Presentations

Presentations are in Adobe Acrobat PDF Format.  To download the free viewer, visit adobe.com.

 

PDF

Operations Committee Update

 

Norman Eaker

Chairman, Operations Committee

Principal, Operations

Edward Jones

 

 PDF

Terra Incognita

 

Bruce Kasman

Chief Economist & Global Head of Economic Research

JPMorgan 

 

PDF

Are Your Securities Operations Resilient Enough? A Business Continuity Briefing



Panel:

 

Alton Harvey

Chief of Office of Contingency Planning

U.S. Securities and Exchange Commission

 

Jon Kroeper

Vice President, Quality of Markets

Market Regulation Department

FINRA

 

 

Howard Sprow

Vice President, Business Continuity

SIFMA

 

PDF

Reg SHO and Other Considerations for Short Selling



Panel:



Jonathan E. Breckenridge

Vice President, Securities Division Compliance

Goldman Sachs 

 

 

Robert F. Maione

Senior Vice President, Director of Brokerage Operations

Sanford C. Bernstein & Co. LLC

 

Anand K. Ramtahal

Vice President

FINRA



Wendy Sylvester

Director

Deutsche Bank Securities Inc. 

 

PDF

Offshoring/Outsourcing



Panel:

 

William B. Aimetti

President & Chief Operating Officer

Depository Trust & Clearing Corporation

 

 

Cheryl Geremia

Managing Director, COO

Deutsche Bank Securities Inc.



Greg Taylor

Principal Rule Counsel

FINRA


PDF

Clearing Firms & Introducing Firms: Perspectives on the Current Regulatory Rules, Interpretations, Issues and Industry Initiatives

 



Panel:



Kris Dailey

Managing Director

FINRA



Jean L. Parsons

Vice President & Director of Operations

City Securities Corporation

 



Lisa Rosenbaum

Chairperson, SIFMA Clearing Firms Committee

Senior Vice President, Senior Attorney-Clearing & Operations

Wachovia Securities, LLC

 

PDF

Product Identification Initiatives



Panel:

 

Michael Atkin

Managing Director

EDM Council

 

Mark Baumgardner

Vice President

Options Clearing Corporation

 

Scott Preiss

Vice President, Securities Classifications

Standard & Poor’s

 

 PDF

IBM Globalization Research Study

 

Suzanne Duncan

Financial Markets Industry Senior Consultant

IBM Corporation


PDF

Corporate Actions Regulatory & Reengineering Outlook



Panel:



John Binder

Vice President

Pershing

 

Robert L.D. Colby

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission  

 

 

Daniel Thieke

Director

Depository Trust & Clearing Corporation



John Wagner

Director

Morgan Stanley


PDF

Account Transfers in a Transforming Industry



Panel:

 

Bill Kapogiannis

Director, Product Marketing & Development

Depository Trust & Clearing Corporation

 

 

Kevin McCosker

Director

Pershing LLC

 

 

Kristie Thompson

Group Leader

Edward Jones

 

 

Derek Yen

Vice President

National Financial, a Fidelity Investments Company

 

 

PDF

Globalization of Markets: a European Perspective and How the Changes There May Impact Your Business Here

 

 

Panel:

 

Dennis E. Goodenough

Senior Business Manager - Securities Initiative, Americas

SWIFT Pan-Americas, Inc.

 

 

Neil Henderson
Managing Director
Depository Trust & Clearing Corporation



John Nordstrom

Chief Representative

Euroclear Bank

 

PDF

Fraudulent Losses - When will we Learn?  



Moderator: 

 

Joseph Anastasio

Partner

Capco

 



Panel: 

 

Vicky Allard
Head of Operations Risk
Goldman Sachs

 

Robert Mooney
Chief Business Risk Officer, Global Wealth Management
Merrill Lynch



Maurisa Sommerfield

Executive Vice President

Charles Schwab & Co., Inc.

 

PDF

Operational Risk: Unexpected and Expected Losses 



Moderator:



Patrick Mooney

Managing Director, Fixed Income Operations

SIFMA



Panel:

 

David Catenazzo

Managing Director, Risk Strategy & Planning Global Operations

Banc of America Securities LLC

 

 

Douglas J. George

Managing Director & Chief Risk Officer

Depository Trust & Clearing Corporation 

 

 

Michael Patterson

First Vice President

Merrill Lynch