Overview

The Global Corporate Actions Forum brings together operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss the latest regulations, challenges, best practices and emerging technologies affecting Corporate Actions.

Join us on October 3 in NYC or via Webinar to examine:

  • Regulatory updates and priorities from FINRA, NYSE, and Nasdaq
  • Mergers and Acquisitions – An inside look at deal offerings
  • Bankruptcy: Navigating complexities and best practices
  • Machine Learning and Microservices – upskilling for Operations
  • Proxy and European Shareholder Rights Directive II
  • Breakout Sessions on industry challenges
  • And more!
16th Annual

Global Corporate Actions Forum

Date

October 03, 2019

Location

New York, NY and Webinar

Hosted by

Corporate Action Forum

Overview

The Global Corporate Actions Forum brings together operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss the latest regulations, challenges, best practices and emerging technologies affecting Corporate Actions.

Join us on October 3 in NYC or via Webinar to examine:

  • Regulatory updates and priorities from FINRA, NYSE, and Nasdaq
  • Mergers and Acquisitions – An inside look at deal offerings
  • Bankruptcy: Navigating complexities and best practices
  • Machine Learning and Microservices – upskilling for Operations
  • Proxy and European Shareholder Rights Directive II
  • Breakout Sessions on industry challenges
  • And more!

Program

8:00am – 6:15pm

Registration Desk Hours

8:00am – 9:00am

Networking Breakfast

9:00am – 9:10am

Welcome and introduction to the 16th annual Global Corporate Actions Forum.

Welcome and introduction to the 16th annual Global Corporate Actions Forum.

Participants

Carly Byrd

Speaker

Carly Byrd

Director, Global Tax Utility

Deutsche Bank AG

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 participate in a Q&A with the panelists.

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 – 10:25am

Corporate transactions can result in complex issues that market participants must carefully consider in advance of an acquisition or strategic investment. Our featured speaker will discuss the impact of social,…

Corporate transactions can result in complex issues that market participants must carefully consider in advance of an acquisition or strategic investment. Our featured speaker will discuss the impact of social, political and cybersecurity risk on the success of a transaction and how to best address them.

Participants

F. Dario de Martino

Speaker

10:25am – 10:45am

Sponsored by Mediant

Sponsored by Mediant

10:45am – 12:15pm

This session will start with a 45-minute panel discussion led by the DTCC that will examine the more challenging corporate action events that have occurred this year. The panel will be…

This session will start with a 45-minute panel discussion led by the DTCC that will examine the more challenging corporate action events that have occurred this year. The panel will be followed by three concurrent breakouts – Reorganization, Tax, and Dividends – during which forum participants will collectively discuss the key issues experienced and lessons learned in 2019.

Participants

Siobhan Bolger, Silvio (Joe) Conte, Ian DeSacia, Fernando Divirgilio, Larry R. Hammond, Jr., Cynthia Rainis-Tirino, Neda Sheridan, William Simunek

Speakers

Siobhan Bolger

Director, Global Asset Services

Bank of America Merrill Lynch

Siobhan Bolger’s Biography

Silvio (Joe) Conte

Head of the Corporate Actions Product

Equiniti

Silvio (Joe) Conte’s Biography

Ian DeSacia

Director, Asset Services Product Management

DTCC

Ian DeSacia’s Biography

Fernando Divirgilio

Associate Director, Dividend Stock Processing and Global Tax Service

DTCC

Fernando Divirgilio’s Biography

Larry R. Hammond, Jr.

Vice President, Corporate & Investment Bank

JPMorgan Chase & Co.

Larry R. Hammond, Jr.’s Biography

Cynthia Rainis-Tirino

Manager, Global Asset Servicing

Bank Leumi

Cynthia Rainis-Tirino’s Biography

Neda Sheridan

U.S. Regional Manager – Corporate Actions

Computershare Inc.

Neda Sheridan’s Biography

William Simunek

Director, Mandatory Reorg Operations

DTCC

William Simunek’s Biography

1:30pm – 2:30pm

This session will explore how emerging technologies can be used to streamline corporate actions. The discussion will focus on Blockchain and Distributed Ledger Technology (DLT) opportunities, and will also examine…

This session will explore how emerging technologies can be used to streamline corporate actions. The discussion will focus on Blockchain and Distributed Ledger Technology (DLT) opportunities, and will also examine data management.

Participants

Charles Centrelli, Gerard Bermingham, Sanjay Prasad, John Regan, Michael Tae

Moderator

Charles Centrelli

Head of Intelligent Automation for Capital Markets

PwC

Charles Centrelli’s Biography

Panelists

Gerard Bermingham

Executive Director

IHS Markit

Gerard Bermingham’s Biography

Sanjay Prasad

Head of Capital Markets and Wealth Solutions

TCS BaNCS

Sanjay Prasad’s Biography

John Regan

Senior Product Manager

FIS

John Regan’s Biography

Michael Tae

Senior Vice President, Corporate Strategy

Broadridge Financial Solutions, Inc.

Michael Tae’s Biography

2:30pm – 3:10pm

Today’s operations teams manage processes. Those same teams will need to manage automation, which manages the processes, in tomorrow's operations. In this session, Google Cloud breaks down four compelling concepts…

Today’s operations teams manage processes. Those same teams will need to manage automation, which manages the processes, in tomorrow’s operations. In this session, Google Cloud breaks down four compelling concepts that operations teams must embrace to effectively manage the automation behind a growing body of processes and to flourish in a rapidly changing business environment. Learn how:

  • ML and chatbots help automate low-touch routine tasks, so humans can focus on building customer relationships
  • Microservice architecture is redefining the financial services applications landscape (and how team members can best respond to this new normal)
  • Cloud accommodates evolving regulations and best practices for greater levels of auditability in a complex, microserviced environment
  • Cloud is rapidly commodifying the stack, from virtual machines to risk calculation, and what skills are needed to accommodate this trend

Participants

Matt Tait

Speaker

Matt Tait

Customer Engineer

Google Cloud

Matt Tait’s Biography

3:10pm – 3:30pm

Networking Break

3:30pm – 4:15pm

Bankruptcies often create a unique set of challenges related to the event terms and complex documentation requirements. This panel of subject matter experts will focus on the collaborative activities taking…

Bankruptcies often create a unique set of challenges related to the event terms and complex documentation requirements. This panel of subject matter experts will focus on the collaborative activities taking place in the industry to educate issuers and attorneys on the operational challenges and how to identify solutions to maximize efficiency.

Participants

Christina Pullo, Christopher Scotto

Speakers

Christina Pullo

Vice President, Solicitation and Public Securities

Prime Clerk LLC

Christina Pullo’s Biography

Christopher Scotto

Director of Product Management

Depository Trust & Clearing Corporation

Christopher Scotto’s Biography

4:15pm – 5:00pm

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

Steven Watts, Lawrence Conover, James Monahan, Chris Nixon, Charles (Chip) Pasfield

Moderator

Steven Watts

Executive Director, Position Services Group

Morgan Stanley

Steven Watts’s Biography

Panelists

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

James Monahan

Partner

Sionic

James Monahan’s Biography

Chris Nixon

Director of New Product and Business Development

Broadridge Financial Solutions, Inc.

Chris Nixon’s Biography

Charles (Chip) Pasfield

Vice President, Client Services

Broadridge Financial Solutions

Charles (Chip) Pasfield’s Biography

5:00pm – 5:05pm

Participants

John O’Day

Speaker

John O’Day

Director, Global Asset Services

Bank of America Merrill Lynch

John O’Day’s Biography

5:05pm – 6:15pm

Sponsored by GlobeTax

Sponsored by GlobeTax

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 Accommodations

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
DISCOUNT: Password (SIFMA)

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Registration
Contact Evan Grogan at 212.313.1134.

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. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences 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 be 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.