Overview

On Tuesday, January 14, 2020, SIFMA and PwC will host a complimentary webinar, from 12:00 p.m. – 1:00 p.m. EST, on the Bulk Transfer Initiative. Tailored to both sending and receiving firms, this webinar will address the potential operational difficulties and compliance challenges that firms may be experiencing in their resolution planning related to Bulk Transfer.

To reduce the need for SIPC intervention and to ensure preparedness for a bulk transfer within a condensed timeframe, register now to join us on January 14.

Bulk Transfer is an industry initiative, together with regulators and the DTCC, to have in place a framework for the expedited movement of customer accounts and assets from a carrying broker-dealer experiencing financial difficulties to a new carrying broker-dealer. This initiative supports a smooth transition and protects customers by ensuring uninterrupted access to their assets, in the unlikely event it is needed.

Download SIFMA’s Bulk Transfer Playbook, developed with PwC.

Bulk Transfer Initiative Webinar

A Guide to Preparedness

Date

January 14, 2020

Location

Complimentary Webinar

Hosted by

SIFMA and PwC

Overview

On Tuesday, January 14, 2020, SIFMA and PwC will host a complimentary webinar, from 12:00 p.m. – 1:00 p.m. EST, on the Bulk Transfer Initiative. Tailored to both sending and receiving firms, this webinar will address the potential operational difficulties and compliance challenges that firms may be experiencing in their resolution planning related to Bulk Transfer.

To reduce the need for SIPC intervention and to ensure preparedness for a bulk transfer within a condensed timeframe, register now to join us on January 14.

Bulk Transfer is an industry initiative, together with regulators and the DTCC, to have in place a framework for the expedited movement of customer accounts and assets from a carrying broker-dealer experiencing financial difficulties to a new carrying broker-dealer. This initiative supports a smooth transition and protects customers by ensuring uninterrupted access to their assets, in the unlikely event it is needed.

Download SIFMA’s Bulk Transfer Playbook, developed with PwC.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Webinar registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.