of market infrastructure changes, managing risk and improving processing efficiencies as well as other critical operational issues facing the industry. Proposed and soon-to- be implemented regulatory and legislative changes including; the implications of FATCA requirements on firm operations and technology; compliance with proposed changes to record keeping, reporting and monitoring requirements for large traders and the implementation of a LEI, were also thoroughly examined.
Record numbers of professionals in operations, compliance, risk, technology, trade support, clearance and settlement attended this year's event.
Prepared Remarks
- SIFMA Executive Vice President Randy Snook Remarks as Prepared for SIFMA 2012 Operations and Conference Exhibit
- Remarks by Assistant Secretary for Financial Institutions Cyrus Amir-Mokri before the SIFMA Operations Conference
Presentations
- Cost Basis - How's it Going and What's Ahead?
- Supervisory and Regulatory Developments: Managerial and Operational Challenges, Presentation by: William Rutledge
- Understanding Custodial Risk and the Related Insolvency Regimes and SEC and CFTC Rules
- Legal Entity Identifier Operating Model/Prototype
- CPSS-IOSCO Principles for financial market infrastructures
- Corporate Actions Roundtable - Operating Inefficiencies and Proxy Update
- Data Management - Mutual Funds and Other Pooled Investment Products
- Unclaimed Property - Operational and Compliance Impacts of SEC Rule 17Ad-17 and State Mandates
- Regulatory Developments Related to Securities Lending
- The Continuing Evolution of Options Clearing
- New SEC 17AD-17 Requirements to State Unclaimed Property Compliance Triggers Inactivity vs. Returned mail
- Update on FICC Initiatives
Useful Links
- SIFMA Operations and Technology Policy Issue Resource Center
- FATCA Provisions Resource Center
- Large Trader Reporting Resource Center
- Proxy Resource Center
- SIFMA Tech Leaders Forum and Expo 2012
Event Photos
Randy Snook, EVP Business Policies & Practices, SIFMA welcomes attendees to the 39th Annual Operations Conference: Infrastructure, Risk & Regulatory Changes
Event Photos
Cyrus Amir-Mokri, Assistant Secretary for Financial Institutions, U.S. Department of the Treasury offers keynote address at Operations 2012
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Industry veteran Bill Rultledge, former EVP for Bank Supervision of the Federal Reserve Bank of New York, delivered his assessment of recent supervisory and regulatory developments
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SIFMA Managing Director, Operations, Technology & Business Continuity Planning kicks off panel discussion on implementing Legal Entity Identifiers (LEI)
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Panel discussion of critical operational issues facing broker-dealers, asset managers, custodians and CCPs
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Mike Drennen, Vice President, Operations, Technology & Business Continuity Planning, SIFMA introduces a featured speaker
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Cynthia Meyn, EVP of Operations, PIMCO offers insight into the impacts of market infrastructure changes, managing risk and improving processing efficiencies
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Group of risk management thought leaders discuss key initiatives for managing systemic risk at industry utilities
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Expert panelists discuss key issues in the ever-changing OTC Fixed Income Derivatives market structure and practices
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Conference attendees learn more about industry leading operations systems and services to streamline their business, demonstrated in the SIFMA Operations 2012 Exhibit Hall
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Downtime at the conference provides senior operations professionals to network and learn more about new technology in the exhibit hall
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Conferees learn more about Broadridge offerings at their booth in the exhibit hall
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Event Photos
SIFMA on Twitter
News Coverage
- Securities Technology Monitor - Extremely Big, Incredibly Unpredictable
- Securities Technology Monitor - SIFMA OPS 2012: IRS Delays Cost Reporting for Debt, Options
- Securities Technology Monitor - SIFMA OPS 2012: 27,800 Operations Professionals Now Licensed
- Securities Technology Monitor - SIFMA OPS 2012: Don't Sell Technology Change Short
- Securities Technology Monitor - SIFMA OPS 2012: CAT Could Cost Those Placing Lots of Orders
- Securities Technology Monitor - SIFMA OPS 2012: LEIs Are Almost Here. They Won't Cure Cancer.
- Securities Technology Monitor - SIFMA OPS 2012: SWIFT, DTCC Pledge Allegiance to Each Other, After Global ID Plan Changes
