2018 Annual Conference Recap

​SSA Annual Conference July 2018
Newport Beach, CA


Wondering What You Missed?


Networking events
  • Various opportunities to network with your peers and meet those new to the industry.  Exhibitors were available during meals and breaks.
  • Congratulations to those members who earned their certificate.
Proxy Fight
  • A Corporate Issuer, Attorney and Information Agent shared their thoughts regarding a proxy fight. The Bottom Line - Be prepared-don’t wait for it to happen to you.
Best Practices for Evaluating Your TA Call Center
  • Issuers & TA’s shared important facts to consider when evaluating your call center and representatives. The phone is still the number one method of shareholder contact.
Open Forum
  • Previously submitted and new questions on many TA/Issuer items were brought up with group discussions.  Always a big hit among the attendees.
SEC Regulatory Updates
  • Key areas of focus discussed include Risk Assessment, looking at TAs annually, update TA forms to provide comprehensive information, 17AD12 updates, current record keeping requirements, and what the TA’s are doing regarding cyber security.
RFPs, Contracts & Service Level Agreements
  • You stand to lose by not doing an RFP- Missing cost savings opportunities. It is important to work with procurement, but they don’t own the process nor do they live with the results.
Unclaimed Property Audits
  • Panelists shared audit trends, use of SSN data, thoughts on account data provided to auditors, discussed inactivity and RPO as well as electronic contact. Share some thoughts on what they could expect next.
Market Updates
  • This panel allowed significant industry organizations to give an update on requirements, recent changes and areas being explored for their respective entities.  OTC covered the different trading markets and requirements.  NASDAQ discussed some areas that they are exploring in terms of rule changes.  DTCC spoke about the success of T+2 project and their planned underwriting re-platforming. The panel ended with a discussion on shareholder recordkeeping on a distributed ledger using Blockchain technology and Securities Token Offerings.
Think Outside the Box – No Box Required (So we went outside for this event)
  • Four Topics: Records retention, Unclaimed Property Reporting, new ways of doing business and The SSPC exam were all presented in an interactive Q&A setting.
Current & Trending Proposal Topics for Proxy Season
  • An update on this year’s trending topics for shareholder proposals and an in-depth look on which ones are becoming increasingly successful. It also covered what the hot topics for proxy season were, and where asset managers stand on these issues.
Unclaimed Property
  • Statistics shared by both Texas and California State Representatives on funds claimed by state and returned to shareholders as well as holding times prior to liquidation of shares. California shared some input on what is the Date of Last Activity when it comes to delivery of mail. 
Cybersecurity & Emerging Technologies
  • Companies need be ready and have a cyber response plan and ensure it contains who to contact & how to execute a response. Regulators & shareholders need prompt notification.
Whale watching cruise
  • A beautiful time was had by all capped off with seeing a rare blue whale and many dolphins.
All of this took place in beautiful Newport Beach, California.
Conference Testimonials
“Very informative, timely topics, quality speakers/presenters.”
“This conference was AMAZING!!!”
“The SSA conference is the best industry conference for issuers/shareholder services professionals.”
“Great education for membership and the conference was well run.  Keep up the great work!”
“The conference is very well organized with solid content and great people.”
“This is a great conference every year!”
Don’t miss our next conference, July 16-18, 2019 in Annapolis, MD
Information to follow in the coming months

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