CAT Fall Seminar

Date

October 17 - October 18, 2017

Location

Tampa, FL

Overview

The CAT Fall Seminar will be held on October 17-18 at DTCC’s office in Tampa. Join us for the latest developments in the Customer Accounts Transfer industry.

Pricing

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

Programs

8:00am – 8:30am

Registration / Continental Breakfast

8:30am – 8:45am

Participants

Michele Hillery, Bill Kapogiannis

Speakers

Michele Hillery

Executive Director, Equity Clearing Services, Fixed Income Product Management

DTCC

Michele Hillery’s Biography

Bill Kapogiannis

Executive Director, Product Management - Equity Clearing

DTCC

Bill Kapogiannis’s Biography

8:45am – 9:00am

Participants

Evan Oliveaux

Speaker

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

9:00am – 9:15am

Participants

Cindy Little

Speaker

Cindy Little

Department Leader - Customer Account Transfer

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

Cindy Little’s Biography

9:15am – 9:45am

Participants

Craig Gurien

Speaker

Craig Gurien

Director of Product Management, Equities Clearing

DTCC

Craig Gurien’s Biography

9:45am – 10:15am

Participants

Helene W. Garcia, John Goodrich, Cindy Little, Suzie Steger, David S. Webb

Speakers

John Goodrich

Business Analyst

Capitol One

John Goodrich’s Biography

Cindy Little

Department Leader - Customer Account Transfer

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

Cindy Little’s Biography

Suzie Steger

Senior Project Specialist

Raymond James Financial, Inc.

Suzie Steger’s Biography

David S. Webb

Team Leader, Account Transfers

Ameriprise Financial

David S. Webb’s Biography

10:15am – 10:30am

Networking Break

10:30am – 11:30am

Participants

Kelly Cornwell, Kim Farraye, Anne Klenke, Edward Leddy, Brad Smith

Speakers

Kelly Cornwell

Industry Relations Specialist

Vanguard

Kelly Cornwell’s Biography

Kim Farraye

Senior Team Manager

Charles Schwab & Co., Inc.

Kim Farraye’s Biography

Anne Klenke

Senior Analyst, Client Account Support

Robert W. Baird & Co. Incorporated

Anne Klenke’s Biography

Brad Smith

Vice President, Sr. Operations Manager

American Funds

Brad Smith’s Biography

11:30am – 12:30pm

Lunch

12:30pm – 1:30pm

Participants

Michael Destefano, Craig Gurien, Sherri Polacek

Speakers

Michael Destefano

Systems Director

DTCC

Michael Destefano’s Biography

Craig Gurien

Director of Product Management, Equities Clearing

DTCC

Craig Gurien’s Biography

Sherri Polacek

Functional Architect

DTCC

Sherri Polacek’s Biography

1:30pm – 2:00pm

Participants

Craig Gurien

Speaker

Craig Gurien

Director of Product Management, Equities Clearing

DTCC

Craig Gurien’s Biography

2:00pm – 3:00pm

Participants

Gordon Sands

Speaker

Gordon Sands

Co-head, Office of FinTech Strategy, and Executive Director, IT Architecture

DTCC

Gordon Sands’s Biography

3:00pm – 3:15pm

Networking Break

3:15pm – 3:45pm

Participants

Ellen Bocina

Speaker

Ellen Bocina

Vice President and Product Manager

Fidelity Investments

Ellen Bocina’s Biography

3:45pm – 4:30pm

Participants

Austin T. Allen, Ellen Bocina, Shawn P. Brown, Kevin P. Burns, Korosh Major, Corey Zamora

Speakers

Austin T. Allen

Administrator, Regulated Output

Vanguard

Austin T. Allen’s Biography

Ellen Bocina

Vice President and Product Manager

Fidelity Investments

Ellen Bocina’s Biography

Shawn P. Brown

Senior Manager, Tax Services

TD Ameritrade, Inc.

Shawn P. Brown’s Biography

Kevin P. Burns

Senior Manager, Industry Relations

Computershare Inc.

Kevin P. Burns’s Biography

Korosh Major

Product Management Analyst

DTCC

Korosh Major’s Biography

5:00pm – 6:30pm

Tampa Palms Golf & Country Club

Tampa Palms Golf & Country Club

Location

Tampa Palms Golf & Country Club

8:00am – 8:30am

Networking Breakfast

8:30am – 8:40am

Recap – Debrief from Day 1

8:40am – 9:30am

Participants

Fred Mason, Bowen Rackham, Pattie Schuchman, Joseph Zaets

Speakers

Fred Mason

Senior Associate, Wealth Management

BNY Mellon

Fred Mason’s Biography

Bowen Rackham

Vice President, Team Manager Physical Settlements & Restricted Stock Transfers

Goldman, Sachs & Co.

Bowen Rackham’s Biography

Joseph Zaets

Executive Director

Morgan Stanley

Joseph Zaets’s Biography

9:30am – 9:45am

Networking Break

9:45am – 10:15am

Regulatory Update presented by FINRA

10:15am – 10:45am

Participants

Evan Oliveaux, Philip (Grant) Smith

Speakers

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

Philip (Grant) Smith

Manager, Customer Account Transfers

SEI Private Trust Company

Philip (Grant) Smith’s Biography

10:45am – 11:15am

Participants

Gary Kutz, Cindy Little, Bree Lynn

Speakers

Gary Kutz

Director – Account Transfers

Raymond James Financial, Inc.

Gary Kutz’s Biography

Cindy Little

Department Leader - Customer Account Transfer

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

Cindy Little’s Biography

Bree Lynn

Product Manager, Transfers Product Application Development

TD Ameritrade Clearing, Inc.

Bree Lynn’s Biography

11:15am – 12:30pm

Transfer Rules (FINRA Rule 11870 and   NSCC Rule 50) Process and Service Considerations

  • Transfer Rules (FINRA Rule 11870 and   NSCC Rule 50)
  • Process and Service Considerations

Participants

John Goodrich, Edward Leddy, Cindy Little, Dianne M. Tilley

Speakers

John Goodrich

Business Analyst

Capitol One

John Goodrich’s Biography

Cindy Little

Department Leader - Customer Account Transfer

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

Cindy Little’s Biography

Dianne M. Tilley

Vice President – Asset Transfer Services

Morgan Stanley

Dianne M. Tilley’s Biography

12:30pm – 1:00pm

Participants

Evan Oliveaux

Speaker

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

Venue

DTCC

18301 Bermuda Green Dr.
Tampa, FL 33647

Hotel Accomodations

Springhill Suites by Marriott Tampa North

5396 Primrose Lake Circle
Tampa, FL 33647
(813) 558-0300

Nightly rate: $115, plus tax.

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