Blogs

Content  /  Blog
Nicsa | Nicsa Releases 2019 Reference Guide for Transfer Agent Compliance Standards

Nicsa Releases 2019 Reference Guide for Transfer Agent Compliance Standards

By Nicsa posted Dec 04, 2019

Washington D.C. –April 9, 2019. NICSA announced today the release of the 2019 NICSA Transfer Agent Compliance Guide. The guide provides members of the global asset management industry with a onestop, comprehensive resource of current compliance updates and standards as they relate to the transfer agent function.

NICSA’s Transfer Agent Committee, which meets regularly to monitor and discuss trends in mutual fund transfer agent operations, compiled this centralized listing of laws, rules and regulations applicable to mutual fund transfer agents as a service to the transfer agency community. Reed Smith, a global law firm and a long-time NICSA member, vetted the citations identified by the Committee and authored Chapter introductions. The guide was produced by Donnelley Financial Solutions (DFIN), a leading global risk and compliance company and active NICSA member.

Jim Fitzpatrick, President of NICSA, stated, “NICSA’s mission is to provide a platform for industry participants to collaborate and advance best practices, and the NICSA Transfer Agent Compliance Guide is a great example of our mission statement in action. Serving as an educational resource, it leverages the depth of expertise within one of NICSA’s longest standing committees, the TA Committee. We’re very pleased to partner with Reed Smith LLP and DFIN – two thought leaders and highly regarded NICSA members – to provide this valuable benefit to our membership.”

Read the Full Press Release »

#PressRelease
#PR-TechandOps
#PR-Compliance​​
#Operations

Read More Blogs from Nicsa

Private Markets Committee Highlights Key Focus Areas Shaping the Industry

Authored by Sarah Walter, Head of Asset and Wealth Management Relationships at Nicsa Private markets continue to play an increasingly central role in asset and wealth management strategies, driven by investor demand for differentiated return streams, income, and diversification. Nicsa’s Private Markets Committee convenes senior leaders from across asset management, wealth platforms, distribution, technology, and professional services […]

Governance Isn’t Glamorous, But It’s What Makes AI in Finance Work

Nicsa's Innovation & Technology Strategy Committee, comprising executives in the asset and wealth management community, presents the following insights around AI implementation:   Artificial Intelligence is no longer a side experiment in financial services. In asset and wealth management, it is quickly becoming strategic infrastructure. Firms are using AI to streamline client reporting, automate compliance […]

Global AI Advisor and Former OpenAI Executive Zack Kass to Keynote Nicsa’s 2025 Asset & Wealth Management Summit

Get ready to look ahead.Nicsa has invited Zack Kass— Global AI Advisor and Former Head of Go-To-Market at OpenAI—to deliver the keynote address at the 2025 Asset & Wealth Management Summit, taking place November 11–12, with the keynote on Wednesday, November 12. As the asset and wealth management industry continues to navigate the transformative power […]
Copyright 2025. All rights reserved.

Website Design By Branophia LLC

LinkedIn IconMail Icon
magnifiercrossmenuchevron-down