AIG

AllianceBernstein

Avenue Capital Group

BlackRock

BNY Mellon

Brigade Capital Management

Brown Brothers Harriman

Citi

ClearBridge Advisors

Cohen & Steers

Credit Suisse Securities (USA) LLC

Delaware Investments

FINcastle Consulting

FINRA

Galliard Capital Management

GoldenTree Asset Management

Government of Singapore Corp.

Guardian

Inverness Counsel

Janney Montgomery Scott LLC

JP Morgan

Loomis Sayles & Company

Macquarie Capital USA

MetLife

MFS Investment Management

Neuberger Berman

Northern Trust Global Advisors

Payden & Rygel

PNC Asset Management

Prudential Fixed Income

Quantitative Management Associates

Silver Point Capital

Steinberg Asset Management

STP Consulting Solutions

SWIFT

TIAA-CREF Investment

8:15 am

Registration & Breakfast with the Exhibitors

9:00 am

Chairperson’s Opening Remarks

Chris Kotsifas, Founder,
STP Consulting Solutions

9:15 am

Progress Report: Industry Update on Messaging Standard ISO 20022

• Is the industry ready to migrate to messaging standard ISO 20022 starting in 2012?
• What will these messaging standards mean for the industry?  What are the benefits?
• Some firms have only recently invested in ISO15022, so can they manage further investment into ISO 20022?
• Will these new standards finally bring about automation for corporate actions?
• Will the regulators have to step in and compel corporates to use the emerging standard?

Moderator:
Debbie Mercer-Miller,
Citi
Panelists:
Anne Levonen, Director, Global Messaging Advisory,
Credit Suisse Securities (USA) LLC
Ted Rothschild, Executive Director, Global Market Infrastructure,
JP Morgan
Cira Neira, Senior Vice President,
Brown Brothers Harriman & Co.
Patrick Barthel, Asset Services,
DTCC

10:15 am

An Unattainable Goal? - Global Harmonization and Standards

• A push for standards has brought about Legal Entity Identifiers (LEI).  Will these LEIs drive systemic risk reporting? How do they assist the push for harmonization and standards?
• How do the increasing complexity of global events and the increased volumes on a year to year basis affect harmonization and standards globally?
• Can harmonization ever be reached?

Moderator:
Amy Harkins, Senior Vice President, Managing Director,
BNY Mellon 
Panelists:
Laura Pollard, Executive Vice President,
Fidelity ActionsXchange
Nanda Kumar, Product Director,
SIX Telekurs USA
Ted Rothschild, Executive Director, Global Market Infrastructure,
JP Morgan

11:00 am

Networking Break with the Exhibitors 

11:15 am

Correctly Notifying Investors of Corporate Actions

• How can you be sure your firm is properly interpreting all paperwork filed with the Securities and Exchange Commission and other regulators about a corporate action?
• How can costly errors be avoided?
• How is tagging the corporate action in XBRL streamlining communications between the Issuer and Investor?

Moderator:
Dan Strachman, Author and Strategist,  
HedgeAnswers
Panelists:
DeeDee Walsh, Vice President,
Loomis Sayles & Company
Chris Frier,
MFS Investment Management
Chris Stone, Vice President,
FINRA

12:15 pm

Lunch Break with the Exhibitors 

1:15 pm

 Enterprise Data Management the Key to Accurate Corporate Actions Processing

• Corporate Actions today are typically processed manually and therefore are subject to human error. Any mistake in processing a corporate action can result in financial losses as well as cause reputational damage. Compounding the challenges, is the firm's ability to correctly access the given impact of a corporate action on the firm's performance as well as risk exposure at any given point in time. In the search of automation, efficiency and ultimately accuracy, enterprise data plays a pivotal role in corporate actions processing.

Speaker:
Jenny Brorson, Chief Business Consultant,
SimCorp North America

1:45 pm

Cost Basis Reporting Challenges: What’s New?

• Critical cost basis reporting areas prone to confusion and mistakes
• Latest IRS notices regarding the cost basis reporting law and the key issues those notices have addressed.
• How are brokers dealing with corporate actions processing as it relates to the law? (focusing on the need for taxability details and challenges related to issuer reporting)

Moderator:
Amy Harkins, Senior Vice President, Managing Director,
BNY Mellon
Panelists:
Stevie Conlon, Senior Director & Tax Counsel,   View Presentation
Wolters Kluwer Financial Services
Andrew Schwartz, Vice President,
BNY Mellon

2:45 pm

Networking Break with the Exhibitors

3:00 pm

Going Mobile - Corporate Actions on the Go 

• Firms are being asked by the front office and/or clients to improve their corporate actions services.  Aside from quicker and more accurate notifications, they also want mobile apps for reporting and instructing.
• What are the pros and cons of utilizing mobile technology for corporate actions?
• How has proxy voting changed due to mobile technology?  Is this change for the better?
• Are there alternative solutions to getting your clients real time information?

Moderator:
Chris Kotsifas, Founder,
STP Consulting Solutions
Panelists:
Paul Fullam, Senior Director, Business Strategy,
XSP
Jon Ambos, Director, Investment Administration Services,
Citi
Kurt Dodds, Vice President of AMG,
PNC Asset Management
Gary Schwartzberg, Pre-Sales Consultant,
TCS Financial Solutions

4:00 pm

Back Office Spotlight: Accuracy & the Ability to Support STP Initiatives

• Election & titlement details
• Liability in lifecycle
• Is there too much focus on new messaging standards as a way to generate STP and reduce risk?  Or should there be more focus on technology that already exists for these issues?
• Manual corporate actions processing is costly and risky.  What’s currently being done to drive automation?

Moderator:
Boris Onefater,
Constellation Investment Consulting Corporation
Panelists:
Ranjit Chatterji, Managing Director, Business Development & Network Services Head,
Securities and Fund Services, Citi
Bevin Crodian, CEO,
FINCastle Consulting

4:45 pm

Conference Adjourns