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.

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.

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.

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.

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.

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.

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.

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.

Sponsored by Google Cloud

Sponsored by Grant Thornton 

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.

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.

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.

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.

Sponsored by Appian 

Sponsored by Broadridge Financial Solutions 

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.

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.

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.

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.

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.

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.

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.

Sponsored by Amazon Web Services

Sponsored by Deloitte

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