Prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Cyber-threats, Privacy, AML, Corporate…
CAS Global Corporate Actions Forum
Connect with fellow industry professionals at the 14th annual Global Corporate Actions Forum in Boston. This annual event provides valuable information on managing risk and improving processes.
Join us on October 5th to examine the latest challenges, regulations, and practices affecting the Corporate Actions community including:
- U.S. and Global Tax Regulations, focusing on 305C, 871(m), and Reclaim Updates
- Global Market Practices: Blockchain and Impact on Corporate Actions
- DOL Fiduciary Rule: Regulatory Update
- Regulatory Perspective with FINRA, NYSE and NASDAQ
- Transfer Agents, Brokers, and DTCC: Issues and Synergies
- Break-out Sessions on Industry Challenges and Best Practices
- Proxy and Corporate Actions Shareholder Communications Update
- And more!
8:00am – 9:00am
9:00am – 9:10am
9:10am – 10:00am
This panel discussion with FINRA, NYSE and NASDAQ will highlight various issues, challenges and risks within Corporate Action processing. The panel will review efforts within these organizations that are helping to create efficiencies and reduce risk, and discuss their business plans and other areas of focus for operational professionals. This session is a terrific opportunity to hear their regulatory perspectives and to ask our panelists your questions.
Lawrence Conover, Patricia Casimates, Silvio (Joe) Conte, Tara Petta
10:00am – 10:45am
This interactive panel discussion will focus on the flow of financial transactions, corporate actions processing, and information reporting between Transfer Agents, Brokers and DTCC. Hear from leading industry experts on the Dissenter Process lifecycle, Expanded Event Processing and SEC rule filings, and Constructive Receipt Processing.
Carly Byrd, John O’Day, Christine Hensel, Neda Sheridan, Christopher Scotto
11:00am – 12:30pm
Dividend Committee Wes Colbert, Anna Schiermann & John O’Day
- Baker Hughes Merger and $17.50 Special Dividend Distribution – CUSIP 057224107
- Fiat Chrysler Automobiles (CUSIP: N31738102) Spin-off with elections – US holders cannot receive the spin-off shares. The sale of proceeds distribution is subject to 41% withholding tax
- ADR Fee's in general. Specifically adjustments after payable date – Veolia Environment CUSIP – 92334N103
- Tax Withholding Adjustments after payable date
- Mandatory and Voluntary Events (ISO-defined event types) on LENS-only
- Working with issuers to standardize/automate paperwork. Focus on bankruptcies.
- Five-day tenders/exchanges
- Liability Best Practice document and CNR enhancement suggestions
- Offer operational efficiencies
- Yahoo – overlapping dates on voluntary and mandatory
- Mobileye – Physical paperwork relief for industry
- Israeli Tax Withholding relief offers.
- Include Mobileye but primarily focus on the various mandatory events that have hit over the last year and issues experienced in processing them.
Wes Colbert, John O’Day, Anna Schiermann, Christopher Thiebaut, Cynthia Rainis-Tirino, Nick Sblano, Julia Dumont
12:30pm – 1:30pm
1:30pm – 2:00pm
SIFMA Associate General Counsel, Lisa Bleier, will share the latest status of the DOL Fiduciary rule and expected implementation timelines and milestones. Key operational challenges, and how firms are responding and managing the impact to retail investors will also be discussed.
Lisa J. Bleier
2:00pm – 3:00pm
Blockchain technology is quickly moving from theoretical use case discussions to practical applications in the Global Financial Services arena. Hear from industry experts on how Blockchain is being applied to global voting transparency, the settlement of gold bullion trades in Euroclear, new global securities offerings, the settlement of CDS contracts in the U.S., and more. If Blockchain has not touched you yet, it is only a matter of time. Discussions from this panel will help you be better prepared for when Blockchain enters your workflows.
Paul A. Conn, Lyell Dampeer, Bradley Koehler, Artem Korenyuk
3:00pm – 3:15pm
3:15pm – 4:00pm
Industry experts will speak on global tax regulations affecting the Financial Markets, including 871(m) and 305C as well as the latest changes in global market requirements for tax relief and reclaims.
Greggory Lewis, Richard Ryndak
4:00pm – 4:15pm
This session will provide an update on the DTCC Corporate Action Transformation Phase 5 for Reorganizations, including the timing and next steps of this important industry initiative.
4:15pm – 4:45pm
Shareholder actions and proxy topics continue to be a top discussion in the industry. Panelists will address the latest industry issues and challenges, including regulatory focus on the capital formation proposals and other topics of interest to our membership and the industry.
Leonard (Len) Belvedere, Wes Colbert, Jean Luther, Charles (Chip) Pasfield
4:45pm – 5:15pm
In a conversation led by Cynthia Rainis of Deutsche Bank, Epiq's Executive Vice President, Jane Sullivan, will discuss the challenges and potential best practices in Bankruptcy offerings as well as offer perspectives on legal challenges, processing efficiency opportunities and your customer’s experience.
Cynthia Rainis-Tirino, Jane Sullivan
5:15pm – 5:20pm
Wyndham Boston Beacon Hill
5 Blossom Street
Boston, MA 02114
Wyndham Boston Beacon Hill combines fresh, contemporary spaces with historic New England charm.
SIFMA has reserved a block of rooms at The Wyndham Beacon Hill.
Rates will start at $289 per night and are quoted exclusive of applicable room tax (currently 14.45%), applicable service/hotel-specific fees, or other miscellaneous taxes.
You can reserve a room online or by calling (617) 742-7630.
Please note that the group rates are good through September 20, 2017, but rooms are limited and only available on a first-come, first-served basis–they may sell out early! After the block is sold out, the hotel’s market price applies, regardless of the date booking.
Be sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Contact Liz Pierce at 212.313.1173.
Contact Emily Reinus at 212.313.1339.
View SIFMA’s official press policy.
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263 before September 8, 2017.
Terms and Conditions
SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.
Conference registration substitutions are welcome. Email [email protected] 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.
Refunds will granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.