Name: How to Utilize eSignature within NetX360®
Start: 2020-07-13T18:00:00Z
End: 2020-07-13T18:00:18.000Z
Location: BrightTALK

Topics on the agenda will include:
-  2025 FINRA and SEC Exam Priorities 
-  CAIS 2e Update

Regulatory and Compliance Webcast

The following topics will be covered during the webcast:

Zero Days to Expiration (0DTE) Options 
-  Current Controls/Restrictions Pershing has in Place
Actimize 
-  New AML Transaction Monitoring Rules
-  New Reports
Fraud Claims in the Asset Movement Space

Lisa Lewin, Director, Prime Services, BNY Pershing 
Joanna Berg, Senior Alternative Investments Specialist, BNY Advisors 
Jason Singer, Partner & Global Lead for Product Development & Innovation, Apollo 
Clint Harris, Head of Wealth Management Platforms and Institutional Consulting, Invesco 
Richard Williams, Head of Advisor Solutions, Sanctuary Securities Inc.

The Democratization of Alternatives

Francis Ryu, Director of Data Science, BNY 
Rashmi Badwe, Chief Operating Officer, TIAA Wealth Management 
Mike Demissie, Head of Applied AI and Practice, BNY 
Craig Iskowitz, Founder and CEO, Ezra Group

Using AI to Solve Real Problems

Noam Tasch, Head of Revenue, BNY Pershing X 
Mark Evans, CEO, Conquest Planning 
Mohan Gurupackiam, Chief Information Officer, Steward Partners 
Becky Gallo, Information Technology Manager, Beacon Pointe 
Bryan Kucholtz, Executive Vice President, Head of Private Wealth, Texas Capital Bank

Turning Tech Pains Into Growth Gains

Tina Nuppnau-Singh, Director, Wealth Solutions, BNY Pershing 
Chris Keller, Director, Business Services, Benjamin F Edwards 
Doug Fritz, Co-Founder and CEO, F2 Strategy 
Marianne Caswell, President, Park Avenue Securities LLC

Chasing The Ultimate Client Investor Experience

Sara Noble, Senior Director, BNY Pershing 
Michael Kollar, Chief Information Officer, Lincoln Investment Planning
Keshia Britain, Principal Consultant, Data Strategy & Governance, Continuus Technologies 
David Witter, Vice President, Director, Individual Investors Data Analytics, T. Rowe Price

Accelerate Your Enterprise Data Strategy

Jahir Chu, Senior Vice President, BNY Pershing 
Paula Campbell Roberts , Chief Investment Strategist, KKR & CO, Inc. 
Bob Savage , Head of Markets Strategy and Insights, BNY 
Franco Uccelli, Head of Macro Research and Strategy, Bulltick

Securing Stability in LatAm and the Global Economy

John Berglowe, Head of Investor Experience, BNY Pershing
Keith Urban, Global Superstar, Four-time GRAMMY© winner and Two-time CMA Entertainer of the Year   
Emily Schlosser, Chief Operating Officer, BNY Pershing
Ben Harrison, Managing Director and Head of Wealth Solutions, BNY Pershing

Keynote Session 4

Farayi Chimbangu, Head of Business Development, BNY Pershing X
Ben Harrison, Managing Director and Head of Wealth Solutions, BNY Pershing
Shannon Eusey, Chief Executive Officer, Beacon Pointe Advisors
Lauren Seidman, Managing Director, Stone Point Capital
Jimmy Zhao, Partner & Head of North American Retirement Practice, McKinsey & Company 
Marianna Lopert-Schaye, Managing Director and Global Head of Strategic Partnerships & Innovation, BNY

Keynote Session 3

Evan LaHuta, Managing Director, Head of Service Experience, Wealth Solutions, BNY Pershing
Carol Massar, Anchor, Bloomberg Businessweek TV and Radio
Hanneke Smits, Senior Executive Vice President and Global Head of Investment Management, BNY
Jenny Johnson, President and Chief Executive Officer, Franklin Templeton
Michael Demissie, Head of Applied AI and Practice, BNY
Michael Abbott, Senior Managing Director, Global Banking Lead, Accenture
Bridget Engle, Chief Information Office and Global Head of Engineering, BNY

Keynote Session 2

Ben Harrison, Managing Director and Head of Wealth Solutions, BNY Pershing
Jim Crowley, Senior Executive Vice President, Global Head of Pershing
Emily Schlosser, Chief Operating Officer, BNY Pershing
Ainslie Simmonds, President, Pershing X and Global Head of Strategy, BNY Pershing
Brian Ronayne, Executive Vice President, National Sales Director, Liquidity Management Division, Federated Hermes
Fawn Weaver, American Entrepreneur, Historian, and Author
Christina Townsend, Managing Director, Head of Relationship Management, Wealth Solutions, BNY Pershing

Keynote Session 1

The following topics will be covered during the webcast:
     
Actimize AML Transaction Monitoring Platform Developments 
- New Actimize Rules
- Training Videos
- Actimize Reports

FINRA 4210 Amendments to Covered Agency
- What is a Covered Agency
- When Does it go into Effect
- Dashboard and Reports Available

FINRA 606(a) Requirement
- Assigning a SAA to Upload 606(a) Reports to a Central Repository 

T+1 Readiness Updates
- Compliance
- Affirmation and Trade Reports

Regulatory and Compliance

The following topics will be covered during this webcast:

T+1 Readiness:
- Compliance Update
- Considerations
- ID Confirm Reports and Enhancements
- Trade Reports
- Foreign Exchange Impact
- Margin Impact

SEC and FINRA Exam Priorities for 2024:
- Overview
- AML Observations from the SEC and FINRA
- Trade Surveillance
- FINRA CAT CAIS
- Fraud

Topics covered during the webcast include:
- Asset Movement Fraud Trends
- Options Risk and the Increased Interest in Zero-Dated Options
- Impact of T+1 on Procedures

The countdown to T+1 settlement is on, and BNY Mellon’s Pershing would like to help you prepare for the big event. Join us for a special webcast featuring Bob Walley, Principal for Financial Services at Deloitte, who is leading the effort with SIFMA for industry readiness. Bob will be on hand to address your questions on how to prepare for the T+1 transition.

T+1 Ask the Expert

Sponsor Introduction: Dreyfus (John Tobin, Chief Information Officer, Dreyfus)
One on One with Earvin “Magic” Johnson (Moderator: Jim Reynolds, Founder, Chairman and Chief Executive Officer, Loop Capital and Magic Johnson, Basketball Legend, Chairman and Chief Executive Officer, Magic Johnson Enterprises)
Closing Remarks (Jim Crowley, Chief Executive Officer, BNY Mellon | Pershing and Emily Schlosser, Chief Operating Officer, BNY Mellon | Pershing)

Moderator: Jay Chu, Vice President, Wealth Solutions, BNY Mellon | Pershing
Rafael Benrey, CFA, CAIA, Co-Chief Investment Officer, Investment Placement Group
Roque Calleja, Managing Director, Head of BlackRock Alternatives Distribution for LATAM, BlackRock
Wes Sturdevant, Managing Director, Head of Enterprise Solutions LATAM, iCapital

The Outlook for Private Markets in Latin America

Want to save time and energy when onboarding clients? Streamline the process with BNY Mellon | Pershing's integrated eSignature solutions. 

Scott Mandel, Product Manager at Pershing provides an overview and demonstration of eSignature's capabilities on NetX360®.

How to Utilize eSignature within NetX360®

Pershing

Welcome to the US financial advisor community on BrightTALK. Join the community to learn alongside thousands of financial advisors and registered investment advisors. Access relevant and timely content on investment products and strategies, regulations and compliance and the market landscape. You can also find practice management insights on topics such as client acquisition and retention, life planning, marketing and social media best practices.

US Financial Advisors

The accounting and finance community on BrightTALK features presentations from leading accountants and finance professionals. The accounting community includes tax planning strategies, QuickBooks webinars and other accounting webinars, while the finance community features presentations on financial capital regulations and forensic data analytics. Join the conversation by attending live financial and accounting presentations and connecting with industry thought leaders.

How to Utilize eSignature within NetX360®

Presented by

About this talk

Pershing Webcast Series