10b5-1 Plans – Basics to Best Practices | Jun 20, 2018
SEC Rule 10b5-1 allows directors and other major insiders of publicly traded corporations, who may have access to material non-public information, to manage their equity compensation while providing an affirmative defense to potential insider trading concerns. Yet this advantageous trading plan is generally underutilized and not widely understood. Learn what 10b5-1 plans are, practical workings, benefits and best practices from our panel of experts.
Kelmar Escheatment Audit | Nov 14, 2017
In addition to providing an overview of Kelmar, internal experts along with Debbie Zumoff, Chief Compliance Officer & National Consulting Practice Leader at Keane, will discuss issues impacting audit outcomes, what is covered in the audit and share insights around participation. Topics include: An overview of the Kelmar Audit, what are the risks?, issues impacting audit outcomes, document request considerations, what is covered by the audit, and evaluating participation through AST.
T+2: Are You Ready? | Aug 16, 2017
AST Equity Plan Solutions' Maria Acevedo, Director, Product Management and Ralph Balzano, Director, Relationship Management discuss the following topics: The T+2 implementation timeline, dividend record dates around the implementation date, how to best prepare for the transition, how issuers across the industry are handling mobile participants, and penalties for defaulting on a trade settlement.