The Asset Managers Forum's
Corporate Actions Workshop
Thursday, September 22, 2005
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Global Financial Markets Conference Center
360 Madison Ave., NYC
9:00 am - 4:30 pm
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Four Seasons Hotel Newport Beach
690 Newport Center Drive
Newport Beach, CA
7:30 am - 2:30 pm
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PROGRAM: NEW YORK (EST)
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| 9:00 - 10:00 a.m. |
Registration / Continental Breakfast & Vendor Exhibits
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| 10:00 - 10:15 a.m. |
Welcome & Overview of the Agenda
Lisa Ilaria, AMF Steering Committee Member
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| 10:15 - 10:45 a.m. |
Featured Speaker
Linda Bookheim, SWIFT
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| 10:45 - 11:00 a.m. |
Refreshment Break & Vendor Exhibit
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| 11:00 - 12:00 noon |
Corporate Actions Currrent Custodian Model and Risks
This panel will address the processes and risks currently employed today by the custodians and how these elements impact the Investment Management community. In addition, the panel will address how standardization in the front office could assist the community in reducing risk downstream.
Moderator: Lisa Ilaria – AMF Steering Committee
Panelists:
Tina Davis, Mellon Global Securities Services
Other Panelists TBA
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| 12:00 - 1:00 p.m. |
Corporate Actions Current Investment Manager Model & Risks
This panel will discuss how the lack of standards prevents firms from automating their current process. The panelists will also speak of the risks firms are currently subjected to and offer ideas on what the industry and vendors can do to standardize the process.
Moderator: Brian Conway, Prudential Investment Management
Panelists:
Christopher Blume, Robeco Investment Management
Anthony Braaksma, SSIMS
David Brownson, SSIMS
Kurt Dodds, BlackRock Investment Management
Elizabeth Krow, BlackRock Investment Management
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| 1:00 - 1:15 p.m. |
Luncheon Break/Vendor Exhibit
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| 1:15 - 2:00 p.m. |
New York Luncheon Speaker
Deborah Mercer-Miller, Citigroup
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| 2:00 - 3:00 p.m. |
Corporate Actions Solutions
Vendors in the corporate actions space will describe what solutions exist today in response to the challenges discussed in the previous panel.
Moderator: Lorraine Morrison, DTCC
Panelists:
Kevin Cullen, Information Mosaic
Peter Lokuta, Xcitek
Krishnan Mele-Narippatta, TATA Consultancy
Barry Raskin, Telekurs (USA) Inc.
Peter Smith, DTCC
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| 3:00 - 3:15 p.m. |
Refreshment Break/Vendor Exhibit
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| 3:15 - 4:15 p.m. |
SEC Class Action Issues
This panel will address Class Action Filings written for lawyers not operations (CUSIPs not listed, filing period not well defined), and who from the firm should be involved in the filing process (legal, compliance or operations). The panel will also discuss the apparent lack of market practice relating to class actions and the fact that there currently is no uniform filing process.
Moderator: Michael Stern, Morgan Stanley Investment Management
Panelists:
Bruce Carton, Institutional Shareholder Services, Inc.
John Dougherty, Morgan Stanley
Deborah Mercer-Miller, Citigroup
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| 4:15 - 4:30 p.m. |
Closing Remarks, Lisa Ilaria, AMF Steering Committee
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| 4:30 - 5:30 p.m. |
Networking Reception
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PROGRAM: CALIFORNIA (Pacific Time)
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| 7:30 - 8:00 a.m. |
Registration, Continental Breakfast
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| 8:00 - 9:00 a.m. |
Corporate Actions Current Custodian Model and Risks
This panel will address the processes and risks currently employed today by the custodians and how these elements impact the Investment management community. In addition, the panel will address how standardization in the front office could assist the community in reducing risk downstream.
Moderator: Lisa Ilaria, AMF Steering Committee Member
Panelists:
Tina Davis, Mellon Global Securities Services
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| 9:00 - 10:00 a.m. |
Corporate Actions Current Investment Manager Model and Risks
This panel will discuss how the lack of standards prevents firms from automating their current process. the panelists will also speak of the risks firms are currently subjected to and offer ideas on what the industry and vendors can do to standardize the process.
Moderator: Brian Conway, Prudential Investment Management
Panelists:
Christopher Blume, Robeco Investment Management
Anthony Braaksma, SSIMS
David Brownson, SSIMS
Kurt Dodds, BlackRock Investment Management
Elizabeth Krow, BlackRock Investment Management
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| 10:00 - 10:15 a.m. |
Refreshment Break
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| 10:15 - 11:00 a.m. |
The Need for Standardization
Deborah Mercer-Miller, Citigroup
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| 11:00 - 12:00 p.m. |
Corporate Actions Solutions
Vendors in the corporate actions space will describe what solutions exist today in response to the challenges discussed in the previous panel.
Moderator: Lorraine Morrison, DTCC
Panelists:
Kevin Cullen, Information Mosaic
Peter Lokuta, Xcitek
Krishnan Mele-Narippatta, TATA Consultancy
Barry Raskin, Telekurs (USA) Inc.
Peter Smith, DTCC
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| 12:00 - 12:15 p.m. |
Luncheon Break
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| 12:15 - 1:15 p.m. |
SEC Class Action Issues
This panel will address Class Action Filings written for lawyers not operations (CUSIPs not listed, filing period not well defined), and who from the firm should be involved in the filing process (legal, compliance or operations). The panel will also discuss the apparent lack of market practice relating to class actions and the fact that there currently is no uniform filing process.
Moderator: Michael Stern, Morgan Stanley Investment Management
Panelists:
Bruce Carton, Institutional Shareholder Services, Inc.
John Dougherty, Morgan Stanley Investment Manager
Deborah Mercer-Miller, Citigroup
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| 1:15 - 2:15 p.m. |
Featured Speaker
Linda Bookheim, SWIFT
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| 2:15 - 2:30 p.m. |
Closing Remarks
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| 2:30 - 3:30 p.m. |
Networking Reception
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For more information please call Diane Trupia at 646.637.9270.
Registration Information
Registration Fees:
$375 Members of AMF and TBMA
$475 Non-member
Refund Policy: The Association will issue refunds, each subject to a $75 service charge, on cancellations received in writing on or before Thursday, September 15, 2005. No refunds will be issued on cancellations after this date. Substitutes are welcome at any time.
If you have any questions, please call Susan Weiss at 646.637.9293.
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