PROGRAM HIGHLIGHTS
President’s Remarks: Charlie Rossi, STA President, will discuss recent and ongoing STA initiatives, with emphasis on the approaching requirement of DRS eligibility and the industry discussions about potential changes to the annual meeting and proxy process. The STA has been very active in industry discussions this year. This session will bring you up to date.
Keynote Address: The STA is proud to present Mike Hourigan, a speaker who is both entertaining and informative. Known as the “workplace commentator” Mike delivers valuable insight on dealing with change in the workplace, telling corporate and association audiences what they need to know to keep afloat in the swirling waters of change. An energetic communicator, he provides solutions from his well-rounded viewpoint, as an “insider” in management. Mike is a Certified Speaking Professional, (CSP), the highest earned accreditation given by the National Speakers Association, and his delivery is funny, to the point, and profound.
Anti-Money Laundering (AML): Thomas C. Bogle, an attorney with Dechert LLP, will give a presentation on AML geared toward the specific duties of transfer agents. Mr. Bogle is a noted authority on AML matters, and has consulted numerous participants in the financial services industry on this subject. He has written a variety of articles on securities law and AML topics, and is regularly quoted by major financial publications on AML matters. Confused about your organization’s obligations under the Bank Secrecy Act, USA Patriot Act or OFAC? You won’t want to miss this session and the chance to become more informed.
DTC Update on Dematerialization: Joe Trezza, Vice President and Senior Product Manager for the Depository Trust Co. (DTC) will provide an update on the status of DRS, the migration of listed issues to FAST, the effort to add new agents to FAST and more. With January 1, 2008 just around the corner (when all listed issues will need to be DRS eligible), you can’t afford to miss this update from DTC.
Proxy and Annual Meeting Issues: The SEC and NYSE Euronext are considering very substantive issues around the current practice regarding proxies and annual meetings. We have assembled a panel of experts on this subject: Betsy Murphy from the SEC, Steve Walsh from NYSE Euronext, and Jim Parsons from ExxonMobil to keep you up to date on anticipated changes. Do not miss this session!
SEC Update: Hear from Susan Petersen, Special Counsel, Division of Market Regulation, about what is on the Commission’s agenda for this year and the next. What is the status of the new transfer agent regulations? This session will keep you up to date on the regulations that will impact your business.
Transfer Agent Liability: Mark Harmon, a partner in the New York law firm of Hodgson Russ LLP is back again this year, as mandated by our feedback forms! Mr. Harmon will discuss actual transfer agent litigation case studies and recent court decisions to assist agents in identifying situations of potential exposure and developing strategies to help agents reduce the risk of litigation and financial loss. Mr. Harmon spoke on related topics at last year’s conference and received high ratings from attendees with requests for another session this year.
Open Forum: Back by popular demand, this session is your chance to talk about the issues of the day, in an informal, off the record session. Share your concerns and hear what others are doing to solve similar problems. The agenda is created by the attendees and nothing is off limits. This session has been consistently popular and has engendered some controversial discussion.
NYSE Update: Steve Walsh, Vice President of NYSE Euronext will give an update on current initiatives at the Exchange. He will also discuss progress toward dematerialization.
DRS Guidelines Panel: Here is your chance to learn some DRS operational know how and tips from this panel of industry experts. Katie Sevcik, Senior Vice President of Wells Fargo Shareowner Services, Donna Fremgen, Vice President of Securities Processing at Merrill Lynch, and Kevin McCosker, Vice President responsible for ACATS and account transfer systems development at Pershing will share their knowledge and expertise on the operational aspects of the DRS process. Since Jan 1, 2008 is approaching fast, you won’t want to miss this opportunity.
Fraud Prevention: Online fraud and ACH fraud continue to plague our members. Hear concrete examples of strategies that you can use to combat these, and other types of fraud. Debbie Seidel, Vice President, T Rowe Price, Angela Ponte, Vice President, Wells Fargo Shareowner Services, and Craig Keller, Assistant Vice President with National City Bank will discuss the strategies that work
Other events: Of course, the Annual Golf Tournament is a continuing favorite at this Conference, as are the STAMP reception and dinner (Havana Nights), the luncheon with the vendors who support us, and the First Time Attendee and New Member Breakfast. So mark your calendars now and make plans to join us at The Ritz-Carlton, Naples, Florida, October 23rd-26th, 2007!
