C&L Society September Luncheon
SIFMA's Compliance & Legal Society Monthly Luncheons are opportunities to gain insights from influential voices in the compliance and legal…
Global Corporate Actions 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 Perspective with FINRA, NYSE, and Nasdaq
- Capital Markets – An Inside Look at Deal Offerings
- Bankruptcy: Navigating Complexities and Best Practices
- Proxy and European Shareholder Rights Directive II (SRD II) – The Shifting Regulatory Landscape
- Industry Challenges and Best Practices
- And more!
16th Annual
Global Corporate Actions Forum
Registration Rates – Until 10/3/19
- SIFMA Member $250
- Non-Member $500
- Regulator $150
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 Perspective with FINRA, NYSE, and Nasdaq
- Capital Markets – An Inside Look at Deal Offerings
- Bankruptcy: Navigating Complexities and Best Practices
- Proxy and European Shareholder Rights Directive II (SRD II) – The Shifting Regulatory Landscape
- Industry Challenges and Best Practices
- And more!
Pricing
| Registration Rates | $250 |
|---|
| Registration Rates | $500 |
|---|
| Registration Rates | $150 |
|---|
| SIFMA Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $250 | $500 | $150 |
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
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
Panelists
10:00am – 10:25am
Corporate transactions frequently result in complex corporate actions that banks and brokers must process on behalf of their clients. Our featured speaker will discuss how deals are structured and the…
Corporate transactions frequently result in complex corporate actions that banks and brokers must process on behalf of their clients. Our featured speaker will discuss how deals are structured and the potential downstream impacts on corporate actions.
Participants
F. Dario de Martino
Speaker
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 Hammond, Jr., Cynthia Rainis-Tirino, William Simunek
Speakers
12:15pm – 1:15pm
1:15pm – 2:15pm
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
Gerard Bermingham, John Regan
Panelists
2:15pm – 2:55pm
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
2:55pm – 3:15pm
Networking Break
3:15pm – 4:00pm
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
4:00pm – 4:30pm
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, Charles (Chip) Pasfield
Moderator
Panelists
4:30pm – 5:00pm
Panel Discussion
5:00pm – 5:05pm
Participants
John O’Day
Speaker
Venue
SIFMA Conference Center
120 Broadway
Floor 2
New York, NY 10271
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.
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)
Sponsorship
Questions? Contact Tamara Bailey at 212.313.1240.
Platinum
Sponsors
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 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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.
If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.
SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.
Substitutions
Conference registration substitutions are welcome. Email [email protected] 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.