Nicsa’s GMM Explores the Convergence of Wealth & Retirement
Nicsa’s 2023 General Membership Meeting featured an insightful panel discussion focused on the evolving relationship between the wealth management and retirement industries. Moderated by Bing Waldert, Managing Director, U.S. Research, Cerulli Associates, the panel featured Kevin Murphy, Senior Vice President, Head of Workplace Retirement Distribution, Franklin Templeton, Jania Stout, Senior Vice President, OneDigital | Retirement […]
Strategies for Effective Governance Explored at GMM
A recent panel discussion at Nicsa's 2023 General Membership Meeting, A Confident Board, delved into the strategies for effective governance within the asset and wealth management industry, The panel was moderated by Amy Merrill, Senior Manager, EY. Panelists included Gary Casagrande, Senior Vice President - Head of US Fund Administration, Northern Trust, Joanne Kane, […]
Two Must-see Keynotes Revealed for NICSA GMM in October
NICSA will be back at the Royal Sonesta in Boston this fall for its annual General Membership Meeting from October 17-18 to address the top issues facing asset managers and financial service providers. Here, NICSA members will have the opportunity to share time with two industry powerhouses: Fidelity’s Carolyn Clancy and Morningstar’s Kunal Kapoor. Upside & Opportunity […]
NICSA members learned about technological trends poised to transform the asset management landscape and how they can enhance the client experience during the 2018 General Membership Meeting last month. Chuck Gallant, Managing Director at BNY Mellon, moderated the panel, which featured experts from BlackRock, DTCC, and Northern Trust. Barbara O’Malley, Senior Vice President at Northern […]
From OFAC sanctions on Russian oligarchs to the U.S.’s recent withdrawal from the Iran nuclear deal, changes in global politics are making regulatory compliance an increasing challenge for firms. According to Sam Sundera, Regional Manager, West Coast Americas at SIX, there are more than 4,500 sanctioned securities listed across all global exchanges with approximately 135 […]
Ensuring Compliance with Unclaimed Property Regulations
For fund companies keeping up with a plethora of regulatory standards, unclaimed property compliance can often get lost. However, it’s important to remain educated on state escheatment laws in order to protect shareholders and minimize the risk of costly audits. Unclaimed property legislation is rapidly evolving, and financial services companies must keep up with the […]
It’s no secret that exchange-traded funds (ETFs) are becoming a significant part of the investor toolkit — and with increased adoption comes innovation. For today’s asset managers, it’s more important than ever to stay up-to-date on the latest trends shaping the ETF landscape. To that end, NICSA members received an in-depth look at ETF product […]
Pack Your Bag with Best Practices at the NICSA GMM
NICSA will be back at the Royal Sonesta in Boston this fall! Join us for the annual General Membership Meetingfrom October 11-12 to address the top issues facing asset managers and financial service providers. Hear how firms across the industry are streamlining their businesses through enhanced data analytics, evolving resource allocation, and increased focus on […]
Navigating Turbulent Changes to the Sanctions Landscape
“We’re living in a boom time for sanctions,” Stephen Brosnihan, Regional Director, Sales Support Operations for North America at SIX, told NICSA members during a recent #WebinarWednesday session. The event, in which panelists explored how to reduce operational risk in the face of evolving economic sanctions, also featured experts from Bureau van Dijk and Charles Schwab. […]
The Bottom Line: Exploring the Benefits of Wellness in the Workplace
The human element will become a critical asset in the workplace of the future, said David Atkinson, People and Organization Director at PwC, during a recent #WebinarWednesday on employee wellness. Atkinson moderated the event, which featured a panel of forward-thinking experts from Franklin Templeton Investments, Invesco, and MFS Investment Management. The session allowed attendees to […]
Nicsa Partners With Diversified Management Resources For Compliance Practices Survey
Boston - August 18, 2004. The National Investment Company Service Association (NICSA) announced today that it is partnering with Diversified Management Resources (D.M.R.) to conduct a survey to confirm the state of the securities industrys preparation for federal securities regulations that require mutual funds and investment advisers to adopt and implement a Compliance Program and […]
NICSA Honors Volunteers of the Year at 2019 Strategic Leadership Forum
Washington, D.C. – April 4, 2019—NICSA announced the recipients of its 2019 Volunteer of the Year Awards. Honorees will be celebrated at the NICSA Strategic Leadership Forum held April 3-5, 2019 at the Sawgrass Marriott Golf Resort and Spa in Ponte Vedra Beach, FL. “NICSA’s Volunteer of the Year Awards recognize the outstanding efforts of […]
