Sponsored by ComputerShare

Chris Thiebaut, Director, U.S. Head of Corporate Actions, BlackRock

Panelists from FINRA, Nasdaq and NYSE will review efforts and the 2022/2023 priorities within these organizations, which are helping to create efficiency and reduce risk across the industry. This session is a terrific opportunity for participants to hear regulatory perspectives on upcoming Corporate Action initiatives and ask the panelists questions.

Moderator:

Amit D’Cruz, Executive Director, J.P. Morgan

Panelists:

Patricia Casimates, Vice President of Market Operations, FINRA

Kay Mordeno, Manager, NYSE

Tara Petta, Director of Corporate Data Operations, Nasdaq

This session will focus on the impacts to corporate actions as the U.S. Securities markets prepare to transition to a T+1 settlement cycle.

Moderator:

Tom Price, Managing Director, SIFMA

Panelist: 

Anthony Macchiarulo, Senior Associate, Financial Services Operations, SIFMA

Larry Conover, Vice President, Operations and Services Group, Fidelity Investments

Bidhu Shekhar Rusia, Director – Product Management, S&P Global Market Intelligence

Matt Schill, Senior Director, DTCC

 Sponsored by Financial Information Inc.

Panelists from ARRC Operational and Infrastructure working group will review efforts to create a process for determining parties to communicate to market participants which reference rate will replace LIBOR.  This session is an opportunity to hear about how DTCC is planning to enhance the Lens system.

Panelists:

Ann Marie Bria, Executive Director, Asset Services Business Manager, DTCC

Scott Longo, Managing Director, State Street

Madhu Ramu, Managing Director Data, Product, Operations, S&P Global

This interactive session will be hosted by industry leadership of the Reorganization, Tax and Dividend committees, and will collectively discuss the critical issues experienced and lessons learned over the last year.

Tax Panelists:

Siobhan Bolger, Director, Bank of America

Andrew McNaughtan, Executive Director, Morgan Stanley

Dividends Panelists:

Ileana Laureano, Vice President, Bank of America

Greggory Lewis, Director, Globe Tax

Reorganization Panelist:

Carlos Gomez, Senior Director, Wells Fargo

 Sponsored by Mediant

Panelists will discuss the latest changes to facilitating Bankruptcy events on corporate actions and how the industry is utilizing technology to move away from many of the tedious paperwork requirements. This session will also review the initiatives underway to simplify allocations of the resulting securities.

Moderator:

John O'Day, Director, Global Asset Services Bank of America

Panelists:

Alexa Concepcion, Manager, Computershare

James Daloia, Senior Director Restructuring Administration and Issuer Services, Kroll

Jessica Smith, Director of Corporate Actions Product Management, DTCC

This panel will examine the old and new domestic and foreign class action initiatives.

Moderator:

Len Belvedere, Vice President, Chicago Clearing Corporation

Panelists:

Fei Lu Qian, Senior Client Relationship Manager, Client Advocacy, Broadridge

Jim Tharin, Chief Executive Officer, Chicago Clearing Corporation

 Sponsored by Financial Recovery Technologies

This session will review the challenges firms experience in claiming corporate action proceeds today and will discuss the automation initiatives underway to streamline this process.

Moderator:

Chris Thiebaut, Director, U.S. Head of Corporate Actions, BlackRock

Panelists:

Steve Fazio, Co-Founder, Chief Operating Officer, Access FinTech

Lisa Fund, Senior Vice President, Goldman Sachs

Louis Rosato, Director, Investment Operations Group, BlackRock

Matt Schill, Director, DTCC

Panelists will discuss the recent and upcoming regulations impacting proxy, including SRDII. The discussion will include how brokers are coordinating with agents to refine the proxy voting process in addition to shareholder meeting and voting trends.

Moderator:

Christina Young, Director, Operations, Charles Schwab & Co., Inc.

Panelists:

Larry Conover, Vice President, Operations and Services Group, Fidelity Investments

Michael Donowitz,  Vice President, Regulatory Affairs, Broadridge 

Christina Young, Director, Operations, Charles Schwab & Co., Inc.

Sponsored by BetaNXT