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

Date

October 01 - October 02, 2020

Location

Virtual

Hosted by

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

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

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

John Falco

Vice President, Position Services Group

Morgan Stanley

John Falco’s Biography

Panelists

Kevin P. Burns

Senior Manager, Industry Relations

Computershare Inc.

Kevin P. Burns’s Biography

Mark Zimkind

Senior Vice President and Director of Shareholder Services

Continental Stock Transfer & Trust Company

Mark Zimkind’s Biography

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

James Tharin

Founder and Chief Executive Officer

Chicago Clearing Corporation

James Tharin’s Biography

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

Andy Sears

Managing Director

EY

Andy Sears’s Biography

Panelists

Stevie D. Conlon

Vice President, Tax & Regulatory Counsel

Wolters Kluwer Financial Services

Stevie D. Conlon’s Biography

Christine Huizinga

Senior Director, XSP Product Management

FIS

Christine Huizinga’s Biography

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

Claribel Made

Senior Director, Asset Services

Fidelity Investments

Claribel Made’s Biography

John Price

Senior Director

Fidelity Investments

John Price’s Biography

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

John Falco

Vice President, Position Services Group

Morgan Stanley

John Falco’s Biography

Kirk Flessas

Vice President

Jefferies LLC

Kirk Flessas’s Biography

Cynthia Rainis-Tirino

Manager, Global Asset Servicing

Bank Leumi

Cynthia Rainis-Tirino’s Biography

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

Siobhan Bolger

Director, Global Asset Services

Bank of America Merrill Lynch

Siobhan Bolger’s Biography

Fred Ceraso

Vice President, Tax Operations

Goldman, Sachs & Co.

Fred Ceraso’s Biography

12:00pm – 12:20pm

Participants

Christopher Thiebaut, Siobhan Bolger, Kirk Flessas, John Price

Speakers

Christopher Thiebaut

Vice President, Corporate Actions

BlackRock

Christopher Thiebaut’s Biography

Siobhan Bolger

Director, Global Asset Services

Bank of America Merrill Lynch

Siobhan Bolger’s Biography

Kirk Flessas

Vice President

Jefferies LLC

Kirk Flessas’s Biography

John Price

Senior Director

Fidelity Investments

John Price’s Biography

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

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 of Corporate Data 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

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

Patrick B. Barthel

Product Director, Asset Services

DTCC

Patrick B. Barthel’s Biography

Christopher Scotto

Director of Product Management

DTCC

Christopher Scotto’s Biography

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

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

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

Christina Young

Managing Director, Operations

Charles Schwab & Co., Inc.

Christina Young’s Biography

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.

Picture of venue

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.