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.
T+2 Settlement Cycle for Securities Transactions: What You Need to Know | May 17, 2017
AST Equity Plan Solutions' Maria Acevedo, Director, Product Management, Ralph Balzano, Director, Relationship Management, and Josh McGinn, Senior Vice President and Western Regional Relationship Manager, AST discuss the following topics: General overview, how AST is preparing for T+2, how T+2 will affect administrators and participants, and best practices on how to handle events in a shorter timeframe.
Closed-End Funds and Business Development Companies: Key Trends for 2017 | Jan 18, 2017
AST Fund Solutions' Tom Nader, Executive Vice President, Frank Maresca, Executive Vice President, James Burke, Vice President of Research and editor of CEFinsight.com, and Aneika Perez, Senior Manager, Ernst & Young discuss the following topics: Recent developments impacting closed-end funds (CEFs) and BDCs, key trends for 2017, shareholder activism in CEFs and BDCs, below NAV proposals for BDCs; fund accounting issues, and recent changes to regulation S-X.