15th Annual

CAS Global Corporate Actions Forum

Date

October 11, 2018

Location

Chicago, IL

Hosted by

Corporate Action Section of the SIFMA Operations & Technology Society

Registration Rates – Until 10/10/18

  • CAS Member $150
  • Non-Member $400

Overview

Now in its 15th year, the Global Corporate Actions Forum, hosted by the Corporate Actions Section (CAS) of SIFMA’s Operations & Technology Society, returns to Chicago this fall on October 11, 2018.

Join operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss and collaborate on the latest challenges, regulations, and best practices affecting the Corporate Actions community.

With a focus on managing risk and improving processes in corporate actions, proxy, and settlement, this year’s program includes:

  • U.S. and Global Tax Regulations
  • Global Market Practices
  • 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

Program

8:00am – 6:00pm

Registration Desk Hours

8:00am – 9:00am

Networking Breakfast

9:00am – 9:15am

Introduction and welcome to the 15th annual Global Corporate Actions Forum.

Introduction and welcome to the 15th annual Global Corporate Actions Forum.

Participants

Carly Byrd

Speaker

Carly Byrd

Director, Global Tax Utility

Deutsche Bank

Carly Byrd’s Biography

9:10am – 10:00am

Panelists - representing FINRA, NYSE and NASDAQ - will review efforts and priorities within these organizations, which are helping to create efficiency and reduce risk. This session is a terrific opportunity for…

Panelists – representing FINRA, NYSE and NASDAQ – will review efforts and priorities within these organizations, which are helping to create efficiency and reduce risk. This session is a terrific opportunity for operations professionals to hear regulatory perspectives and to ask the panelists your questions.

Participants

Lawrence Conover, Patricia Casimates, Tara Petta, Benjamin Sawyer

Moderator

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

Panelists

Patricia Casimates

Vice President of Market Operations

FINRA

Patricia Casimates’s Biography

Tara Petta

Director, Corporate Actions Operations

NASDAQ

Tara Petta’s Biography

Benjamin Sawyer

Head of the Corporate Actions and Market Watch Groups

New York Stock Exchange

Benjamin Sawyer’s Biography

10:00am – 10:45am

Reorg Instructions/ISO 20022 Messaging Cash Claims Processing App Treasury Buy Backs CA Web

  • Reorg Instructions/ISO 20022 Messaging
  • Cash Claims Processing App
  • Treasury Buy Backs CA Web

Participants

Matthew Schill

Speaker

Matthew Schill

Director, Asset Services Product Management

DTCC

Matthew Schill’s Biography

10:45am – 11:00am

Sponsored by FIS

Sponsored by FIS

11:00am – 12:30pm

This session will feature in-depth breakouts on: Dividends, Issuer Engagement, and Tax

This session will feature in-depth breakouts on:

  • Dividends,
  • Issuer Engagement, and
  • Tax

Participants

Jamila Alkaifi-Hercules, Siobhan Bolger, Silvio (Joe) Conte, Larry Hammond, Jr., Cynthia Rainis-Tirino, Christopher Thiebaut

Speakers

Jamila Alkaifi-Hercules

Group Manager and Vice President

BNY Mellon

Jamila Alkaifi-Hercules’s Biography

Silvio (Joe) Conte

Manager, Corporate Actions Product

Equinti

Silvio (Joe) Conte’s Biography

Larry Hammond, Jr.

Vice President, Corporate & Investment Bank

JPMorgan Chase & Co.

Larry Hammond, Jr.’s Biography

Cynthia Rainis-Tirino

Vice President

Deutsche Bank

Cynthia Rainis-Tirino’s Biography

Christopher Thiebaut

Vice President, Corporate Actions

BlackRock

Christopher Thiebaut’s Biography

12:30pm – 1:30pm

Sponsored by FII-FTS

Sponsored by FIIFTS

1:30pm – 2:15pm

At a time of political polarization of historic proportions, both the House and the Senate are (again) up for grabs.  And with control of the committee gavels comes with it…

At a time of political polarization of historic proportions, both the House and the Senate are (again) up for grabs.  And with control of the committee gavels comes with it the power to shape the policy and oversight agendas for the next two years.  With voters already casting early and absentee ballots across the country,  Accenture’s head of North American Government Relations, Robert Hoffman, will highlight the handful of races that will determine who leads the key committees, and also will preview the key issues that matter for the financial services industry when the 116th Congress convenes in January.

Participants

Robert Hoffman

Speaker

Robert Hoffman

Managing Director, Government Relations (North America)

Accenture

Robert Hoffman’s Biography

2:15pm – 3:00pm

Discussion topics include: Deadline extensions Odd Lot Preference Bankruptcy events (Seadrill) Worthless Securities

Discussion topics include:

  • Deadline extensions
  • Odd Lot Preference
  • Bankruptcy events (Seadrill)
  • Worthless Securities

Participants

James Monahan, Christopher Scotto, Neda Sheridan

Moderator

James Monahan

Executive Director and Regional Head of North America Position Services

Morgan Stanley

James Monahan’s Biography

Panelists

Christopher Scotto

Director of Product Management

Depository Trust & Clearing Corporation

Christopher Scotto’s Biography

Neda Sheridan

U.S. Regional Manager – Corporate Actions

Computershare Inc.

Neda Sheridan’s Biography

3:00pm – 3:15pm

Networking Break

3:15pm – 4:00pm

Participants

Greggory Lewis, Anna Vayser

Speakers

Greggory Lewis

Director, Depositary, CSD & Issuer Services

GlobeTax

Greggory Lewis’s Biography

Anna Vayser

Product Manager - Witholding Tax Products

Wolters Kluwer Financial Services

Anna Vayser’s Biography

4:15pm – 4:45pm

Panelists will describe the latest corporate actions communications practices and challenges, and provide updates on proxy and shareholder communications.

Panelists will describe the latest corporate actions communications practices and challenges, and provide updates on proxy and shareholder communications.

Participants

Leonard (Len) Belvedere, Lawrence Conover, Charles (Chip) Pasfield, Steven Watts

Moderator

Leonard (Len) Belvedere

Executive Vice President, Business Strategies & Sales

Financial Information Incorporated (FII) / Financial Technologies Solutions (FTS)

Leonard (Len) Belvedere’s Biography

Panelists

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

Charles (Chip) Pasfield

Vice President, Client Services

Broadridge Financial Solutions

Charles (Chip) Pasfield’s Biography

Steven Watts

Executive Director, Corporate Actions

Morgan Stanley

Steven Watts’s Biography

4:45pm – 5:15pm

Participants

James Tharin, Jill Whitney

Speakers

James Tharin

Founder and Chief Executive Officer

Chicago Clearing Corporation

James Tharin’s Biography

Jill Whitney

Vice President, Client Services

Broadridge Financial Solutions, Inc.

Jill Whitney’s Biography

5:15pm – 5:20pm

Participants

Carly Byrd

Speaker

Carly Byrd

Director, Global Tax Utility

Deutsche Bank

Carly Byrd’s Biography

5:20pm – 6:30pm

Venue

Renaissance Chicago Downtown Hotel

1 West Wacker Drive
Chicago, IL 60601

Perched on the edge of the Loop, this award-winning and recently renovated hotel will captivate you from the moment you arrive with thoughtful amenities and world-class service for a modern conference experience.

Picture of venue

Hotel Accommodations

SIFMA has reserved a block of rooms at The Renaissance Chicago Downtown Hotel.

Rates will start at $289 per night and are quoted exclusive of applicable room tax (currently 17.4%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through September 19, 2018, 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.

Book a Room

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
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.

Substitutions
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.

Cancellations
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.