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

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.

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.

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.

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.