ICSA Annual General Meeting
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SIFMA Ops Virtual Forum
Overview
On November 4-5, SIFMA’s Ops Virtual Forum gathered key industry leaders and regulators to discuss critical operations and technology issues facing financial services, including a review of COVID-19 related activities.
In addition to discussing the key drivers of change, such as regulation and technology, this two-day program also focused on areas where the financial industry continues to improve operational processes and efficiencies as well as manage risk in a digitized world.
Now Available On Demand
SIFMA’s Ops Virtual Forum is available on demand through February 4, 2021.
If you are a new registrant, signing up after November 5, please contact Caitlin Sargent to register. You will receive replay access instructions within 3 days of your registration.
Already Registered? View On Demand Now.
Sessions include:
- Impact of 2020 Election Results on Financial Services
- The Pandemic Stress Test: US Government Securities Clearance & Repo During COVID-19
- Operational Considerations for Security Tokens
- Consolidated Audit Trail Implementation
- Regulatory Priorities
- COVID-19 Lessons Learned and Initiatives
- Ops Workforce of the Future: Including a Focus on Post COVID-19 Strategies
- And more
SIFMA Ops Virtual Forum
An industry discussion about the financial operations ecosystem
Registration Closed
Overview
On November 4-5, SIFMA’s Ops Virtual Forum gathered key industry leaders and regulators to discuss critical operations and technology issues facing financial services, including a review of COVID-19 related activities.
In addition to discussing the key drivers of change, such as regulation and technology, this two-day program also focused on areas where the financial industry continues to improve operational processes and efficiencies as well as manage risk in a digitized world.
Now Available On Demand
SIFMA’s Ops Virtual Forum is available on demand through February 4, 2021.
If you are a new registrant, signing up after November 5, please contact Caitlin Sargent to register. You will receive replay access instructions within 3 days of your registration.
Already Registered? View On Demand Now.
Sessions include:
- Impact of 2020 Election Results on Financial Services
- The Pandemic Stress Test: US Government Securities Clearance & Repo During COVID-19
- Operational Considerations for Security Tokens
- Consolidated Audit Trail Implementation
- Regulatory Priorities
- COVID-19 Lessons Learned and Initiatives
- Ops Workforce of the Future: Including a Focus on Post COVID-19 Strategies
- And more
Register
| Registration Rates | $299 |
|---|
| Registration Rates | $399 |
|---|
| Registration Rates | $99 |
|---|
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $299 | $399 | $99 |
Program
10:00am – 11:00am
Virtual Exhibit Hall
11:00am – 11:10am
Participants
Kenneth E. Bentsen, Jr., Thomas F. Price
Speakers
11:10am – 11:20am
Participants
Jamie Wall
Speaker
11:25am – 12:15pm
What are the operations priorities that drove the industry’s efforts in 2020? This panel of operations leaders will also look ahead to 2021 and beyond as they describe emerging technologies…
What are the operations priorities that drove the industry’s efforts in 2020? This panel of operations leaders will also look ahead to 2021 and beyond as they describe emerging technologies and initiatives, and how the evolution of the securities industry will transform the role of the operations professional.
Participants
Thomas Tremaine, Bob Adams, Graeme McEvoy, Claire Santaniello
Moderator
Panelists
12:20pm – 12:50pm
In recent years, we have witnessed an upswing in cyber attacks, including significant breaches at many major institutions. Rachel Wilson, a 15-year veteran of the National Security Agency (NSA), is…
In recent years, we have witnessed an upswing in cyber attacks, including significant breaches at many major institutions. Rachel Wilson, a 15-year veteran of the National Security Agency (NSA), is Morgan Stanley’s Head of Cybersecurity for Wealth Management. She will brief attendees on the cyber risks facing the financial sector and offer best practices for protecting financial data and assets.
Participants
Rachel Wilson
Panelist
12:55pm – 1:45pm
Hear from DTCC leadership as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the post trade infrastructure. The panel will highlight…
Hear from DTCC leadership as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the post trade infrastructure. The panel will highlight the operations priorities that will drive the industry’s efforts in 2021 and beyond.
Participants
Murray C. Pozmanter, Ann Bergin, Lynn Bishop, Lallande de Gravelle, Michael McClain, Jennifer C. Peve
Moderator
Panelists
1:50pm – 2:20pm
Technologies, trends, and cultural norms are reshaping operations faster than ever. Ulku Rowe, former Financial Services executive turned Googler, joins Joe Seidel, Chief Operating Officer of SIFMA, to discuss the…
Technologies, trends, and cultural norms are reshaping operations faster than ever. Ulku Rowe, former Financial Services executive turned Googler, joins Joe Seidel, Chief Operating Officer of SIFMA, to discuss the latest observations, obstacles, and opportunities that are defining the next chapter in securities operations.
Participants
Joseph L. Seidel, Ulku Rowe
Moderator
Speaker
2:20pm – 3:20pm
Virtual Exhibit Hall
3:20pm – 3:40pm
Justin Llewellyn-Jones (Head of Capital Markets, North America, Equities & Derivatives at Broadridge) and Steve Morgan (Head of ICG Markets Operations Solutions – Secs Ops & Tech,…
Justin Llewellyn-Jones (Head of Capital Markets, North America, Equities & Derivatives at Broadridge) and Steve Morgan (Head of ICG Markets Operations Solutions – Secs Ops & Tech, Ops Tech for Clients, Metrics, Analytics and Workflow at Citi) discuss the business drivers behind the current post-trade modernization initiatives at their organizations, and how they are using technology as an enabler to drive transformation, overcome obstacles, streamline operations and unlock data.
Participants
Justin Llewellyn-Jones, Steven Morgan
Speakers
3:45pm – 4:05pm
The Consolidated Audit Trail is now partially built, with several intensive phases ahead. Join a discussion of where we are and what the future is likely to bring from a…
The Consolidated Audit Trail is now partially built, with several intensive phases ahead. Join a discussion of where we are and what the future is likely to bring from a resource, implementation, and compliance perspective.
Participants
William Leahey
Speaker
10:00am – 11:00am
Virtual Exhibit Hall
11:00am – 11:40am
Hear from the SEC, FINRA and the New York Fed as they join Ira Hammerman, Executive Vice President & General Counsel of SIFMA, to discuss current and potential key priorities…
Hear from the SEC, FINRA and the New York Fed as they join Ira Hammerman, Executive Vice President & General Counsel of SIFMA, to discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.
Participants
Ira D. Hammerman, Vic Chakrian, Emily Westerberg Russell, Bill Wollman
Moderator
Panelists
11:45am – 12:05pm
The volatility of March 2020 represented the most serious test for U.S. capital markets since the 2008 global financial crisis. U.S. government securities clearance and repo came under particular pressure…
The volatility of March 2020 represented the most serious test for U.S. capital markets since the 2008 global financial crisis. U.S. government securities clearance and repo came under particular pressure as investors sought to bolster their cash liquidity while also seeking safety in U.S. Treasuries.
Join us for an informative session with senior leaders of BNY Mellon Clearance & Collateral Management to discuss findings from The Pandemic Stress Test, which provides new insight into how U.S. repo markets performed through the volatility.
Participants
Victor O’Laughlen, Brian Ruane
Moderator
Speaker
12:10pm – 12:45pm
Explore the emerging area of digital assets. This panel will discuss the regulatory and operational considerations related to operationalizing security tokens as well as their impact on retail investors.
Explore the emerging area of digital assets. This panel will discuss the regulatory and operational considerations related to operationalizing security tokens as well as their impact on retail investors.
Participants
Grace Vogel, Emmanuel Aidoo, Thomas K. McGowan, Drew Van der Werff
Moderator
Panelists
12:50pm – 1:30pm
Discover the lessons learned so far at this stage of the pandemic, and the initiatives that firms are already considering to improve preparedness and resiliency. This panel will discuss Return…
Discover the lessons learned so far at this stage of the pandemic, and the initiatives that firms are already considering to improve preparedness and resiliency. This panel will discuss Return to Office strategies and plans, how firms have enhanced Work-from-Home technologies, the digital transformations that are streamlining operations, and related global regulatory reform efforts.
Participants
Ron Lefferts, Robert Kaiser, Anthony Lichty, Amy Shanle
Moderator
Panelists
1:35pm – 2:10pm
The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations. This panel will discuss the importance of building an agile…
The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations. This panel will discuss the importance of building an agile organization in an evolving industry and describe what firms need to do to address the growing talent gap.
Participants
Robert Walley, Staci Sullivan, Grainne McNamara, Lori Messer, Tonya Tyson
Moderator
Panelists
2:10pm – 3:10pm
Virtual Exhibit Hall
3:10pm – 3:30pm
Financial institutions are applying artificial intelligence (AI) and machine learning (ML) across a number of areas to enhance customer experiences, personalize offerings, streamline manual processes, and optimize investment portfolios. Join…
Financial institutions are applying artificial intelligence (AI) and machine learning (ML) across a number of areas to enhance customer experiences, personalize offerings, streamline manual processes, and optimize investment portfolios. Join us for a discussion with Bratin Saha, Vice President of Machine Learning Services, Amazon AI, to hear how financial institutions get started with machine learning and the business impacts they realize from machine learning projects. He will walk through customer examples and share an overview of AWS service offerings for AI and ML.
Participants
Bratin Saha
Speaker
3:35pm – 3:55pm
Now that ongoing low interest rates and zero commissions are an everyday reality, finding ways to accelerate revenue growth to replace legacy commissions is top of mind. Many firms are…
Now that ongoing low interest rates and zero commissions are an everyday reality, finding ways to accelerate revenue growth to replace legacy commissions is top of mind. Many firms are looking for innovative ways to increase revenue and are exploring alternative paths.
Join the conversation as we discuss the latest trends in revenue growth.
Participants
Timothy D’Arcy, David Hoffman
Speakers
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
Interested in being a sponsor? Contact Diana Serri at 212.313.1258.
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SIFMA's Strategic Partners
Media
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Media Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official Webinar Press Policy.
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Please note: Webinar access instructions will be sent within 24 hours of the start of the Ops Virtual Forum.
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
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of this virtual event. No substitutions or transfers will be accepted.