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2018 Annual Conference

One Unified Voice!
OCTOBER 22-25, 2018 • THE RITZ-CARLTON, SARASOTA, FL



STA Annual Conference Highlights 2018

President's Remarks:    STA President, Todd J. May, will discuss recent and ongoing STA initiatives, and will describe our continuing dialogue with the SEC Chairman, Commissioners and senior staff. The STA continues to closely follow the SEC's thoughts on the timing of the revision of the transfer agent rules and other activities such as the potential re-release of the 2010 Proxy Concept Release, that could impact transfer agents, and will keep members advised He will also discuss our work with other organizations and dialogue with state legislatures aimed at protecting shareholders from new escheatment regulations in which legislatures may not understand the full impact to their constituents.. The STA continues to be an active advocate for its members, (and the issuers and shareholders they serve), with regulators and governmental officials. This session will bring you up to date.

SEC Update:   Two senior SEC spokespersons, 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 provide an update for our industry on current SEC regulatory initiatives and issues. We have allotted a generous amount of time for this session, per member request, which will allow the opportunity to dialogue with the Commission. This is always one of our most popular sessions and a good opportunity to learn what the Commission will be focusing on in the next 12 months, as well as the focus that future SEC examinations will have; you won't want to miss it.

Blockchain Overview: Lyell Dampeer, President, Broadridge Investor Communication Solutions, U. S. will provide a Blockchain overview that will focus on how the use of Blockchain can solve problems and be used with proxy voting and in the transfer agency space. This is an opportunity to learn about this important emerging technology.

GDPR: This recent regulation passed by the European Union is impacting U.S. transfer agents and issuers in significant ways. Is your organization in compliance? Gary Schober, Managing Partner with Hodgson Russ LLP and David L. Becker, Chief Compliance Officer for EQ by Equinity will discuss what this regulation actually requires and the operational implications for transfer agents.

Reg A+: Sara Hanks, CEO of CrowdCheck and Managing Partner of CrowdCheck Law, will share her views and experience on this Reg, the JOBS Act, Crowdfunding and the role of transfer agents in online offerings being made for ICO-tokens.

 DTC Update:   Mike Ames, Executive Director of Global Operations and Client Services at DTCC, will provide an update on DTCC current initiatives and future plans, the status of the dematerialization efforts in the industry, and DTCC's efforts with emerging new technologies such as Blockchain, the cloud, robotics and artificial intelligence. Many changes are happening in our industry- trade settlement cycles, regulation, disruptive technologies and new entrants into the marketplace and the DTCC spokesperson will share his perspectives on this fast and ever changing environment.

Legal Issues Panel:   Back by popular request, attorney members of the STA 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 of experts in the Unclaimed Property arena, discussing current trends in proposed and enacted state statutes, legislative issues, state audits and legal issues of concern. They will also discuss new issues arising as states modify their own unclaimed property statutes after the release of Uniform Unclaimed Property Act and industry efforts to educate Federal and state regulators to obtain optimal outcomes for the securities industry.

 Open Forum:   This year, the STA will continue its tradition of holding our Open Forum, where attendees can discuss the issues of the day with one another. Why reinvent the wheel? 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. These sessions have been consistently popular and have engendered some provocative discussion in the past. Cynthia Jones, Executive Director of the STA, and Rick Johnson, Chief Compliance Officer for Computershare will host this session and the agenda will be distributed ahead of time.

Small Agents Info-Social:   The challenges that small agents face today are unique. Join Mark Harmon of Hodgson Russ, Joseph Clemente of DTCC, Abby Rosenstein of Figtree,Thomas DiMarino of Kemark Financial Services, Inc., and Small Agents Committee Chair Kara Kennedy 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.

Operations Committee Update:   This year the Co-Chairs of our Operations Committee, Kevin P. Burns, Computershare, and Katie Sevcik, EQ by Equinity, will be joined by the Co-Chairs of our active Debt Securities Committee, Kristen Moore, Christiana Trust, and Chris Mozina, Wells Fargo, to provide members with updates on the current and future initiatives of these Committees.

Other Special Events:   Of course, the Annual golf Tournament is a continuing favorite at this Conference, as are the Gala Banquet on Wednesday evening, and the luncheon with the vendors who support us. This year, the event for First Time Attendees and New Members will again be a cocktail reception. Mark your calendars now and make plans to join us at the Ritz-Carlton in Sarasota, Florida, Oct 22-25, 2018. And plan to stay for the last session on Thursday morning, October 25, as those who are present will qualify for the drawing for a gift certificate for the Apple Store.

We are still continuing to enhance the content of the Conference, so stay turned!