CAS Proxy Seminar

Date

December 14, 2017

Location

New York, NY or Webinar

Hosted by

SIFMA Corporate Actions Section (CAS)

Overview

SIFMA Corporate Actions Section’s Proxy Seminar will bring you current updates on the latest regulatory issues surrounding Proxy processing and Shareholder communications. We are excited to welcome Keir Gumbs from Covington & Burling LLP who will provide a Washington viewpoint on the most current regulatory topics.  Lyell Dampeer from Broadridge Financial Solutions will discuss new distributed ledger technologies like Blockchain and the impact this can have on proxy processing.  A panel of industry experts will discuss current operational proxy issues and impact to your investors and clients.

Programs

8:30am – 9:00am

Registration and Networking Breakfast

8:30am – 12:00pm

9:00am – 9:15am

Participants

Lawrence Conover

Speaker

9:15am – 10:00am

Keir Gumbs, as a leading authority on securities regulation and corporate governance will provide an overview of the key players in Washington and the regulatory agenda.  He will focus on…

Keir Gumbs, as a leading authority on securities regulation and corporate governance will provide an overview of the key players in Washington and the regulatory agenda.  He will focus on the key themes to watch in Shareholder Communications, review the hot button items, and recent corporate governance developments.

Participants

Keir D. Gumbs

10:00am – 10:15am

Networking Break

10:15am – 11:00am

Our panel of subject matter experts will debate impacts to Broker Dealers and the industry on a variety of topics, including contested votes and activism, virtual shareholder meetings, over voting,…

Our panel of subject matter experts will debate impacts to Broker Dealers and the industry on a variety of topics, including contested votes and activism, virtual shareholder meetings, over voting, and other trends to expect in 2018.

Participants

Elizabeth Rolwes, Wes Colbert, James F. Duffy, John O’Day, Charles (Chip) Pasfield

Moderator

Elizabeth Rolwes

Corporate Action/Distribution- Team Leader

Edward Jones

Elizabeth Rolwes’s Biography

Panelists

Wes Colbert

Senior Department Leader, Corporate Actions & Distributions

Edward Jones

Wes Colbert’s Biography

James F. Duffy

Senior Advisor

Mediant

James F. Duffy’s Biography

John O’Day

Director, Global Asset Services

Bank of America Merrill Lynch

John O’Day’s Biography

Charles (Chip) Pasfield

Vice President, Client Services

Broadridge Financial Solutions

Charles (Chip) Pasfield’s Biography

11:00am – 11:45am

Lyell Dampeer will provide a presentation on the practical application of Distributed Ledger technology (DLT) in the US proxy system, reviewing the current efforts to prove the viability in a…

Lyell Dampeer will provide a presentation on the practical application of Distributed Ledger technology (DLT) in the US proxy system, reviewing the current efforts to prove the viability in a full production platform for all facets of Proxy processing.

Participants

Lyell Dampeer

Speaker

Lyell Dampeer

Corporate Vice President, U.S. Investor Communication Solutions

Broadridge Financial Solutions, Inc.

Lyell Dampeer’s Biography

11:45am – 12:00pm

Participants

Lawrence Conover

Speaker

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accomodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900