| Presentations |
Sessions |
|
Ellyn McColgan
Co-Chair, SIFMA Board of Directors
President, Distribution and Operations
Fidelity Investments
|
|
DTCC: A Look Ahead
Donald F. Donahue
President & CEO
Depository Trust & Clearing Corporation
|
| |
| The Revolution in Corporate Governance and Proxy Processing
|
| PDF |
Richard Daly
Chief Executive Officer
Broadridge Financial Solutions, Inc. (formerly ADP Brokerage Services Group)
|
| PDF |
Noland Cheng
Chairman, Operations Committee
Managing Director
Morgan Stanley |
| |
Michael Finck
President, SIFMA Corporate Actions Division
Managing Director
Bank of New York
|
| |
Betsy Murphy
Chief, Office of Rulemaking, Division of Corporate Finance
SEC
|
| |
Annemarie Tierney
Assistant General Counsel
NYSE Euronext
|
| |
| Solutions for Offshoring & Outsourcing Challenges
|
| PDF |
Solutions for Off Shoring Panel COMBINED |
| PDF |
Adam Behar
General Counsel
ADP Clearing & Outsourcing Services, Inc. |
| PDF |
Cheryl Geremia
Managing Director, COO
Deutsche Bank Securities Inc. |
| PDF |
Grace B. Vogel
Executive Vice President, Member Firm Regulation
NYSE Regulation, Inc. |
| |
|
Bear Stearns Pricing Direct - Operational Controls in the
Valuation of Fixed Income and Derivative Securities
|
| PDF |
Bear Stearn Vendor |
| |
|
| Clearing & Introducing Firms in an Evolving Regulatory & Operational Environment
|
| PDF |
Clearing Firms |
| |
William C. Alsover
Chairman
Centennial Securities Company LLC
|
| |
Anand K. Ramtahal
Vice President
NYSE Regulation, Inc.
|
| |
Garry J. Stegeland
Executive Vice President & General Counsel
Ryan Beck & Co., Inc
|
| |
Lisa Rosenbaum
Chairperson, SIFMA Clearing Firms Committee
Senior Vice President, Senior Attorney-Clearing & Operations
Wachovia Securities
|
| |
|
| Derivatives Processing & Support
|
| PDF |
Derivatives Panel |
| |
Frank De Maria
Global Head of Derivative Client Services & Operations
Merrill Lynch
|
| |
Joseph W. Sack
Executive Vice President, Asset Management Group
Securities Industry and Financial Markets Association
|
| |
James P. Wallin
Senior Vice President
AllianceBernstein L.P.
|
| |
Janet Wynn
Managing Director
Depository Trust & Clearing Corporation
|
| |
|
| Industry Risk Controls
|
| PDF |
Industry Risk Panel |
| |
Moderator:
Marianne Brown
President & CEO
Omgeo |
| |
Panel:
David Catenazzo
Managing Director, Risk, Strategy, and Planning- Global Operations
Bank of America
|
| |
Frank De Maria
Global Head of Derivative Client Services & Operations
Merrill Lynch
|
| |
Thomas Guinan
Managing Director, Chief Credit Officer
Pershing LLC
|
| |
|
| Operational Peaks: Managing Your Infrastructure
|
| PDF |
Operational Peaks |
| |
Michael Calandra
Executive Director, Global Head of Settlement Operations
Morgan Stanley
|
| |
Norman Eaker
Principal, Operations
Edward Jones
|
| |
Jill Godsey
Vice President, Operations Service Strategy Implementation
Charles Schwab & Co., Inc.
|
| |
Robert McBey
COO
Southwest Securities Inc.
|
| |
|
| Options Evolution: Symbology Changes & Penny Quotations
|
| PDF |
SIFMA Ops 2007 Options Evolution Panel |
| |
Mark Baumgardner
Vice President
Options Clearing Corporation
|
| |
Christopher Nagy
Managing Director, Order Routing, Sales and Strategy
TD Ameritrade
|
| |
Walter Roesch
Director, US Clearing Services
Merrill Lynch
|
| |
Bruce Smith
Vice President, Technology Strategic Planning
Philadelphia Stock Exchange
|
| |
|
| Written Supervisory Controls & Procedures for Operations
|
| PDF |
Supervisory Procedures Panel |
| |
Joseph Colaizzo
Senior Manager, Operations
Vanguard Brokerage Services
|
| |
Bari Havlik
Chief Compliance Officer
Charles Schwab & Co., Inc
|
| |
Marilyn Hignett Stern
Principal, Capital Markets – Risk Technology & Operations
Deloitte & Touche LLP
|
| |
Marlo L. Karp
Partner
Deloitte & Touche LLP
|
| |
| Scivantage - Tax Compliance: The Changing Environment of Cost Basis Reporting
|
| PDF |
Scivantage Workshop |
| |
Moderator:
Adnane Charchour
President and CEO
Scivantage
|
| |
Panel:
Cameron Routh
Senior Vice President, Strategic Products
Scivantage
|
| |
Ted Jahn
Executive Director
Morgan Stanley
|
| |
Greg Vigrass
President
FOLIOfn Institutional
|
| |
The Evolution Of A Globally Designed Organization: Myth or Reality
|
| PDF |
SIFMA Globalization Panel |
| |
Moderator:
Douglas Butler
Americas Financial Markets Leader
IBM Global Business Services
|
| |
Panel:
Jon Ambos
Director, Head of Transaction Processing
Deutsche Asset Management
|
| |
Nyron Latif
Managing Director, Equities Operations
Goldman Sachs
|
| |
Larry Tabb
Founder & CEO
TABB Group
|
| |
| Account Transfers - Exceeding Client Expectations
|
| PDF |
ACATS Panel |
| |
John Cusumano
Director of PWM Operations
Mellon
|
| |
Bill Kapogiannis
Director
Depository Trust & Clearing Corporation
|
| |
Kevin McCosker
Vice President
Pershing LLC
|
| |
Kristie Thompson
Manager
Edward Jones
|
|
