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2017 Annual Conference

Forward Into The Future!


STA Annual Conference Highlights 2017


President’s Remarks:    

STA President, Todd J. May, will discuss recent and ongoing STA initiatives, and will describe our continuing participation with industry groups that will have led to the implementation of a shortened settlement cycle, (T+2), in September of this year. 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. He will discuss recent conversations with SEC Commissioners as well as meetings with new and existing senior staff at the Commission, now that the new Administration in Washington has named Jay Clayton as SEC Chair. The STA continues to closely follow the SECís thoughts on the timing of the revision of the transfer agent rules and other rulemaking that could impact transfer agents and will keep members advised. 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 Trading and Markets, and Eric Garvey, 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 status of the transfer agent rules revision; you wonít want to miss it.

Cyber Security:  

Cyber Security is one of the major challenges and risks for enterprises as the business continues to expand into new, digital areas for growth and expansion, which causes strain on the traditional IT-business interaction. We are happy to present Charlie Jacco, Principal in the New York office of KPMG LLPís Advisory Services practice, and U.S. Cyber Security Services Financial Services Industry Lead, who will discuss specific challenges the financial services industry faces with cyber security and what is being done to overcome them. This is your opportunity to become more informed about the trends across the industry, and learn best practices about how FSIís are focusing on cyber risk and finding better ways to collaborate between IT and the business.

DTC Update:  

Mike Ames, Executive Director of Global Operations and Client Services at DTCC, will provide an update on DTCC initiatives, with insight into new technologiesĖ blockchain, cloud and robotics, along with the many initiatives affecting our industry, such as the shortened settlement cycle, that are changing the landscape of financial services. He will discuss current and future DTCC initiatives, including how these emerging technologies are disrupting the business enterprise, reshaping how work is conducted, driving cost savings and modernizing its infrastructure.

All About Blockchain: 

In addition to DTCC, some of the larger members of the STA are beginning to look at uses for this new and exciting technology, as is the State of Delaware. A recent article speculates that this technology may allow private companies to transmit stock ownership via blockchain, and thus raises the possibility of cutting out intermediaries who were once necessary to make transmitting stocks quick and easy. Instead, investors would be able to directly own shares, vote or elect a proxy of their own choosing and transfer shares directly to other investors. Hear our larger membersí perspective on what the industry can expect to see and the potential pitfalls to be avoided.

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, legislative issues, 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 in 2016, and industry efforts to educate the states and combat the use of inactivity as a standard for escheatment.

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 and Small Agents Committee Chair Kara Kennedy for refreshments and informal discussions on todayís most pressing issues. Donít 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, Wells Fargo, will be joined by a Co-Chair of our newly created Debt Securities Committee, Kristen Moore, from Christiana Trust, 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 Thursday night, 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 Eau, in Palm Beach, Florida, Oct 23-26, 2016. And plan to stay for the last session on Friday morning, October 28, 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!