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.