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.

Watch On Demand

This virtual event is available to view on demand through July 24, 2021.

If you registered for this event before 5:00 p.m. ET June 22, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Watch on demand:

  • Lessons Learned from 2020 and Evolving Towards Digitization
  • Proxy and Shareholder Communications, Trends and Insights
  • DTCC Modernization and Accelerated Settlements
  • Corporate Actions and Tax Challenges
  • Regulatory Perspectives
18th Annual

Global Corporate Actions Forum

Date

July 24, 2021

Location

On Demand

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.

Watch On Demand

This virtual event is available to view on demand through July 24, 2021.

If you registered for this event before 5:00 p.m. ET June 22, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Watch on demand:

  • Lessons Learned from 2020 and Evolving Towards Digitization
  • Proxy and Shareholder Communications, Trends and Insights
  • DTCC Modernization and Accelerated Settlements
  • Corporate Actions and Tax Challenges
  • Regulatory Perspectives

Program

12:00pm – 12:10pm

Participants

John O’Day

12:10pm – 1:25pm

This panel will provide participants with deep dive discussions on some of the important issues highlighted during the 2020 global pandemic. Learn about regulatory considerations, and how Financial Services is…

This panel will provide participants with deep dive discussions on some of the important issues highlighted during the 2020 global pandemic. Learn about regulatory considerations, and how Financial Services is evolving and modernizing key industry processes to become more effective and efficient.

Hear from:

  • FINRA’s Bill Wollman on FINRA Rule 4210
  • SIFMA’s Ira Hammerman on the E-delivery White Paper and Advocacy Efforts
  • DTCC’s Ann Bergin on Dematerialization
  • PIMCO’s Graham Shute on Partial Calls
  • SIFMA’s Charles DeSimone on Automation
  • Pershing’s Kevin McCosker on Medallion Stamps

Participants

John O’Day, Ann Bergin, Charles DeSimone, Ira D. Hammerman, Kevin McCosker, Graham Shute, Bill Wollman

Moderator

Panelists

Ann Bergin

Managing Director & General Manager, Wealth Management Services and Asset Services

DTCC

Ann Bergin’s Biography

Charles DeSimone

Vice President, Technology and Operations

SIFMA

Charles DeSimone’s Biography

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Graham Shute

Vice President

PIMCO

Graham Shute’s Biography

Bill Wollman

Executive Vice President, Head of Office of Financial and Operational Risk Policy

FINRA

Bill Wollman’s Biography

1:30pm – 1:55pm

This session will focus on the complexity of shortening the settlement cycle in the U.S. and impacts to various businesses, processes and markets. Forum participants will also learn about the key…

This session will focus on the complexity of shortening the settlement cycle in the U.S. and impacts to various businesses, processes and markets. Forum participants will also learn about the key considerations of a more compressed timeline and how it will affect Corporate Actions.

 

 

Participants

Daniel Thieke

Speaker

Daniel Thieke

Managing Director, Business Resilience Management

DTCC

Daniel Thieke’s Biography

2:00pm – 3:00pm

This session will host three concurrent breakouts – Class Actions, Reorganization, and Dividends – during which participants will attend one session and collectively discuss the key issues and lessons learned.

This session will host three concurrent breakouts – Class Actions, Reorganization, and Dividends – during which participants will attend one session and collectively discuss the key issues and lessons learned.

Examine the different types of class action initiatives. Topics include: Notification; Filing; Antitrust; International.

Examine the different types of class action initiatives. Topics include:

  • Notification;
  • Filing;
  • Antitrust;
  • International.

Participants

Leonard (Len) Belvedere, Brian Blockovich, Steve Cirami, James Tharin

Speakers

Leonard (Len) Belvedere

Vice President of Business Development

Chicago Clearing Corporation

Leonard (Len) Belvedere’s Biography

Brian Blockovich

President and General Counsel

Chicago Clearing Corporation

Brian Blockovich’s Biography

Steve Cirami

Vice President, Head of Class Actions & Corporate Actions

Broadridge Financial Solutions

Steve Cirami’s Biography

James Tharin

Founder and Chief Executive Officer

Chicago Clearing Corporation

James Tharin’s Biography

Explore SPACs and corporate action liability processing. SPACs topics include: Brief history of the asset class relating to Corporate Actions; 2020 volume spike, pandemic and impact to the industry; Tactical…

Explore SPACs and corporate action liability processing.

SPACs topics include:

  • Brief history of the asset class relating to Corporate Actions;
  • 2020 volume spike, pandemic and impact to the industry;
  • Tactical approach to address the volume increase, and more.

Corporate Action Liability Processing topics include:

  • A review of best practices;
  • Common pain points;
  • How to enhance processing.

Participants

Kirk Flessas, Scott Reifer

Speakers

Kirk Flessas

Vice President

Jefferies LLC

Kirk Flessas’s Biography

Scott Reifer

Vice President

Pershing

Scott Reifer’s Biography

Discuss key dividend topics including: Ex-date declared with "no adjustments will be made"; Non DTCC eligible spin-offs, for example: Technip, Stellantis, Cardia Inc; DTCC changes to Important Notice; and more.

Discuss key dividend topics including:

  • Ex-date declared with “no adjustments will be made”;
  • Non DTCC eligible spin-offs, for example: Technip, Stellantis, Cardia Inc;
  • DTCC changes to Important Notice; and more.

Participants

Peter Bove, Ileana Laureano, John Price

Speakers

Peter Bove

Director

CIBC

Peter Bove’s Biography

Ileana Laureano

VP- Operations Manager GT&O

Bank of America Merrill Lynch

Ileana Laureano’s Biography

John Price

Senior Director

Fidelity Investments

John Price’s Biography

12:00pm – 12:05pm

Participants

Christopher Thiebaut

Speaker

Christopher Thiebaut

Director, Corporate Actions

BlackRock

Christopher Thiebaut’s Biography

12:05pm – 12:45pm

The panel will discuss and explore some of the recent US Section 1446(f) developments and ways that firms are addressing these changes.   In addition the group will highlight processing challenges…

The panel will discuss and explore some of the recent US Section 1446(f) developments and ways that firms are addressing these changes.   In addition the group will highlight processing challenges around international tax.

Participants

Siobhan Bolger, Fred Ceraso, Ian DeSacia, Greggory Lewis, Andrew McNaughtan

Moderator

Siobhan Bolger

Director, Global Asset Services

Bank of America Merrill Lynch

Siobhan Bolger’s Biography

Panelists

Fred Ceraso

Vice President, Tax Operations

Goldman, Sachs & Co.

Fred Ceraso’s Biography

Ian DeSacia

Director, Asset Services Product Management

DTCC

Ian DeSacia’s Biography

Greggory Lewis

Director, Depositary, CSD & Issuer Services

GlobeTax

Greggory Lewis’s Biography

Andrew McNaughtan

Executive Director, International Tax Operations

Morgan Stanley

Andrew McNaughtan’s Biography

12:50pm – 1:15pm

Broadridge’s Martin Koopman and Chip Pasfield will provide an overview of Proxy Season 2021, including Virtual Shareholder Meetings, contests and initiatives to increase retail shareholder voting.

Broadridge’s Martin Koopman and Chip Pasfield will provide an overview of Proxy Season 2021, including Virtual Shareholder Meetings, contests and initiatives to increase retail shareholder voting.

Participants

Martin Koopman, Charles (Chip) Pasfield

Speakers

Martin Koopman

President Bank Broker-Dealer, Investor Communication Solutions

Broadridge Financial Solutions

Martin Koopman’s Biography

Charles (Chip) Pasfield

Vice President, Client Services

Broadridge Financial Solutions

Charles (Chip) Pasfield’s Biography

1:20pm – 2:00pm

Panelists will provide further perspectives on the 2021 Proxy season as the industry supports various changes due to COVID-19 and increased engagement for shareholders.  Other panel topics include regulatory discussions…

Panelists will provide further perspectives on the 2021 Proxy season as the industry supports various changes due to COVID-19 and increased engagement for shareholders.  Other panel topics include regulatory discussions around Proxy plumbing, a review of the first season since the implementation of the European Shareholder Rights Directive II (SRD II) and next steps in these markets.

Participants

Steven Watts, Lawrence Conover, John O’Day, 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

Christina Young

Managing Director, Operations

Charles Schwab & Co., Inc.

Christina Young’s Biography

2:05pm – 2:45pm

This panel will share their perspectives on trends in Corporate Actions as well as regulatory priorities to create efficiencies and reduce industry risk.  Topics include the impact of COVID-19, corporate…

This panel will share their perspectives on trends in Corporate Actions as well as regulatory priorities to create efficiencies and reduce industry risk.  Topics include the impact of COVID-19, corporate action-related changes to listings, and the effects of the surge in SPAC securities.  Panelists will also provide insight into business planning and the focus of their organization in 2021.  This session is an excellent opportunity for operations professionals to learn more about these regulatory changes and participate in a virtual Q&A with the panelists from FINRA, NYSE and Nasdaq.

Participants

Christopher Thiebaut, Patricia Casimates, Tara Petta, Benjamin Sawyer

Moderator

Christopher Thiebaut

Director, Corporate Actions

BlackRock

Christopher Thiebaut’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

Venue

On Demand


On Demand , Watch Replay

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.