14th

CAS Global Corporate Actions Forum

Date

October 05, 2017

Location

Boston, MA

Hosted by

Corporate Action Section of the SIFMA Operations & Technology Society

Overview

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!

Pricing

Member
Registration Rates $150
Non-Member
Registration Rates $400
Pricing
Member Non-Member
Registration Rates $150 $400

Programs

8:00am – 9:00am

Registration and Continental Breakfast

9:00am – 9:10am

Participants

Lawrence Conover

Speaker

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…

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.

Participants

Lawrence Conover, Patricia Casimates, Silvio (Joe) Conte, Tara Petta

Moderator

Panelists

Patricia Casimates

Vice President of Market Operations

FINRA

Patricia Casimates’s Biography

Silvio (Joe) Conte

Head of Corporate Actions

New York Stock Exchange

Silvio (Joe) Conte’s Biography

Tara Petta

Director, Corporate Actions Operations

NASDAQ

Tara Petta’s Biography

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…

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.

Participants

Carly Byrd, John O’Day, Christine Hensel, Neda Sheridan, Christopher Scotto

Moderator

Carly Byrd

Director, Global Tax Utility

Deutsche Bank

Carly Byrd’s Biography

Panelists

John O’Day

Director, Global Asset Services

Bank of America Merrill Lynch

John O’Day’s Biography

Christine Hensel

Vice President, Operations Manager, Client Services and Events

Wells Fargo & Company

Christine Hensel’s Biography

Neda Sheridan

Regional Manager U.S. - Corporate Actions

Computershare Inc.

Neda Sheridan’s Biography

Christopher Scotto

Director of Product Management

Depository Trust & Clearing Corporation

Christopher Scotto’s Biography

10:45am – 11:00am

Sponsored By: FIS

Sponsored By: FIS

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…

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
  Issuer Engagement Committee Julia Dumont & Nick Sblano
  • 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
  Reorganization Committee Cynthia Rainis & Chris Thiebaut
  • 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.

Participants

Wes Colbert, John O’Day, Anna Schiermann, Christopher Thiebaut, Cynthia Rainis-Tirino, Nick Sblano, Julia Dumont

Speakers

Wes Colbert

Senior Department Leader, Corporate Actions & Distributions

Edward Jones

Wes Colbert’s Biography

John O’Day

Director, Global Asset Services

Bank of America Merrill Lynch

John O’Day’s Biography

Anna Schiermann

Systematic Team Leader, Corporate Actions

Edward D. Jones & Co., L.P.

Anna Schiermann’s Biography

Christopher Thiebaut

Associate Vice President

RBC Capital Markets

Christopher Thiebaut’s Biography

Cynthia Rainis-Tirino

Vice President

Deutsche Bank

Cynthia Rainis-Tirino’s Biography

Nick Sblano

Vice President, Transaction Processing Manager

JPMorgan Chase & Co.

Nick Sblano’s Biography

Julia Dumont

Vice President, Corporate Actions

Charles Schwab & Co., Inc.

Julia Dumont’s Biography

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…

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.

Participants

Lisa J. Bleier

Speaker

Lisa J. Bleier

Managing Director and Associate General Counsel

SIFMA

Lisa J. Bleier’s Biography

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…

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.

Participants

Paul A. Conn, Lyell Dampeer, Bradley Koehler, Artem Korenyuk

Speakers

Lyell Dampeer

President, Investor Communication Solutions, US

Broadridge Financial Solutions, Inc.

Lyell Dampeer’s Biography

Bradley Koehler

Senior Relationship Manager

Euroclear Bank SA/NV

Bradley Koehler’s Biography

Artem Korenyuk

Director of Business Development, Office of FinTech Strategy

DTCC

Artem Korenyuk’s Biography

3:00pm – 3:15pm

Networking Break

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…

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.

Participants

Greggory Lewis, Richard Ryndak

Speakers

Greggory Lewis

Director, Depositary, CSD & Issuer Services

GlobeTax

Greggory Lewis’s Biography

Richard Ryndak

Senior Product Manager, Capital Changes

Wolters Kluwer Financial Services, Inc.

Richard Ryndak’s Biography

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.

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.

Participants

Christopher Scotto

Speaker

Christopher Scotto

Director of Product Management

Depository Trust & Clearing Corporation

Christopher Scotto’s Biography

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…

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.

Participants

Leonard (Len) Belvedere, Wes Colbert, Jean Luther, Charles (Chip) Pasfield

Moderator

Leonard (Len) Belvedere

Executive Vice President, Business Strategies & Sales

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

Leonard (Len) Belvedere’s Biography

Speakers

Wes Colbert

Senior Department Leader, Corporate Actions & Distributions

Edward Jones

Wes Colbert’s Biography

Jean Luther

Director of Operations

Mediant Communications

Jean Luther’s Biography

Charles (Chip) Pasfield

Vice President, Client Services

Broadridge Financial Solutions

Charles (Chip) Pasfield’s Biography

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…

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.

Participants

Cynthia Rainis-Tirino, Jane Sullivan

Speakers

Cynthia Rainis-Tirino

Vice President

Deutsche Bank

Cynthia Rainis-Tirino’s Biography

Jane Sullivan

Executive Vice President, Corporate Restructuring Division

Epiq

Jane Sullivan’s Biography

5:15pm – 5:20pm

Participants

Lawrence Conover

Speaker

5:20pm – 6:15pm

Co-Sponsored By: Chicago Clearing Corporation and GlobeTax

Co-Sponsored By: Chicago Clearing Corporation and GlobeTax

Venue

Wyndham Boston Beacon Hill

5 Blossom Street
Boston, MA 02114

Wyndham Boston Beacon Hill combines fresh, contemporary spaces with historic New England charm.

Picture of venue

Hotel Accomodations

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.

Book a Room

Media

Media Inquiries
Contact Liz Pierce at 212.313.1173.

Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
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

Policy
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.

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.