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Global Corporate Actions Forum
Overview
SIFMA’s Global Corporate Actions Forum gathers 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 in Corporate Actions.
This forum will be held virtually, starting Thursday, October 1 at 12:00 p.m. ET and concluding on Friday, October 2 at 2:40 p.m. Sign up today.
Discussion topics will include:
- Transfer Agents
- State of Class Actions
- Emerging Technologies
- Industry Challenges and Best Practices – The Breakout Sessions: Choose to join Dividends, Reorganization, or Tax
- Regulatory Perspectives
- DTCC Update
- Proxy and Shareholder Communications
17th Annual
Global Corporate Actions Forum
Registration Closed
Overview
SIFMA’s Global Corporate Actions Forum gathers 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 in Corporate Actions.
This forum will be held virtually, starting Thursday, October 1 at 12:00 p.m. ET and concluding on Friday, October 2 at 2:40 p.m. Sign up today.
Discussion topics will include:
- Transfer Agents
- State of Class Actions
- Emerging Technologies
- Industry Challenges and Best Practices – The Breakout Sessions: Choose to join Dividends, Reorganization, or Tax
- Regulatory Perspectives
- DTCC Update
- Proxy and Shareholder Communications
Register
| Registration Rates | $199 |
|---|
| Registration Rates | $299 |
|---|
| Registration Rates | $99 |
|---|
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $199 | $299 | $99 |
Program
12:00pm – 12:05pm
Welcome and introduction to the 17th annual Global Corporate Actions Forum - Virtual Event.
Welcome and introduction to the 17th annual Global Corporate Actions Forum – Virtual Event.
Participants
John O’Day
Speaker
12:05pm – 12:45pm
The session covers initiatives in the transfer agent space including medallion guarantees, further expansion of dematerialization, DRS restricted shares, and SPAC processing.
The session covers initiatives in the transfer agent space including medallion guarantees, further expansion of dematerialization, DRS restricted shares, and SPAC processing.
Participants
John Falco, Kevin P. Burns, Mark Zimkind
Moderator
Panelists
12:55pm – 1:25pm
Class actions events are ever-changing. We'll discuss the latest trends and how to stay ahead of the curve. Also, we'll discuss what it takes to file claims for your accounts…
Class actions events are ever-changing. We’ll discuss the latest trends and how to stay ahead of the curve. Also, we’ll discuss what it takes to file claims for your accounts and why you should consider claim filing.
Participants
James Tharin
Speaker
1:35pm – 2:15pm
This session will explore how emerging technologies can be used to streamline corporate actions.
This session will explore how emerging technologies can be used to streamline corporate actions.
Participants
Andy Sears, Stevie D. Conlon, Christine Huizinga
Moderator
Panelists
2:25pm – 3:15pm
This session will host three concurrent breakouts - Reorganization, Tax, and Dividends - during which forum participants will attend one session and collectively discuss the key issues experienced and lessons…
This session will host three concurrent breakouts – Reorganization, Tax, and Dividends – during which forum participants will attend one session and collectively discuss the key issues experienced and lessons learned in 2020.
Non DTCC eligible spin-offs requiring physical certificates or DRS Ex-date declaration with no price adjustment made
- Non DTCC eligible spin-offs requiring physical certificates or DRS
- Ex-date declaration with no price adjustment made
Participants
Claribel Made, John Price
Speakers
Bankruptcies, the problems we confront Complex Offer Case Study: Starz Flutter, complexities and resolution Smart Track Liabilities Hub, challenges and opportunities
- Bankruptcies, the problems we confront
- Complex Offer Case Study: Starz Flutter, complexities and resolution
- Smart Track Liabilities Hub, challenges and opportunities
Participants
John Falco, Kirk Flessas, Cynthia Rainis-Tirino
Speakers
Industry Challenges around non-US tax on corporate action events
- Industry Challenges around non-US tax on corporate action events
Participants
Siobhan Bolger, Fred Ceraso
Speakers
12:00pm – 12:20pm
Participants
Christopher Thiebaut, Siobhan Bolger, Kirk Flessas, John Price
Speakers
12:30pm – 1:10pm
During this session, Operational Professionals will hear regulatory perspectives on the latest challenges and trends in Corporate Action processing, including the impact of COVID-19, emerging Digital Assets, and unique offers…
During this session, Operational Professionals will hear regulatory perspectives on the latest challenges and trends in Corporate Action processing, including the impact of COVID-19, emerging Digital Assets, and unique offers in the marketplace. The panel will also provide insights into priorities within the regulatory organizations to help with efficiencies and reduce risk in Corporate actions events.
Participants
Lawrence Conover, Patricia Casimates, Tara Petta, Benjamin Sawyer
Moderator
Panelists
1:20pm – 1:50pm
During this session DTCC will provide updates on a number of initiatives including: Automated Instruction for Voluntary Corporate Actions Market Effective Date enhancements to CA Web Extension of PTOP and…
During this session DTCC will provide updates on a number of initiatives including:
- Automated Instruction for Voluntary Corporate Actions
- Market Effective Date enhancements to CA Web
- Extension of PTOP and PSOP instruction deadlines
Participants
Patrick B. Barthel, Christopher Scotto
Speakers
2:00pm – 2:40pm
Panelists will review the unique challenges that presented for the 2020 Proxy season due to COVID-19, including key learnings and future considerations for the changing landscape. Other topics include Regulatory…
Panelists will review the unique challenges that presented for the 2020 Proxy season due to COVID-19, including key learnings and future considerations for the changing landscape. Other topics include Regulatory discussions around shareholder communications and voting, as well as a look at the implementation of the European Shareholder Rights Directive II (SRD II).
Participants
Steven Watts, Lawrence Conover, Chris Nixon, Charles (Chip) Pasfield, Christina Young
Moderator
Panelists
Venue
Virtual Gathering
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Sponsorship
Questions? Contact Rebecca Hawkins at 212.313.1250.
Gold
Silver
SIFMA's Strategic Partners
Media
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official webinar 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.
Cancellations and Substitutions
Cancellation within 48 hours of the virtual event will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.