Operations Conference & Exhibition

Date

May 07 - May 10, 2018

Location

Phoenix, AZ

Standard Rates – Until 5/7/18

  • Member $1695
  • Non-Member $2095
  • Regulator $895

Overview

For 45 years, SIFMA’s Operations Conference & Exhibition has gathered operations, technology and regulatory leaders from across the securities industry to collaborate, share information and address challenges.

As the industry continues to evolve – responding to regulatory changes, shortening the settlement cycle, tapping into the transformative potential of technology and driving smarter efficiencies – today’s innovation is presenting new ways for firms to understand and interact with their customers, businesses, and the markets.

Join us at OPS 2018 as we explore the practical applications of breakthrough technologies in operations, compliance and the implementation of regulatory changes, evolving investor engagement, and management of new risks in support of safe and resilient capital markets.

Program

12:00pm – 6:00pm

Registration Desk Hours

4:00pm – 5:00pm

Partner Workshops

5:30pm – 7:00pm

Sponsored by IBM 

Sponsored by IBM 

7:00am – 4:30pm

Registration Desk Hours

7:15am – 8:15am

Continental Breakfast – Exhibition Hall

8:15am – 12:15pm

General Session

8:15am – 8:30am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:30am – 8:55am

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

8:55am – 9:20am

Participants

John P. Carlin

Speaker

John P. Carlin

Partner

Morrison & Foerster LLP

Former Assistant Attorney General for the U.S. Department of Justice’s National Security Division

John P. Carlin’s Biography

9:20am – 9:45am

Participants

Kathleen Lynch

Speaker

Kathleen Lynch

Chief Operating Officer, UBS Americas and Wealth Management Americas

UBS

Kathleen Lynch’s Biography

9:45am – 10:10am

Participants

Michael C. Bodson

Speaker

Michael C. Bodson

President & Chief Executive Officer

DTCC

Michael C. Bodson’s Biography

10:10am – 10:30am

Networking Break – Exhibition Hall

10:30am – 10:55am

Participants

Commissioner Brian D. Quintenz

10:55am – 11:30am

Featured Speaker

11:30am – 12:15pm

As lead solo pilot of the Blue Angels, John Foley had to consistently perform as part of a team in an intense, high-stakes environment. Reaching that level of excellence required…

As lead solo pilot of the Blue Angels, John Foley had to consistently perform as part of a team in an intense, high-stakes environment. Reaching that level of excellence required commitment, discipline, and trust. Using Blue Angel methodology as a model, Foley has developed a unique approach that equips others to make the same journey toward excellence. His message, delivered with contagious enthusiasm, emphasizes principles of trust, alignment, clarity, and commitment, positioning individuals and teams to achieve and sustain higher levels of excellence than they ever dreamed possible.

Participants

John Foley

Speaker

John Foley

Former Blue Angels Lead Solo Pilot

John Foley’s Biography

12:15pm – 2:00pm

Networking Lunch – Exhibition Hall

2:00pm – 3:00pm

Breakout Session 1: Payment Systems and Financial Information Aggregators
Join operational subject matter experts for an informative discussion on buy-side perspectives.  Topics include fintech and what asset management ops are doing now to adopt emerging technologies; cryptocurrency as a…

Join operational subject matter experts for an informative discussion on buy-side perspectives.  Topics include fintech and what asset management ops are doing now to adopt emerging technologies; cryptocurrency as a new asset class and related operational considerations such as client on-boarding, AML, securities set-up, pricing, valuation, and custody of cryptocurrency.  Panelists will also cover collateral, and any issues remaining from uncleared margin implementation, as well as implementing TBA margining and the upcoming initial margin process.

Participants

Louis J. Rosato, III, Bill Galipeau, Michael Herskovitz, Jason Minkler, Jesse Robinson

Moderator

Louis J. Rosato, III

Director, Investment Operations Group

BlackRock

Louis J. Rosato, III’s Biography

Panelists

Bill Galipeau

Executive Vice President and Head of Operations

PIMCO

Bill Galipeau’s Biography

Michael Herskovitz

Senior Vice President & Partner, Fixed Income Risk Operations & Technology

AB

Michael Herskovitz’s Biography

Jason Minkler

Senior Vice President & Head of Operations

Jennison Associates, LLC

Jason Minkler’s Biography

Operations professionals continue to focus on the mitigation of risk and enhancement of the customer experience driven by the evolving complexity and regulatory requirements in the corporate actions space. This session…

Operations professionals continue to focus on the mitigation of risk and enhancement of the customer experience driven by the evolving complexity and regulatory requirements in the corporate actions space. This session will highlight how firms are looking to manage regulatory and operational risk with fintech opportunities in robotics and artificial intelligence introduced into tax processing and the corporate actions operations. Panelists will also explore efforts for a global standard in the announcement of events, as well as questions surrounding emerging trends, including the Issuers’ use of cryptocurrency for dividends.

Participants

Carly Byrd, Lawrence Conover, James Monahan, Cynthia Rainis-Tirino, Daniel Thieke

Moderator

Carly Byrd

Director, Global Tax Utility

Deutsche Bank

Carly Byrd’s Biography

Panelists

James Monahan

Executive Director and Regional Head of North America Position Services

Morgan Stanley

James Monahan’s Biography

Cynthia Rainis-Tirino

Vice President

Deutsche Bank

Cynthia Rainis-Tirino’s Biography

Daniel Thieke

Managing Director and General Manager, Settlement & Asset Services

DTCC

Daniel Thieke’s Biography

Participants

Ron Lefferts

Moderator

Ron Lefferts

Managing Partner, Financial Services Sector

IBM Global Business Services

Ron Lefferts’s Biography

The panel will discuss the industry Bulk Transfer initiative, a collaboration among regulators and the industry to create a common data and regulatory architecture for the efficient and speedy ‘bulk…

The panel will discuss the industry Bulk Transfer initiative, a collaboration among regulators and the industry to create a common data and regulatory architecture for the efficient and speedy ‘bulk transfer’ of customer accounts from a carrying broker dealer experiencing financial difficulties to a new carrying broker dealer(s).

Participants

Michael Alexander, Michele Hillery

Panelists

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

Michele Hillery

Executive Director, Equity Clearing Services, Fixed Income Product Management

DTCC

Michele Hillery’s Biography

Partner Workshops

3:00pm – 3:30pm

Networking Break – Exhibition Hall

3:30pm – 4:30pm

Blockchain holds great promise to help transform securities markets and processes – but what does actual implementation of this technology look like? This panel will explore how the industry is…

Blockchain holds great promise to help transform securities markets and processes – but what does actual implementation of this technology look like? This panel will explore how the industry is actually applying distributed ledger technologies, and what the path to production looks like. How are exchanges and utilities using blockchain, and what lessons can the industry learn about realizing the potential of this technology – from selecting the right use cases to implementation to understanding the regulatory context?

Participants

Pramod Achanta, Graeme McEvoy, James O’Neill, Jennifer C. Peve

Panelists

Pramod Achanta

IBM Blockchain Services Leader- North America

IBM

Pramod Achanta’s Biography

Graeme McEvoy

Managing Director & Global Head, ISG Product Operations

Morgan Stanley

Graeme McEvoy’s Biography

James O’Neill

Vice President, Operations Risk

Fidelity Investments

James O’Neill’s Biography

Jennifer C. Peve

Co-Head, Office of FinTech Strategy, Strategy and Business Development

DTCC

Jennifer C. Peve’s Biography

Nearly 25% of all cyber incidents today are caused by malicious insiders or by employees unintentionally introducing malware into their environments through phishing attacks. Along with this, the number of…

Nearly 25% of all cyber incidents today are caused by malicious insiders or by employees unintentionally introducing malware into their environments through phishing attacks. Along with this, the number of data breaches, particularly among third-parties holding sensitive financial industry data, has increased substantially in the past ten years from hundreds to several thousand incidents per year. This panel will explore how firms should be preparing their organizations, employees and dependent third-parties to protect against this rising threat.

Participants

Thomas M. Wagner, Craig Byrkit, Justin Harvey, Alan Charles Raul, Ellen Schubert

Moderator

Thomas M. Wagner

Managing Director, Financial Services Operations

SIFMA

Thomas M. Wagner’s Biography

Panelists

Craig Byrkit

Department Leader, Information Systems Threat and Vulnerability Department and Cyber Risk Management Department

Edward Jones

Craig Byrkit’s Biography

Justin Harvey

Managing Director, Global Incident Response, Financial Services Security Practice for North America

Accenture LLP

Justin Harvey’s Biography

Ellen Schubert

Chief Executive Officer

IHS Markit KY3P

Ellen Schubert’s Biography

In a world of instantaneous information and high-speed transaction processing, the account transfer process – which moves accounts between brokerage firms and/or banks – must ensure that it takes the…

In a world of instantaneous information and high-speed transaction processing, the account transfer process – which moves accounts between brokerage firms and/or banks – must ensure that it takes the necessary steps to modernize its infrastructure from both operational efficiency and technology perspectives. This panel will review the ACATS evolution and the drive to improve the investor experience and reduce risk; the industry perspectives on the many upcoming ACATS process improvements; and the strategic view of the ACATS process and the multi-year roadmap of change and its impact on operations officers.

Participants

Kelly Cornwell, Helene W. Garcia, Bill J. Kapogiannis, Evan Oliveaux

Panelists

Kelly Cornwell

Industry Relations Specialist

Vanguard

Kelly Cornwell’s Biography

Bill J. Kapogiannis

Executive Director, Product Management - Equity Clearing

DTCC

Bill J. Kapogiannis’s Biography

Evan Oliveaux

Vice President

Fidelity Investments

Evan Oliveaux’s Biography

Participants

Lisa J. Bleier

Moderator

Lisa J. Bleier

Managing Director and Associate General Counsel

SIFMA

Lisa J. Bleier’s Biography

The recent explosion of data caused by the Internet of things, advancement in computing power and maturing algorithms has accelerated the adoption of artificial intelligence (AI), machine learning (ML) and…

The recent explosion of data caused by the Internet of things, advancement in computing power and maturing algorithms has accelerated the adoption of artificial intelligence (AI), machine learning (ML) and robotic process automation (RPA) by financial services firms. These technologies are expected to have a tangible impact on productivity in the coming three to five years. Business leaders see AI in particular becoming a significant business advantage. Join Broadridge to hear how capital markets firms are transforming with AI. Our panel of executives from leading financial institutions, analyst firms and fintech providers will share their perspectives on the AI market landscape, including where we are today, challenges and opportunities for banks, and what they are doing to take “Bots to Products.”

Participants

Michael Alexander

Speaker

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

4:30pm – 6:00pm

Sponsored by Accenture 

Sponsored by Accenture 

Location

Exhibition Hall

7:00am – 4:30pm

Registration Desk Hours

7:30am – 8:30am

Continental Breakfast – Exhibition Hall

8:30am – 12:15pm

General Session

8:30am – 8:40am

Participants

Randy Snook

Speaker

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

8:40am – 9:00am

During the next two to five years, the financial services industry will continue to undergo a digital transformation, driven by blockchain and other emerging technologies. Ms. McNamara will discuss what…

During the next two to five years, the financial services industry will continue to undergo a digital transformation, driven by blockchain and other emerging technologies. Ms. McNamara will discuss what this means for an Operations professional, including the recipe for success in the digital era.

Participants

Grainne McNamara

Speaker

Grainne McNamara

Principal, Financial Services & Banking and Capital Markets

PwC

Grainne McNamara’s Biography

9:00am – 10:00am

The transformative impacts of emerging technologies are not limited to new ways of interacting with customers, but have the potential to reshape the operations, systems, and processes that drive the…

The transformative impacts of emerging technologies are not limited to new ways of interacting with customers, but have the potential to reshape the operations, systems, and processes that drive the securities industry. This panel brings together operations leaders to explore how new technologies and industry initiatives can drive greater efficiency and reduce risk, and how the industry and the role of the operations professional may evolve over the next five years.

Participants

Joseph Guardino, Phil Davies, Thomas A. Giacalone, Olga Naumovich, Murray C. Pozmanter, Thomas Tremaine

Moderator

Joseph Guardino

Managing Director and Global Head of Operations

Bank of America Merrill Lynch

Joseph Guardino’s Biography

Panelists

Phil Davies

Managing Director and Global Head of Operations

Morgan Stanley

Phil Davies’s Biography

Thomas A. Giacalone

Managing Director

UBS AG

Thomas A. Giacalone’s Biography

Olga Naumovich

Managing Director

Goldman, Sachs & Co.

Olga Naumovich’s Biography

Murray C. Pozmanter

Managing Director and General Manager, Systemically Important Financial Market Utility (SIFMU)

DTCC

Murray C. Pozmanter’s Biography

Thomas Tremaine

Executive Vice President and Chief Operations Officer

Raymond James Financial, Inc.

Thomas Tremaine’s Biography

10:00am – 10:20am

Networking Break – Exhibition Hall

10:20am – 11:15am

Participants

Ira D. Hammerman, Anthony Russell, Bill Wollman

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Bill Wollman’s Biography

11:15am – 12:15pm

General Session Panel

11:50am – 12:15pm

Day 2 Keynote Speaker

12:15pm – 1:15pm

The recent popularity of crypto assets has led to an intersection between crypto assets (and derivatives based on crypto assets), traditional financial firms, markets, and infrastructure. This panel will focus…

The recent popularity of crypto assets has led to an intersection between crypto assets (and derivatives based on crypto assets), traditional financial firms, markets, and infrastructure. This panel will focus on the basics of crypto assets, including how they and their derivatives have evolved, how they are impacting firm operations, and how regulation will shape the way crypto assets and their derivatives are handled by financial firms.

Participants

William Leahey, Joshua Ashley Klayman, Michael Mollet

Moderator

William Leahey

Vice President & Assistant General Counsel, Operations and Technology

SIFMA

William Leahey’s Biography

Panelists

Michael Mollet

Managing Director, Business Development

Cboe Options Exchange

Michael Mollet’s Biography

Participants

Ellen Greene, Andre Frank, Manisha Kimmel, Robert Walley

Moderator

Ellen Greene

Managing Director, Financial Services Operations

SIFMA

Ellen Greene’s Biography

Panelists

Manisha Kimmel

Chief Regulatory Officer, Wealth Management

Thomson Reuters

Manisha Kimmel’s Biography

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

The US Government Securities Market is going through many changes. The changes include post trade settlement, a greater need for clients to mobilize these high-quality assets around the globe and…

The US Government Securities Market is going through many changes. The changes include post trade settlement, a greater need for clients to mobilize these high-quality assets around the globe and finally, the reversal of quantitative easing and the impact it will have on the secured financing market.  The panel will discuss the changing landscape of the Government Securities Market and the Industry trends that result.

Participants

Brian Ruane, Michael Albanese, Brian Disken, Philippe Seyll, Suzanne Sprague

Moderator

Brian Ruane

Executive Vice President

BNY Mellon

Brian Ruane’s Biography

Panelists

Michael Albanese

Managing Director, Global Head of Collateral Management

JPMorgan Chase & Co.

Michael Albanese’s Biography

Brian Disken

Executive Director, Fixed Income Product Management

DTCC

Brian Disken’s Biography

Philippe Seyll

Co-Chief Executive Officer

Clearstream Banking SA

Philippe Seyll’s Biography

Suzanne Sprague

Managing Director, Credit Risk, Risk Policy, Banking & Solutions

CME Group

Suzanne Sprague’s Biography

Participants

Judith Ricketts, John P. Davidson, Thomas Ferlazzo, Michael McClain

Moderator

Judith Ricketts

President, TD Ameritrade Clearing

TD Ameritrade

Judith Ricketts’s Biography

Panelists

John P. Davidson

President and Chief Operating Officer

Options Clearing Corporation

John P. Davidson’s Biography

Thomas Ferlazzo

Senior Vice President, Operational Risk Supervision

Federal Reserve Bank of New York

Thomas Ferlazzo’s Biography

Michael McClain

Managing Director

DTCC

Michael McClain’s Biography

Partner Workshops

1:15pm – 3:00pm

Sponsored Shadow Financial Systems, Inc. 

Sponsored Shadow Financial Systems, Inc. 

Location

Exhibition Hall

3:00pm – 4:30pm

Women’s Networking Event

10:00pm – 12:00am

8:00am – 10:15am

Registration Desk Hours

8:30am – 10:00am

General Session with Breakfast

8:30am – 8:50am

Featured Speaker

8:50am – 9:15am

Participants

Chris Church

Speaker

Chris Church

Chief Business Development Officer

Digital Asset

Chris Church’s Biography

9:15am – 10:15am

The transformation of middle and back office functions is well underway, driven by recent advances in fintech. Firms are tasked with selecting those products and services that will be most…

The transformation of middle and back office functions is well underway, driven by recent advances in fintech. Firms are tasked with selecting those products and services that will be most impactful to their firms. From robotics to artificial intelligence, big data to cyber, subject matter experts will share their vision of new initiatives geared towards driving greater efficiencies while reducing risk. Panelists will also explore how the industry and the role of the buy- and sell-side operations professional may evolve over the next five years.

10:15am – 10:15am

Conference Adjourns

Venue

JW Marriott Phoenix Desert Ridge

5350 East Marriott Drive
Phoenix, AZ 85054

Set on 316 spectacular acres in the Sonoran Desert, the award-winning JW Marriott Phoenix Desert Ridge offers breathtaking views and everything you’ll require for a remarkable conference experience, less than 20 miles from downtown Scottsdale, Arizona.

Picture of venue

Hotel Accommodations

Rates will start at $285 per night and are quoted exclusive of applicable room tax (currently 12.27%), resort fee ($20), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through Monday, April 16, 2018 but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking.

Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

Book a Room

Related Resources

Media

Media Inquiries
Contact Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.

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 Lizzie Grimm at [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.