Overview

It is with great disappointment that SIFMA must advise you that our 2020 Operations Conference & Exhibition has been canceled.

For nearly 50 years, this event has gathered operations professionals from across the financial services industry. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the event this year. This is primarily due to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our speakers, sponsors and other attendees to participate in the event, as well as public health and travel advisories, difficulties with air travel, and other recent events related to the spread of the novel coronavirus (COVID-19). Following extensive consultation with our various stakeholders, we felt it was important to make this decision now to help our conference participants plan accordingly.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within the next 30 days. You do not need to contact SIFMA for this refund. If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

We appreciate your understanding and support, and we look forward to seeing you at the 2021 Ops Conference, which will take place on May 3-6 at the Fontainebleau in Miami. You can view all upcoming events at www.sifma.org/events.

About SIFMA Ops

SIFMA’s 47th annual Operations Conference & Exhibition will gather operations, technology and regulatory leaders from across the securities industry for three days of discussions, addressing the industry’s most critical priorities.

At Ops 2020, connect with over 900 of your peers, representing the entire ecosystem of financial operations that powers performance in the capital markets.

Hear From Leading Voices of Ops

Examine Critical Industry Priorities

  • Consolidated Audit Trail Goes Live!
  • Operational Resilience
  • Preparing for Alternative Reference Rates
  • Regulation Best Interest
  • Digital Assets in Financial Services
  • Cybersecurity
  • Modernizing Infrastructure
  • Implications of Containerization in a Hybrid Cloud World
  • Emerging Tech That Will Change the Industry, and more!

Explore the program >

With the industry continuing to evolve in response to policy, risk, technology and regulatory changes, Ops delves into the dynamic and complex environment that is reshaping operations, the customer experience and market requirements.

What to Expect at #SIFMAOps:
See the Ops 2019 Experience

Explore more SIFMA Ops Content

 

47th Annual

Operations Conference & Exhibition

Date

April 21 - April 24, 2020

Location

San Diego, CA

Overview

It is with great disappointment that SIFMA must advise you that our 2020 Operations Conference & Exhibition has been canceled.

For nearly 50 years, this event has gathered operations professionals from across the financial services industry. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the event this year. This is primarily due to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our speakers, sponsors and other attendees to participate in the event, as well as public health and travel advisories, difficulties with air travel, and other recent events related to the spread of the novel coronavirus (COVID-19). Following extensive consultation with our various stakeholders, we felt it was important to make this decision now to help our conference participants plan accordingly.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within the next 30 days. You do not need to contact SIFMA for this refund. If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

We appreciate your understanding and support, and we look forward to seeing you at the 2021 Ops Conference, which will take place on May 3-6 at the Fontainebleau in Miami. You can view all upcoming events at www.sifma.org/events.

About SIFMA Ops

SIFMA’s 47th annual Operations Conference & Exhibition will gather operations, technology and regulatory leaders from across the securities industry for three days of discussions, addressing the industry’s most critical priorities.

At Ops 2020, connect with over 900 of your peers, representing the entire ecosystem of financial operations that powers performance in the capital markets.

Hear From Leading Voices of Ops

Examine Critical Industry Priorities

  • Consolidated Audit Trail Goes Live!
  • Operational Resilience
  • Preparing for Alternative Reference Rates
  • Regulation Best Interest
  • Digital Assets in Financial Services
  • Cybersecurity
  • Modernizing Infrastructure
  • Implications of Containerization in a Hybrid Cloud World
  • Emerging Tech That Will Change the Industry, and more!

Explore the program >

With the industry continuing to evolve in response to policy, risk, technology and regulatory changes, Ops delves into the dynamic and complex environment that is reshaping operations, the customer experience and market requirements.

What to Expect at #SIFMAOps:
See the Ops 2019 Experience

Explore more SIFMA Ops Content

 

Program

8:00am – 7:00pm

Preview the Ops 2020 program – stay tuned for more

Preview the Ops 2020 program – stay tuned for more

8:15am – 1:00pm

Riverwalk Golf Club offers an 18-hole, full length par 72 course. This San Diego Golf Course boasts mature stands of palm, oak and eucalyptus trees with numerous wetland areas. It…

Riverwalk Golf Club offers an 18-hole, full length par 72 course. This San Diego Golf Course boasts mature stands of palm, oak and eucalyptus trees with numerous wetland areas. It also features nearly 70 bunkers and an array of picturesque water features – including three lakes and the San Diego River – creating both strategic diversity and a visually stunning backdrop for golf. While challenging for low handicappers, the course offers multiple tees on each hole, ensuring an enjoyable experience for golfers of all abilities.

The registration fee for this pre-conference activity is $89 per person.

Register Now for the Golf Tournament

Club rental is also available through the above registration site. If you have additional questions, please email Caitlin Sargent.

Sponsored by Gresham Technologies

Location

Riverwalk Golf Club, San Diego

2:00pm – 5:30pm

Registration Desk Hours

2:00pm – 2:30pm

Sponsored by DTCC

Sponsored by DTCC

2:30pm – 5:00pm

Breakout Sessions and Partner Workshops

2:30pm – 3:30pm

On April 20, 2020, after many years of development, firms will begin reporting to the Consolidated Audit Trail (CAT). During this session, subject matter experts will provide insight into CAT…

On April 20, 2020, after many years of development, firms will begin reporting to the Consolidated Audit Trail (CAT). During this session, subject matter experts will provide insight into CAT testing and share their early experiences on production reporting, including error correction, within the CAT repository.

Participants

Robert Walley, Keith Beck, Shelly Bohlin, William Leahey, Denise Steffel

Moderator

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

Panelists

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

William Leahey

Head of Regulatory Compliance

Refinitiv

William Leahey’s Biography

Denise Steffel

Vice President, Operations

Raymond James

Denise Steffel’s Biography

This panel will discuss what operations professionals need to know and how they need to prepare for the transition to alternative reference rates, which may come as soon as the…

This panel will discuss what operations professionals need to know and how they need to prepare for the transition to alternative reference rates, which may come as soon as the end of 2021. From internal funds transfer to vendor agreements, to loans, bond, and derivatives, LIBOR is everywhere. Firms need to be able to adapt to instruments using new rates such as the Secured Overnight Financing Rate (SOFR), implement fallbacks, and review and execute new agreements. A lot of work needs to be done, but not much time remains.

Participants

Chris Killian, Jeff Huther, Cynthia Meyn, Janina Polo, Calvin Zunn

Moderator

Chris Killian

Managing Director, Securitization and Corporate Credit

SIFMA

Chris Killian’s Biography

Panelists

Jeff Huther

Senior Economic Project Manager

Federal Reserve Bank of New York

Jeff Huther’s Biography

Janina Polo

Senior Manager

EY

Janina Polo’s Biography

Calvin Zunn

Director

RBC

Calvin Zunn’s Biography

Sponsored by IBM   *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.  

Sponsored by IBM

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

Sponsored by Splunk *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.  

Sponsored by Splunk

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

4:00pm – 5:00pm

The panel will discuss a series of topics focused on the current operations environments and what firms are doing to change the work and implement technology enablers.  There are numerous…

The panel will discuss a series of topics focused on the current operations environments and what firms are doing to change the work and implement technology enablers.  There are numerous technologies in the market place addressing different challenges. The panel will discuss how their firms are mobilizing on technology innovation and disruption.

Participants

Robert Walley, Roy Saadan

Moderator

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

Panelist

Roy Saadan

CEO and Co-Founder

Access Fintech

Roy Saadan’s Biography

Breakout Session 2
Accenture will host a panel discussion showcasing our LIBOR Contract Remediation offering. Our LIBOR tools and assets utilize the latest technology and best in class contract lifecycle tools to enable…

Accenture will host a panel discussion showcasing our LIBOR Contract Remediation offering. Our LIBOR tools and assets utilize the latest technology and best in class contract lifecycle tools to enable the end-to-end LIBOR transition journey. We will conduct an interactive panel presentation and discussion of our Intelligent Contract Engine, which is an automated discovery, digitization and extraction tool for critical LIBOR information in financial contracts. Accenture’s Contract Remediation offering utilizes Robotic Process Automation to notify clients and stakeholders of changes in LIBOR contract data, and automates contract amendments  using standard LIBOR fallback language. The results achieved include identifying the impacts of the LIBOR transition on products, processes, businesses, technologies and functions, and can mitigate operational risks and reputational damage associated with the LIBOR transition. We will highlight alliances established with law firms and legal managed services which enables us to bring the correct advisory support through the negotiation and amendment process.

Accenture will discuss the ability of our Contract Remediation offering to provide clients with a clear transition strategy and roadmap for all legacy transactions or contracts with references to LIBOR,  both in the back book, and those that mature after 2021. This end-to-end process provides a quality control framework , reducing operational risk, and establishing trust with clients, regulators and key stakeholders.

The panel discussion will be an interactive exchange of ideas between Accenture and key SIFMA industry participants.

Sponsored by Accenture

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

There is a growing need to develop efficiencies to redeploy resources towards growth and the scale to accommodate that. Firms are increasingly looking to consolidating the technology platforms supporting managed…

There is a growing need to develop efficiencies to redeploy resources towards growth and the scale to accommodate that. Firms are increasingly looking to consolidating the technology platforms supporting managed accounts programs, as well as strategically combining and streamlining the number of these programs offered as a way to accomplish this.  Join us to hear the latest in industry trends and sentiments – including key challenges and concerns in the decision-making and execution – as well as some case studies from firms who have successfully undertaken this effort.

Sponsored by Vestmark 

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

5:30pm – 7:00pm

Satellite Registration Desk Hours
Sponsored by IBM

Sponsored by IBM

7:00am – 6:00pm

Registration Desk Hours

7:00am – 8:00am

Networking Breakfast – Exhibition Hall

8:05am – 12:00pm

General Session

8:05am – 8:10am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:10am – 8:40am

Participants

Kenneth E. Bentsen, Jr., Joseph E. Sweeney

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

8:40am – 9:10am

PIMCO will discuss its global economic and investment outlook. Included in the discussion with be the firm’s view on global interest rates and its expectations for the broader financial markets,…

PIMCO will discuss its global economic and investment outlook. Included in the discussion with be the firm’s view on global interest rates and its expectations for the broader financial markets, with emphasis on portfolio construction.

Participants

Anthony Crescenzi

Speaker

Anthony Crescenzi

Executive Vice President

PIMCO

Anthony Crescenzi’s Biography

9:10am – 9:40am

After spending over a decade on Wall Street, Royal Hansen is now responsible for driving overall information security strategy for Google's technical infrastructure which serves billions of end-user consumers and…

After spending over a decade on Wall Street, Royal Hansen is now responsible for driving overall information security strategy for Google’s technical infrastructure which serves billions of end-user consumers and enterprise customers. Royal sits down to compare how Wall Street and Silicon Valley approach security – contrasts, similarities, and learnings that they can share with each other.

Participants

Royal Hansen

Speaker

9:40am – 10:05am

Sponsored by Google Cloud

Sponsored by Google Cloud

10:05am – 10:35am

Participants

Allison Herren Lee

10:35am – 11:05am

The securities industry is adopting cloud computing as an efficient, flexible platform for managing increasing transaction volumes while maintaining security and compliance. But challenges remain. Today’s IT operations often involve…

The securities industry is adopting cloud computing as an efficient, flexible platform for managing increasing transaction volumes while maintaining security and compliance. But challenges remain. Today’s IT operations often involve a mixture of data centers and cloud platforms from multiple vendors. Running applications in “containers” that can be easily deployed in complicated environments has become the new best practice.  Tom Eck, CTO for financial services at IBM will provide an overview of the containerization movement; describe the role of application modernization in the move to containers; and describe case studies where financial institutions have achieved enterprise agility while maintaining resilience, security, and regulatory compliance.

Participants

Tom Eck

Speaker

Tom Eck

Chief Technology Officer, Financial Services

IBM

Tom Eck’s Biography

11:05am – 12:00pm

What are the operations priorities that will drive the industry’s efforts in 2020 and beyond? Hear from operations leaders as they describe emerging technologies and initiatives, and also how the…

What are the operations priorities that will drive the industry’s efforts in 2020 and beyond? Hear from operations leaders as they describe emerging technologies and initiatives, and also how the evolution of the securities industry will transform the role of the operations professional.

Participants

Thomas Tremaine, Michael DeBevec, Graeme McEvoy, Claire Santaniello

Moderator

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

Panelists

Michael DeBevec

Head of Global Investment Operations

BlackRock

Michael DeBevec’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Claire Santaniello

Managing Director & Head of Operations

BNY Mellon | Pershing

Claire Santaniello’s Biography

12:00pm – 1:30pm

Networking Lunch – Exhibition Hall

12:10pm – 12:40pm

Sponsored by Gresham Technologies *Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by Gresham Technologies

*Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

12:50pm – 1:20pm

Sponsored by Amazon Web Services  *Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by Amazon Web Services 

*Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

1:40pm – 4:00pm

Breakout Sessions and Partner Workshops

1:40pm – 2:40pm

The Consolidated Audit Trail (CAT) has many stakeholders who have spent considerable time and resources on the development of the CAT. With the launch scheduled for April 20, 2020, representatives…

The Consolidated Audit Trail (CAT) has many stakeholders who have spent considerable time and resources on the development of the CAT. With the launch scheduled for April 20, 2020, representatives from the CAT Operating Committee, CAT Advisory Committee and FINRA CAT will share their perspective on the development and implementation period leading up to the launch. Panelists will provide insight into the initial production roll-out of the CAT that will have occurred just days before SIFMA Ops 2020.

Participants

James R. Burns, Gregg E. Berman, Ph.D., Shelly Bohlin, Manisha Kimmel, Michael J. Simon

Moderator

Panelists

Gregg E. Berman, Ph.D.

Director of Market Analytics and Regulatory Structure

Citadel Securities

Gregg E. Berman, Ph.D.’s Biography

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

Michael J. Simon

Independent Senior Advisor

Deloitte & Touche LLP

Chair of the CAT Operating Committee

Michael J. Simon’s Biography

Corporate Actions continue to be a top priority for firms due to the regulatory requirements and complexity of issuer events. During this session, panelists will provide insight into the SEC-initiated…

Corporate Actions continue to be a top priority for firms due to the regulatory requirements and complexity of issuer events. During this session, panelists will provide insight into the SEC-initiated proxy plumbing working groups, proposed enhancements to improve partial call lotteries, the European Union’s Shareholder Rights Directive and other topical issues that impact the customer experience, while mitigating risk to the firm.

Participants

Lawrence Conover, Carly Byrd, Martin Koopman, John O’Day, Graham Shute

Moderator

Lawrence Conover

Vice President, Operations and Services Group (OSG)

Fidelity Investments

Lawrence Conover’s Biography

Panelists

Carly Byrd

Director, Global Tax Utility

Deutsche Bank AG

Carly Byrd’s Biography

Martin Koopman

President Bank Broker-Dealer, Investor Communication Solutions

Broadridge Financial Solutions

Martin Koopman’s Biography

Graham Shute

Vice President, Corporate Actions Manager

PIMCO

Graham Shute’s Biography

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades, changing the way financial advisors interact…

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades, changing the way financial advisors interact with clients and driving firms to change business strategy, operations, systems, and processes. This panel will discuss the upcoming compliance deadline and on-going compliance well beyond June 2020. The discussion will include key operational challenges, how firms are managing the changes and the impact on retail investors.

Participants

Jillian Enoch, Hans Schemmel, Jean Reilly, Timothy Slavin, Lee Thoresen, Joshua Uhl

Moderator

Jillian Enoch

Vice President, Federal Government Relations

SIFMA

Jillian Enoch’s Biography

Panelists

Jean Reilly

Managing Director Wealth Management Consulting Practice

Broadridge Financial Solutions

Jean Reilly’s Biography

Timothy Slavin

Senior Vice President, Retirement Solutions

Broadridge Financial Solutions

Timothy Slavin’s Biography

Lee Thoresen

Senior Counsel, Head of Regulatory and Transactional

RBC Wealth Management

Lee Thoresen’s Biography

Joshua Uhl

Senior Manager

Deloitte

Joshua Uhl’s Biography

Operational resiliency is a critically important topic, which firms and regulators are working together to define in 2020. Panelists will explore operational risk and resiliency concepts and how they will…

Operational resiliency is a critically important topic, which firms and regulators are working together to define in 2020. Panelists will explore operational risk and resiliency concepts and how they will affect the way firms manage – and respond to – extreme cyber or physical events that target a firm’s operational data. This panel will also describe how to enhance resiliency in core operations processes and business continuity plans.

Participants

Ron Lefferts, Michael J. Alexander, Jeff Kuhn, Steve Hostetler

Moderator

Ron Lefferts

Managing Director, Global Leader of Technology Consulting

Protiviti

Ron Lefferts’s Biography

Panelists

Michael J. Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael J. Alexander’s Biography

Jeff Kuhn

Chief Operations Officer

BNY Mellon | Pershing

Jeff Kuhn’s Biography

Steve Hostetler

Managing Director

Bank of America

Steve Hostetler’s Biography

Sponsored by Google Cloud   *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.  

Sponsored by Google Cloud

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

Becoming Future-Ready is an interactive panel discussion that will explore the opportunities that institutions have to reconcile and address transformative forces in the financial services market today, from digital technologies…

Becoming Future-Ready is an interactive panel discussion that will explore the opportunities that institutions have to reconcile and address transformative forces in the financial services market today, from digital technologies to fintechs, and alternative business networks, providing a structured approach to develop a roadmap; ensuring long-term sustainability in a dynamic business environment.  The discussion will focus on the strategic importance of customers, platforms, risk management, product portfolio and the business network.  While you will learn that there is no “one right way” for everyone, there is a navigable path for you to optimize your business for growth and efficiency.

Sponsored by Grant Thornton 

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

2:40pm – 2:55pm

Sponsored by Google Cloud

Sponsored by Google Cloud

3:00pm – 4:00pm

Evolving technology has affected all aspects of the financial industry, including operations. The transfer of assets from one firm to another is still moving at a speed that lags other…

Evolving technology has affected all aspects of the financial industry, including operations. The transfer of assets from one firm to another is still moving at a speed that lags other types of money movement. This panel will discuss the goal for a real-time transfer process using a new API interface and Automated Customer Account Transfer Service (ACATS) platform, and what it will take for the industry to get there.

Participants

Kelly Cornwell, Edward Leddy, Evan Oliveaux, Bill Kapogiannis, Ramprasad ‘RP’ Sandilya, Joseph Zaets

Moderator

Kelly Cornwell

Manager, FAS Mutual Fund Administration

Vanguard

Kelly Cornwell’s Biography

Panelists

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

Bill Kapogiannis

Executive Director, Product Management - Equity Clearing

DTCC

Bill Kapogiannis’s Biography

Ramprasad ‘RP’ Sandilya

Vice President, Strategic Solutions

Broadridge Financial Solutions

Ramprasad ‘RP’ Sandilya’s Biography

Joseph Zaets

Executive Director

Morgan Stanley

Joseph Zaets’s Biography

This panel brings together clearing firm experts and industry leaders to discuss current issues facing clearing and introducing firms.  Panelists will address the current industry model, increasing regulatory pressures, and…

This panel brings together clearing firm experts and industry leaders to discuss current issues facing clearing and introducing firms.  Panelists will address the current industry model, increasing regulatory pressures, and the need to create additional efficiencies in the market.

Participants

Al Caiazzo, Lana Calton

Panelists

Al Caiazzo

Managing Director

First Clearing

Al Caiazzo’s Biography

Lana Calton

Managing Director and Head of Clearing Services

Hilltop Securities

Lana Calton’s Biography

How will the landscape of collateral management change in 2020 and beyond? Join a group of collateral management executives and thoughts leaders as they discuss the global drivers impacting innovation…

How will the landscape of collateral management change in 2020 and beyond? Join a group of collateral management executives and thoughts leaders as they discuss the global drivers impacting innovation in collateral management.

Participants

John Morik, Edward Corral, Oliver Grimonpont, Phil Morgan, Guido Stroemer

Moderator

John Morik

Head of Product & Strategy – Government Securities Services

BNY Mellon

John Morik’s Biography

Panelists

Edward Corral

Global Head of Collateral Strategy

JP Morgan

Edward Corral’s Biography

Oliver Grimonpont

Global Head of Collateral Management and Securities Lending

Euroclear

Oliver Grimonpont’s Biography

Phil Morgan

COO & Head of Sales

Pirum

Phil Morgan’s Biography

Guido Stroemer

Chief Executive Officer

HQLAx

Guido Stroemer’s Biography

This panel will offer a brief overview of the Central Securities Depositories Regulation (CSDR) measures to prevent and address settlement fails for financial assets settling throughout the European Economic Area…

This panel will offer a brief overview of the Central Securities Depositories Regulation (CSDR) measures to prevent and address settlement fails for financial assets settling throughout the European Economic Area (EEA). These rules will affect all parties that enter into transactions settling on an EEA CSD, including U.S. broker-dealers, asset managers and custodians. The panel will discuss the operational implications of the key measures, including the buy-in requirements and cash penalties for fails, and what the industry is doing to prepare for these requirements.

Participants

Andy Sears, Bradley Koehler, Robert Stewart

Moderator

Andy Sears

Managing Director

EY

Andy Sears’s Biography

Panelists

Bradley Koehler

Senior Relationship Manager

Euroclear Bank SA/NV

Bradley Koehler’s Biography

Robert Stewart

Senior Vice President

Brown Brothers Harriman

Robert Stewart’s Biography

Sponsored by Appian  *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.  

Sponsored by Appian 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

Distributed Ledger Technology (DLT) has the power to transform the trading life cycle by driving change in business operations efficiency. It’s no wonder so many firms are testing applications —…

Distributed Ledger Technology (DLT) has the power to transform the trading life cycle by driving change in business operations efficiency. It’s no wonder so many firms are testing applications — from repo and private equity to global proxy. But many struggle to advance their DLT initiatives in the face of typical production challenges like legacy technologies and highly complex processes. Join Broadridge’s Horacio Barakat as he sits down with leaders in capital markets operations to discuss how they took their DLT initiatives from vision to value center — and their next steps on the innovation roadmap.

Sponsored by Broadridge Financial Solutions 

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

4:00pm – 6:00pm

Sponsored by Google Cloud

Sponsored by Google Cloud

7:00am – 4:00pm

Registration Desk Hours

7:00am – 8:00am

Networking Breakfast – Exhibition Hall

8:05am – 12:00pm

General Session

8:05am – 8:10am

Participants

Joseph L. Seidel

Speaker

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

8:10am – 9:00am

The next few years hold great promise for significant operational improvements based on a collection of new technologies. Explore how technology and industry initiatives are driving greater innovation and efficiency…

The next few years hold great promise for significant operational improvements based on a collection of new technologies. Explore how technology and industry initiatives are driving greater innovation and efficiency to meet changing customer expectations and reduce risk across systems, processes, market structure and more.

Participants

Jeffrey Rosen, Emmanuel Aidoo, Horacio Barakat, Charles Cascarilla

Moderator

Jeffrey Rosen

Managing Director

Société Générale

Jeffrey Rosen’s Biography

Panelists

Emmanuel Aidoo

Head of Digital Asset Markets

Credit Suisse

Emmanuel Aidoo’s Biography

Horacio Barakat

Vice President of Global Fixed Income

Broadridge Financial Solutions Inc.

Horacio Barakat’s Biography

Charles Cascarilla

CEO and Co-Founder

Paxos

Charles Cascarilla’s Biography

9:00am – 9:50am

This panel of regulatory and industry leaders will discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.

This panel of regulatory and industry leaders will discuss current and potential key priorities as well as emerging regulatory issues facing financial services operations professionals.

Participants

Ira D. Hammerman, Vic Chakrian, Grace Vogel, Bill Wollman

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Vic Chakrian

Senior Vice President, Financial Market Infrastructure, Supervision Group

Federal Reserve Bank of New York

Vic Chakrian’s Biography

Grace Vogel

Managing Director, Financial Services Advisory Practice

PwC

Grace Vogel’s Biography

Bill Wollman

Executive Vice President

FINRA

Bill Wollman’s Biography

9:50am – 10:15am

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

Speaker

Rachel Wilson

Managing Director, Technology & Risk

Morgan Stanley

Rachel Wilson’s Biography

10:15am – 10:35am

Networking Break – Exhibition Hall

10:40am – 11:05am

Modernizing the advisor experience - combining technology and service to help transform the way advisors and firms do business

Modernizing the advisor experience – combining technology and service to help transform the way advisors and firms do business

Participants

Ryan Doherty

Speaker

Ryan Doherty

Vice President of Platform Product Management

Fidelity Investments

Ryan Doherty’s Biography

11:05am – 11:30am

Participants

Joseph L. Seidel, Tom Ech, Mark Schlesinger

Moderator

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

Panelists

Tom Ech

Vice President, Chief Technology Officer

IBM

Tom Ech’s Biography

Mark Schlesinger

Senior Vice President, Chief Information Officer

Broadridge Financial Solutions

Mark Schlesinger’s Biography

11:30am – 12:25pm

Members of DTCC’s Senior Management and Board will discuss how the industry’s largest financial markets utility is working towards modernizing its infrastructure with an emphasis on resiliency and innovation. The…

Members of DTCC’s Senior Management and Board will discuss how the industry’s largest financial markets utility is working towards modernizing its infrastructure with an emphasis on resiliency and innovation. The panel will describe how DTCC is shaping important capital and cyber-risk management efforts, and also how it will work together with the securities industry to define its vision for the future of post-trade processing.

Participants

Murray C. Pozmanter, Lynn Bishop, Lallande de Gravelle, Michael Herskovitz, Graeme McEvoy, Jennifer C. Peve

Moderator

Murray C. Pozmanter

Head of Clearing Agency Services, Global Operations and Client Services

DTCC

Murray C. Pozmanter’s Biography

Panelists

Lynn Bishop

Managing Director, Chief Information Officer

DTCC

Lynn Bishop’s Biography

Lallande de Gravelle

Managing Director, Head of Corporate Strategy

DTCC

Lallande de Gravelle’s Biography

Michael Herskovitz

Senior Vice President & Partner, Co-Head Global Operations and Technology

AB

Michael Herskovitz’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

Jennifer C. Peve

Managing Director, Business Innovation

DTCC

Jennifer C. Peve’s Biography

12:30pm – 1:30pm

Breakout Sessions and Partner Workshops
The securities industry has embraced digital transformation, which has the potential to significantly elevate the customer experience, payments processing, core infrastructures, workflows and more. This panel will discuss automation at…

The securities industry has embraced digital transformation, which has the potential to significantly elevate the customer experience, payments processing, core infrastructures, workflows and more. This panel will discuss automation at firms today, new technologies that support data-driven decisions, and what to prepare for and consider within the next five years.

Participants

Olga Naumovich, Ryan Doherty, Randy Guy, Rob Krugman, Tais O’Dwyer, Shawn Quant, Roy Saadan

Moderator

Olga Naumovich

Managing Director

Goldman, Sachs & Co.

Olga Naumovich’s Biography

Panelists

Ryan Doherty

Vice President of Platform Product Management

Fidelity Investments

Ryan Doherty’s Biography

Randy Guy

Senior Vice President, Technology Officer, Capital Markets

FIS

Randy Guy’s Biography

Rob Krugman

Senior Vice President, Digital Strategy

Broadridge Financial Solutions

Rob Krugman’s Biography

Tais O’Dwyer

Global Director Financial Services Strategy & Solutions

Google Cloud

Tais O’Dwyer’s Biography

Shawn Quant

Chief Information & Operations Officer

Piper Sandler & Co.

Shawn Quant’s Biography

Roy Saadan

CEO and Co-Founder

Access Fintech

Roy Saadan’s Biography

The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations, what firms need to do to address the growing talent…

The digital era is also reshaping the workforce. Discover how teams are changing and the skills needed for next-generation operations, what firms need to do to address the growing talent gap, and the importance of building an agile organization in an evolving industry.

Participants

Staci Sullivan, Grainne McNamara, Tonya Tyson

Panelists

Staci Sullivan

President, Operations

TD Ameritrade Clearing, Inc.

Staci Sullivan’s Biography

Grainne McNamara

Principal

EY

Grainne McNamara’s Biography

Tonya Tyson

Chief Operations Officer

BB&T Securities, LLC

Tonya Tyson’s Biography

As the industry accelerates the digital operations evolution, the client service models need to adapt as well. This panel will discuss how technologies and advances in data normalization and digitization…

As the industry accelerates the digital operations evolution, the client service models need to adapt as well. This panel will discuss how technologies and advances in data normalization and digitization are changing the way industry participants interact, how they exchange and access data (e.g. client on-boarding process), and what changing skill sets are required from operations professionals to add value in this new environment. The panel, representing diverse industry participant views, will address the increased oversight of providers and how client service models are changing.

Participants

Jesse Robinson, David Kirby, Louis J. Rosato, III, Charles Coignard

Moderator

Panelists

David Kirby

Executive Director, Head of Americas Relationship Management/Global Account Management

DTCC

David Kirby’s Biography

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

Charles Coignard

Managing Director

JP Morgan

Charles Coignard’s Biography

Breakout Session 4
Sponsored by Amazon Web Services   *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by Amazon Web Services

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by Deloitte   *Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by Deloitte

 

*Sponsored Partner Workshop Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

1:30pm – 3:00pm

Networking Lunch – Exhibition Hall

1:50pm – 2:20pm

Sponsored by FICO   *Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

Sponsored by FICO

 

*Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

2:30pm – 2:50pm

Learn how you can leverage advanced AI and machine learning with the team you have today to drive significant operational ROI and create an AI-driven enterprise. Whether you are considering…

Learn how you can leverage advanced AI and machine learning with the team you have today to drive significant operational ROI and create an AI-driven enterprise. Whether you are considering or currently using AI / Machine Learning to streamline operational processes, identify new sources of alpha, manage risk exposure, or Improve the client experience, DataRobot can quickly empower non data scientists to build high ROI predictive models, or increase the productivity of your data science teams, no matter the size.

Sponsored by DataRobot 

*Sponsored Learning Lab Sessions are only open to Conference Attendees who are not in direct competition of the sponsoring firm.

 

3:15pm – 4:30pm

Co-Sponsored by Deloitte & Protiviti 

Co-Sponsored by Deloitte & Protiviti 

10:00pm – 12:00am

Sponsored by Fidelity 

Sponsored by Fidelity 

7:30am – 10:15am

Registration Desk Hours

8:15am – 10:15am

General Session with Breakfast

8:15am – 8:20am

Welcome to Day Three of SIFMA Ops 2020

8:20am – 9:10am

This panel of industry experts will explore and discuss the potential impact of digital asset securities on existing securities regulations and operations.

This panel of industry experts will explore and discuss the potential impact of digital asset securities on existing securities regulations and operations.

Participants

Scot Halvorsen, Jennifer C. Peve, Christopher Pullano, Randall Roy

Moderator

Scot Halvorsen

Vice President and Assistant General Counsel

SIFMA

Scot Halvorsen’s Biography

Panelists

Jennifer C. Peve

Managing Director, Business Innovation

DTCC

Jennifer C. Peve’s Biography

Christopher Pullano

Partner, Financial Services Advisory

PwC

Christopher Pullano’s Biography

9:10am – 9:35am

Financial institutions have been experimenting with AI/ML for years, but integration into day-to-day operations was slow — until now. Cost-effective, easy-to-use, and scalable AI/ML cloud services are democratizing access, no…

Financial institutions have been experimenting with AI/ML for years, but integration into day-to-day operations was slow — until now. Cost-effective, easy-to-use, and scalable AI/ML cloud services are democratizing access, no longer limiting these technologies to only the elite developer and data scientist teams. Across industries, individuals with no AI/ML experience are using the broadest and deepest set of AWS services to transform how their enterprises make better, faster decisions. Leave inspired to take matters into your hands.

Participants

Michelle Lee

Speaker

Michelle Lee

Vice President, Machine Learning Solutions Lab

Amazon Web Services

Michelle Lee’s Biography

9:35am – 10:10am

Featured Speaker

10:10am – 10:15am

Closing Remarks

10:15am – 10:15am

Conference Adjourns

Venue

Marriott Marquis San Diego Marina

333 West Harbor Drive
San Diego, CA 92101

Picture of venue

Hotel Accommodations

If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134.

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.

Substitutions
Conference registration substitutions are welcome. Email Caitlin Sargent 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.