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2019 Annual Conference

Knowledge is Power!
OCTOBER 21-24, 2019 • THE RITZ-CARLTON, NAPLES, FL



Preliminary STA Annual Conference Highlights 2019


Proxy: Imagineering Transfer Agency in the Aftermath of Reform
What if proxy reform were already in place?  Would your company be prepared?  It is no longer a question of if change is coming, it is simply a question of when…and Commissioner Roisman has made proxy reform a top priority on his list for 2019.  A panel of experts from the STA will give you a glimpse into what that future could hold and how you can prepare for it NOW.

Cannabis: Navigating Ambiguity as a Transfer Agent
Where is the line between legal and illegal business practices? Between compliant and non-compliant practices? State and Federal lawmakers won’t give you uniform rules. Regulators won’t give you clear guidance. If you want to respond to ever-growing demand and opportunity in the market, we will discuss the many things you should take into consideration in determining your risk appetite.

Cryptocurrency and Tokenized Securities: Transfer’s New Frontier
“Cryptosecurities” may be a more apt name than cryptocurrency in describing Bitcoin and other tokenized securities trends. What should you be aware of as you approach this new frontier in securities transfer?

Innovative Partnerships in Blockchain: Advancing the Industry
The first ABS transaction with loans originated on a blockchain platform was initiated in May of this year. Kristin Moore, SVP & Director of Corporate Trust of WSFS Bank and co-chair of STA’s Debt Securities Committee, talks about WSFS Institutional Services’ recent partnership with Jefferies, an investment banking firm, and Figure, creator of blockchain protocol Provenance.io and the flagship Figure Home Equity Line product.

The Great Privacy Race from Europe to California…Bypassing DC?
Will Privacy regulation end up as piecemeal as unclaimed property, where transfer agents face different rules and regulations from one state to the next instead of having federal pre-emption unify a national approach? Sort through the potential compliance nightmare with a panel of STA experts in the field.

Cybersecurity: Things That Go Bump in the Night
The Dark Web. Hackers in Hoodies. Viruses. Malware. Data Breach. Media Coverage. Regulatory Retribution. Eek! Don’t be caught cowering under the covers…Miles Edmundson, Business Information Security Officer at EQ, will lead a discussion on being proactive about information security and safeguarding your clients, your company, and your reputation.

Transfer Agency 101
Missed this class in college? Hmm…we all did! Thank goodness on-the-job training is alive and well. The STA wants to help and is offering a primer to those new to the industry. We’ll cover topics such as: SEC rules summary and practice, SEC examinations, and DTCC basics.

Issuers and Agents: Serving Shareholders Together
Kim Hanlon, President of the Shareholder Services Association, will speak about optimizing the relationship between securities issuers and transfer agents. What are best practices for leveraging each party’s strengths to maximize value to the issuer and to the shareholders? Be aware of the assumptions and oversights that can undermine communications and partnerships in this crucial interaction; hear tips to promote long-term satisfaction and alliance.

SEC Regulatory Initiatives and Issues  
Will reforming Transfer Agent Rules climb to the top of the priority list in 2020? Come and find out. Christian Sabella, Associate Director of the Division of Trading and Markets, and Eric Garvey, Assistant Director of the Office of Compliance Inspections and Examinations, will address the industry on current SEC regulatory initiatives and issues.

Debt Dematerialization and other DTC Initiatives  
The DTC has made debt dematerialization a priority for 2019. Mike Ames, Executive Director of Global Operations and Client Services at DTCC, will provide an update on where debt demat stands, along with other current initiatives and future plans affecting Transfer Agents.

Legal Issues  
What are some of the biggest legal pitfalls for Transfer Agents on the horizon, and how can you be prepared to tackle them? Attorneys from STA’s Legal Committee will discuss the most important legal issues facing members this year and provide some suggested best practices.

Unclaimed Property Issues  
Charles S. Hawkins, Vice President, BNY Mellon Asset Servicing, will lead a panel on Unclaimed Property, discussing current trends in proposed and enacted state statutes, legislative issues, state audits and legal issues of concern.

STA Open Forum  
What is keeping you up at night regarding the industry? Chances are, you are not alone. Share your concerns and hear what others are doing to solve similar problems. The agenda for this session is created by you, the attendees, and covers a wide range of topics. Rick Johnson, Chief Compliance Officer for Computershare, will host this session. We will take questions and concerns in advance to optimize group participation.

Small Agents’ Info-Social  
The challenges that small agents face in the industry can be very unlike their larger peers. Small Agents Committee Chair Kara Kennedy will be your host for refreshments and informal discussions on today’s most pressing issues. Don’t miss this opportunity to network, ask questions, share best practices and talk shop.

Unclaimed Property Deep Dive
Are you an avid follower of the many nuances in the Unclaimed Property arena? If so, come go deep and not broad at this session specifically geared towards attendees who want to dig in.

President’s Remarks  
STA President, Todd J. May, will discuss recent and ongoing STA initiatives, including his representation of the STA membership with the SEC Proxy Working Group.