Sponsored by Computershare

SPEAKER
Christopher Thiebaut, Director of Corporate Actions, BlackRock

This panel will provide updates on the topics discussed during last year’s Forum and will also share insight into current priorities and focus areas within their respective organizations. Hear regulatory perspectives on upcoming Corporate Action initiatives and learn more about the efforts across the industry to reduce risk, create efficiencies, and respond to various events.

Topics include: Corporate Action Trends and Recent Drivers; T+1 Planning and Implications; Mergers and Spin-Offs; Focus, impact, and opportunities in Securities Finance and Collateral; and SPACS.

MODERATOR

Hector Salcido-Torres, Head of Foundational Services, Vanguard

PANELISTS
Kay Mordeno, Manager, Corporate Actions, NYSE
Tara Petta, Associate Vice President, Corporate Data Operations, Nasdaq

Jessica Roberson, Associate Director, Transparency Services - Market Operations, FINRA
Bidhu Shekhar-Rusia, Director of Product Management, S&P Global Market Intelligence

95% of mergers result in class action litigations, often filed in state court in Delaware. When the Class Action Settlement Agreements include damages, the distributions that result are made by the DTCC or class action administrator using DTCC data. These distributions are sent directly to the custodians in an omnibus payment. The custodians are then expected to distribute the distribution to the appropriate beneficial owner accounts. While seemingly simple, this distribution method has created many unexpected challenges, costs and risks for the custodians.

We will explore those challenges, costs and risks and suggest solutions.

MODERATOR

James Tharin, Founder and Chief Executive Officer, Chicago Clearing Corporation

PANELISTS

Milton Otero, Corporate Actions Manager, Interactive Brokers

Joshua Ruthizer, Partner, Wolf Popper LLP

Sponsored by EY

The panel of leading agents will dive into the intricacies of facilitating more complex corporate action, focusing on the challenges and solutions in today's ever-evolving financial landscape. Gain practical insights, real-world experiences, and effective strategies from transfer agents that can be applied to your own corporate action processing capabilities.

MODERATOR

Cynthia Rainis, Vice President, Bank of America

PANELISTS

Tiffany Archbell, Director, Kroll
Anthony Borino, Vice President, Continental Stock Transfer & Trust Company
Neda Sheridan, Executive Vice President, Computershare
Jane Sullivan, Executive Vice President, Epiq Corporate Restructuring, LLC

Panelists will discuss the latest technologies used to capture and accurately process corporate action information as well as the existing technologies that streamline the current process. This session will include a discussion on the use of AI/ML and Data Analytics.

MODERATOR

Anuj Mallick, Partner, Principal, EY

PANELISTS

Jatan Pathak, Executive Director, Product and Commercial, S&P Global Market Intelligence
Sanjay Prasad, Head of Sales, Capital Markets and Wealth Management, TCS
John Regan, Senior Director, FIS
Matthew Schill, Senior Director, DTCC

Sponsored by TCS BaNCS

In today's ever more complex operational landscape, corporate action processing brings significant risk to our firms. This panel discussion features industry experts leading the reorganization, dividends and proxy industry working groups who will examine the challenges and opportunities corporate action operation professionals face and explore the best practices that drive efficiency and reduce risk.

MODERATOR

Jim Monahan, Director, Head of North America Asset Servicing, Citi

PANELISTS

Kirk Flessas, Vice President, Jefferies
Jonathan Goldman, Vice President, Morgan Stanley
John Price, Senior Director, Fidelity
Cynthia Rainis, Vice President, Bank of America

This session will discuss the impact of T+1 on corporate actions as well as describe the current status and preparedness for the U.S. securities markets to transition to a T+1 settlement cycle next May 2024.

MODERATOR

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

PANELISTS

Larry Bajek, Vice President, Broadridge
Lawrence Conover, Vice President, Fidelity
Anthony Macchiarulo, Assistant Vice President, SIFMA
Matthew Schill, Director, DTCC

Sponsored by Financial Recovery Technologies

This panel will discuss tax-related operational challenges, including:
- DTCC Stock Loan Tracking
- New Development in International Tax
- Section 302 Challenges for corporate Action Functions

MODERATOR

Siobhan Bolger, Director, Bank of America

PANELISTS

Uri Benjamin, Senior Manager, EY
Ian DeSacia, Executive Director, DTCC
Alina Kirzner, Vice President, Brown Brothers Harriman

This panel discussion will describe the complexities of class action processing in the corporate action space. Panelists will share their experiences and provide valuable insights into navigating this intricate legal landscape.

Topics include:
- Foreign Litigation and International Recoveries
- SEC Fair Funds
- Challenges of new documentation and filing requirements
- Best practices for firms developing internal policies

MODERATOR

Christopher Thiebaut, Director of Corporate Actions, BlackRock

PANELISTS

Brian Blockovich, President and General Counsel, Chicago Clearing Corporation
Steve Cirami, Head of Corporate Actions and Class Actions, Broadridge
Michael Lange, Senior Vice President, Financial Recovery Technologies

SPEAKER

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

Sponsored by BetaNXT and Chicago Clearing Corp.