SIFMA Ops & Tech Town Hall Meeting & Networking Reception

Date

September 13, 2018

Location

New York, NY

Overview

All members of the Operations & Technology Society (comprised of Corporate Actions Section, Credit & Margin Section, Customer Account Transfer Section and Securities Operations Section) are invited to join us for the second Ops & Tech Town Hall in-person meeting. Join us for an update from the Section Presidents, Regulatory Initiatives Panel – followed by a networking reception for members of all four sections.

Registration is complimentary for current members. Webinar registration will be made available for out of town participants.

REGISTER WITH YOUR RESPECTIVE SECTION BELOW:

Non-members are also welcome! If you are not a current member of the SIFMA Ops & Tech Society, please send an email to the following address to register for the Town Hall: [email protected].

Program

3:00pm – 3:30pm

Registration

3:30pm – 3:45pm

Hear updates from the Section Presidents: Carly Byrd on Corporate Actions; Helene Garcia on Customer Account Transfer; and Michael Nierva on Credit and Margin.

Hear updates from the Section Presidents: Carly Byrd on Corporate Actions; Helene Garcia on Customer Account Transfer; and Michael Nierva on Credit and Margin.

Participants

Carly Byrd, Helene W. Garcia, Michael Nierva

3:45pm – 4:30pm

Representatives from PwC, DTCC and FINRA will review key regulatory initiatives slated for 2019 including the Consolidated Audit Trail, Settlement Optimization and Bulk Transfer. With Broker Dealers set to begin…

Representatives from PwC, DTCC and FINRA will review key regulatory initiatives slated for 2019 including the Consolidated Audit Trail, Settlement Optimization and Bulk Transfer.

With Broker Dealers set to begin reporting to the CAT in November 2019, FINRA’s Shelly Bohlin will provide an update including the implementation timeline. John Abel from DTCC will discuss Settlement Optimization and PwC’s Tim O’Connell will cover the new processes surrounding SIFMA’s Bulk Transfer Initiative, which is designed to streamline the movement of multiple customer accounts.

 

Participants

John Abel, Shelly Bohlin, Tim O’Donnell

Speakers

John Abel

Executive Director, Product Management

DTCC

John Abel’s Biography

Shelly Bohlin

Vice President

FINRA

Shelly Bohlin’s Biography

Tim O’Donnell

Managing Director

PwC

Tim O’Donnell’s Biography

4:30pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)