2014 Annual Conference Detailed Agenda 2014 SSA Annual Conference July 15-18, 2014 Omni Interlocken Resort, Broomfield, CO Tuesday, July 15 Noon - 5:00 pm Registration/Information Desk (Lobby Court) Noon - 5:00 pm Hospitality Suite (Terrace) 5:00 pm - 6:00 pm Cocktail Hour with First Time Attendees – by invitation only (Pavilion/Lawn) 6:00 pm - 10:00 pm Welcome Reception and Dinner (Pavilion/Lawn) Wednesday, July 16 7:30 am - 2:30 pm Registration/Information (Interlocken Foyer A/B) 7:30 am - 9:00 am Continental Breakfast & Exhibits (Interlocken A) 8:30 am - 10:15 am Morning Session (Interlocken BCD) Welcome: Joan DiBlasi, SSA Conference Coordinator, Aflac Incorporated SSA Update: Patrick Burke, SSA President, AIG Guest Speaker: John Sileo, America's Top Identity Theft Expert. His mission is to keep what happened to him, the loss of $300,000, his business and two years of his life, from happening to you. Shareowner Engagement: Moderator and Speaker: Katie Sevcik, Wells Fargo Speakers: Hannah Ashdown, BP; Joe Leinhauser, JP Morgan Shareholder engagement is high on the list of a solid corporate governance program. Referred to as the bread and butter of the investor relations officer, shareholder engagement is not just a U.S. corporate issue, but also is key to 1 2014 Annual Conference Detailed Agenda corporations across the globe. Our guest speaker, Hannah Ashdown of BP will enlighten us on the measures BP has taken in the U.K. to increase shareholder engagement as well as the strategies they continue to develop with JPMorgan, their U.S. DR Depositary. 10:15 am - 10:45 am Networking Break & Sponsor Exhibits (Interlocken A) 10:45 am - Noon Morning Session Continues (Interlocken BCD) Abandoned Property: Moderator and Speaker: Karen Danielson, The Coca-Cola Company Speakers: Jennifer Borden, UPRR; Val Jundt, Keane; Paul Griffith, Computershare Back by popular demand, the subject matter experts will give an update on the landscape of the abandoned property arena. Hear from a Transfer Agent and Issuer who have been through an aggressive security audit and the outcome. Noon - 1:00 pm Networking Lunch & Vendor Exhibits (Interlocken A) 1:00 pm - 2:30 pm Afternoon Session - Pick your Session! Option 1: New Attendees with Experts (Interlocken C): Moderators: John Buonomo, AST; Joan DiBlasi, Aflac New to the shareholder services industry? Let us educate you on the basics and help you identify where to get answers to your questions throughout the year. Option 2: Open Forum (Interlocken D): Moderator: Jackie Walding, Prudential What's on your mind or keeps you up at night when it comes to Shareholder Services? Come listen and share your thoughts and experiences related to our industry. Based on comments from last year's attendees, this session has returned by popular demand and moved to the first day of the conference. You can expect to hear and learn about important topics that affect you daily. 2:30 pm On Your Own 2 2014 Annual Conference Detailed Agenda Thursday, July 17 7:30 am - 4:00 pm Registration/Information (Interlocken Foyer A/B) 7:30 am - 9:00 am Colorado Classic Breakfast (Interlocken A) 8:30 am - 10:30 am Morning Session (Interlocken BCD) Issuer Risks/Liabilities: Moderator: Todd May, Wells Fargo Speakers: Mark Harmon, Hodgson Russ LLP; Jonathan Klein, Broadridge Information Security Group The risks and liabilities facing corporations today appear to be ever increasing. This panel will discuss risks and related liabilities and give issuers guidance on how to mitigate the risks. In addition, learn what additional steps transfer agents are taking to protect issuers. Regulatory Update: Moderator: Patrick Burke, AIG Speakers: Moshe Rothman, Eric Garvey, SEC Representatives from the SEC will provide an update on changes to industry regulations and discuss potential regulatory changes that will have an impact on your companies. This is your opportunity to hear from and ask these representatives questions on the rules and regulations. 10:30 am - 10:45 am Networking Break (Interlocken A) 10:45 am - Noon Morning Session Continues (Interlocken BCD) Dematerialization: Moderator and Speaker: Kevin Burns, Computershare Speakers: Jon Ciciola, Clare McMorrow-Castro, Viacom The industry had a wake-up call in the aftermath of hurricane Sandy with $1 trillion in certificates damaged and unavailable for settlement due to the flooding in DTCC’s vault. Our panelists will review the efforts to replace the damaged certificates and discuss the new Cross Stakeholder Forum’s activities to pursue 3 2014 Annual Conference Detailed Agenda potential solutions, including restricted shares. The recent recommendation for a T + 2 settlement also points to the need to eliminate the physical certificates. Noon - 1:30 pm Lunch (Interlocken A) 1:30 pm - 3:00 pm Afternoon Session (Interlocken BCD) Proxy Contest and Shareowner Activism: Moderator: Chris Dowd, Georgeson Inc. Speakers: Scott Winter, Innesfree; Charles T. Haag, Jones Day; Jared Brandman, The Coca-Cola Company The first portion of this session you will meet Larry the Liquidator an arrogant, greedy, self-centered, ruthless business man in the showing of “Other People’s Money”. Your time invested watching this clip will be amply rewarded as you understand the mind of a corporate activist. The second half of this session, panelists will discuss the clip and relevant real life experiences in recent proxy seasons. From shareholder proposals, withholding or voting against director nominees to full blown proxy battles. Who are these shareholder activists? Should companies be concerned about governance gadflies, hedge funds and other activist? Are they a boon or bane for shareholders? What has been the effect of shareholder activism on the operation of corporations and executive compensation? If targeted by shareholder activism, how should a company react and what are the best practices? Whether it is an activist proposing a shareholder proposal or the Barbarian’s at the gate looking to topple management-the panel will discuss all these issues and how a company should be prepared. 3:00 pm - 6:30 pm Free Time 6:30 pm - 7:30 pm Reception (East Lawn) 7:30 pm - 10:00 pm Awards Dinner (Interlocken BCD) Friday, July 18 7:30 am - 11:30 am Information Desk (Boardroom) 4 2014 Annual Conference Detailed Agenda 7:30 am – 9:00 am Buffet Breakfast (Pavilion/Lawn) 8:30 am - 11:00 am Morning Sessions (Centennial Ballroom) Partnering with your Transfer Agent: Moderator: Abby Spriggs, TSYS Speakers: Carin L. Fike, The Kroger Co. & Matthew D. Paseka, Wells Fargo Shareowner Services; David B. Gail, Weil, Gotshal & Manges, LLP & Alexandra M. Albrecht, American Stock Transfer & Trust, LLC; Jackie Walding, Prudential; Thomas A. Ferrari, Computershare Issuer-Transfer Agent Communications: How to communicate an event and formulate a strategic solution. Relationship Managers from Computershare, Wells Fargo and AST and each perspective Issuer discuss significant events within their industries and how they were able to formulate a communication plan with productive and strategic solutions. RFPs - What you need to know! Moderator: Jack Sunday, Group Five Speakers: Beth Grundzinski, AST; Wayne Vetter, SCANA This blockbuster panel will identify and discuss the critical success factors of the RFP process. Based upon real-life experiences, the panelists will provide insights from the issuer, transfer agent, and industry consultant perspectives. This session will provide answers to such questions as: what are the major steps in the RFP process, what are the key components of the RFP document and what should they contain, what are the biggest mistakes issuers make in preparing RFPs, what are the biggest mistakes service providers make in responding to RFPs, how long should the process take, who should be involved and many other interesting questions. Conference Wrap-up and Introduction of 2015 Conference Chair 11:00 am Conference Closes; See You Next Year! We will not have a scheduled break on Friday morning, but refreshments will be available in the Centennial Foyer throughout the morning. 5
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