CAT Fall Seminar


October 16 - October 17, 2018


Salt Lake City, UT

Hosted by

SIFMA Customer Account Transfer Section

Registration Rates – Until 10/16/18

  • Member $150
  • Non-Member $400


Please join the SIFMA Customer Account Transfer Section at our annual Fall Educational Seminar. Highlights include detailed discussions on preparing for the upcoming changes to ACATS, industry and regulatory updates, and the opportunity for participants to share operational insights and best practices. In addition, there will be valuable opportunities for networking with industry peers.


8:00am – 8:30am

Registration and Networking Breakfast

8:30am – 8:45am

Welcome Remarks

8:45am – 9:15am

Opening Remarks

9:15am – 9:30am

Ice Breaker

9:30am – 10:30am

The Future of ACATs – “A Visionary Look”

10:30am – 10:45am

Networking Break

10:45am – 11:15am

Receiver Delete Initiative

11:15am – 11:30am

CAT Membership Update – Introduction

11:30am – 12:00pm

CAT Membership Breakout Session #1

12:00pm – 1:00pm

Networking Lunch

1:00pm – 1:30pm

CAT Membership Breakout Session #2

1:30pm – 2:30pm

Mutual Fund Transfer Panel

2:30pm – 2:45pm

Networking Break

2:45pm – 3:15pm

Continuous Improvement – Fostering Innovation

3:15pm – 4:00pm

DTCC Insights

4:30pm – 6:00pm

Networking Reception

8:00am – 8:30am

Networking Breakfast

8:30am – 8:40am

Recap – Debrief from Day 1

8:40am – 9:30am

Cost Basis Panel

9:30am – 10:00am

Regulatory Update – SIFMA

10:00am – 10:15am

Networking Break

10:15am – 10:45am

Frozen Letters

10:45am – 11:15am

Regulatory Update – FINRA

11:15am – 12:30pm

Open Topics – Attendee Forum

12:30pm – 1:00pm

Closing Remarks and Conclusion of Seminar


Goldman Sachs & Co.

222 S Main St.
Salt Lake City, UT

Hotel Accommodations


Hyatt House Salt Lake/Downtown – 140 South 300 West, Salt Lake City UT 84101 – 801-359-4020

Courtyard Salt Lake City/Downtown – 345 West 100 South, Salt Lake City, UT 84101 – 385-290-6500

Residence Inn Salt Lake City Downtown – 285 West Broadway (300 S), Salt Lake City, UT 84101 – 801-355-3300

Trax Line from SLC Airport – an alternative to taking taxi or renting a car to travel to hotel.

  • Green Line Train from SLC Airport to Downtown SLC
  • Train departs every 15 mins
  • Downtown stops: Exit at Arena stop to suggested hotels
  • Cost is $2.50 one way or $5.00 day pass

Related Resources

Code of Conduct

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.