Contact:
Michele Liston
Deputy Executive Director, NICSA
508-485-1500
McLean, VA (November 15, 2012)—NICSA, leading provider of independent education and networking forums to professionals in the global investment management community, announces the keynote speaker lineup for the 31st NICSA Annual Conference to take place in Miami on February 10-13, 2013.
“The keynote speakers are a critical component of the NICSA Annual Conference, and we feel that this lineup gives attendees a tremendous opportunity for new information on critical topics that are important to all of us - both personally and professionally...” says the 2013 NICSA Annual Conference Committee Co-Chairs Karan McClimans, Vice President, TRowe Price, and Jim Nolan, Managing Director, Fund Services, Citi.
This year’s featured keynote speaker schedule includes:
In addition to these prominent speakers, the 2013 NICSA Annual Conference will feature more than a dozen breakout and roundtable sessions headed by the NICSA members, sponsors, and partners helping connect investment industry professionals to best practices.
About NICSA
NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community. It is a network of nearly 10,000 business professionals from within the investment management industry and the firms that support the industry, including mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services. The Association consists of corporate member firms with offices operating in major financial centers around the world. Membership fees are surprisingly small, yet the benefits of membership are anything but. NICSA offers the most comprehensive range of services in the industry, allowing members to learn, network and share best practices locally, nationally and globally. Visit nicsa.org
McLean, VA, March 2, 2018—NICSA announces the launch of its 2018 Strategic Leadership Forum, where over 350+ executives from across the global asset management spectrum—including asset management firms, broker dealers, and professional service providers—converged in Miami, Florida to share their insights on evolving business models within the financial industry.
Distribution and product trends take center stage at the event’s general sessions, while innovation and analytics will be a significant focus during the interactive breakout sessions. The full agenda, including an overview of the 40+ speakers, can be found on the Association’s website. The conference will feature keynote presentations by the first female U.S. Navy F-14 Tomcat fighter pilot, Carey Lohrenz, as well as Morningstar CEO Kunal Kapoor and Putnam Investments President and CEO, Bob Reynolds. NICSA’s annual Face the Membership Roundtable will feature CEOs from Thornburg Investment Management, MFS Investment Management, and Northern Trust.
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Contact:
Alyssa Gagen
Director of Social Media and Marketing, NICSA
508-485-1500
Boston, MA (September 23, 2013) -–NICSA announced the appointment of a new vice chair, George Batejan, Global Head of Technology & Operations, Janus Capital Group, and four new members to its 2013-2014 Board of Directors roster, including: Peter Poulin, Principal, Deloitte; Bob Wallace, Managing Director, Citi; Dan Houlihan, Head of Global Fund Services, North America, Northern Trust Company, and Darren Walsh, Chief Technology and Operations Officer, OppenheimerFunds.
Elected at the annual NICSA General Membership Meeting on September 20, 2013 in Boston, board members selections were made among senior-level representatives from member asset management and broker-dealer firms.
“I am excited to welcome new board members who bring a fresh, new perspective to the NICSA community,” said Theresa Hamacher, President, NICSA. “This group has the knowledge and experience that NICSA needs to maintain its position as a thought-leader within the global investment management industry while providing strategic vision and guidance for association members.”
Fred Naddaff, Managing Director, SunGard will continue to serve as the Chairman of the NICSA Board of Directors while Barry Benjamin, Partner, PwC, will continue his role as Treasurer.
If you are interested in learning more about NICSA, visit: nicsa.org for more information.
About NICSA
NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community. It is a network of nearly 10,000 business professionals from within the investment management industry and the firms that support the industry, including mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services. The Association consists of corporate member firms with offices operating in major financial centers around the world. Membership fees are surprisingly small, yet the benefits of membership are anything but. NICSA offers the most comprehensive range of services in the industry, allowing members to learn, network and share best practices locally, nationally and globally. Visit nicsa.org
MCLEAN, VA – October 30, 2017 – NICSA is pleased to announce the hiring of Justine Phoenix as Vice President – Distribution & Broker Dealer Engagement, effective October 23, 2017. Justine’s primary responsibilities will be to drive distribution & broker dealer engagement, recruit new members, and assist with content development in these areas.
“I am excited about the prospects Justine brings as NICSA grows into ‘An Asset Management Association for All’. Justine’s industry expertise and deep relationships will enable NICSA to deepen member engagement within our member firms while addressing the most strategic issues within these segments.” – Jim Fitzpatrick, NICSA President
Dan Houlihan, NICSA Chairman added, “While we will be bringing in new members and deepening our engagement across existing member firms, we will remain true to our rich history and mission to help asset management firms and financial service providers meet the changing needs of their clients and our industry by aligning and educating industry participants through:
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Mfs And Nicsa Announce Publication Of New Text On Mutual Funds
The Fund Industry, by Robert Pozen and Theresa Hamacher, is definitive guide to global industry
BOSTON (February 24, 2011) — MFS and NICSA announce that The Fund Industry: How Your Money is Managed has been published by John Wiley & Sons. This definitive guide to the worldwide fund industry is authored by Robert Pozen and Theresa Hamacher. Bob is Chairman Emeritus of MFS Investment Management and a senior lecturer at Harvard Business School; Theresa is President of NICSA and a former mutual fund chief investment officer.
The Fund Industry is a guide for mutual fund investors, explaining how they can research funds for their portfolios and evaluate their performance. It goes behind the scenes at fund management companies to explain how they select investments for fund portfolios, sell fund shares around the globe, and provide service to fund shareholders. It also reviews industry hot topics, including merger and acquisition trends, the role of mutual funds in global retirement savings plans and the growth of the European fund industry. As Don Phillips, Managing Director of Morningstar, Inc., says in his Foreword, “There’s no other book that gives readers such a thorough overview of how the fund industry operates, its evolution, its regulation, and what makes it tick.”
MCLEAN, VA – January 8, 2018 – NICSA is pleased to announce the newly appointed 2018 Executive Committee, effective December 14, 2017. The executive committee members are a subset of the full Board of Directors and provide ongoing direction regarding the association’s strategy and supports the President & CEO in executing NICSA’s mission.
“I am very pleased with the accomplished and diverse group of executives selected for the Executive Committee as NICSA continues to grow into ‘An Asset Management Association for All’. The depth and breadth of industry expertise each of them brings will enable NICSA to fulfill our mission of providing member firms and industry professionals the tools to gain industry knowledge and make informed decisions about strategic business development. I look forward to working with this talented group of professionals as NICSA extends its reach in the global asset management industry”. - Jim Fitzpatrick, President, NICSA
Wellesley, MA—June 29, 2005—The National Investment Company Service Association (NICSA) announced at the trade-association’s annual General Membership Meeting the election of a new officer, Vice-Chairman, and the election of four Directors to its Board.
Peggy Schooley, President of Evergreen Service Company was elected to the new office, Vice Chairman. Peggy joined Evergreen in 2005 from Pioneer Investments, where she was President and CEO with responsibility for the Pioneer Investment Management Shareholder Services, Inc. organization. She has over 20 years of experience in the mutual fund industry and has served for many years on the ICI Operations, Broker/Dealer, and Transfer Agent Committees and various NICSA committees. Peggy has served on NICSA’s Board since May 2003.
Also at the annual General Membership Meeting, NICSA elected the following industry executives to its Board of Directors. Each will serve for a six-year term.
New Board Members
James (Jim) Deats is a Merrill Lynch Director and Senior Vice President of Financial Data Services, Inc. Jim is responsible for managing Fund Administration, the United Kingdom Transfer Agency and Asset Transition Services (ATS), within Financial Data Services, Inc. Jim actively manages the Firm’s relationships with and operational processing for over 140 Non-Merrill Lynch Domestic Mutual Fund Companies and over 40 Merrill Lynch and Non-Merrill Lynch Offshore Mutual Fund Companies. Additionally, he manages the Transfer Agency for the Merrill Lynch United Kingdom mutual funds distributed outside of the MLPF&S distribution network. In the ATS organization, Jim is responsible for monitoring the transfer of client assets at Merrill Lynch through partnerships with over 3,000 other Financial Institutions.
Jim began his career with Merrill Lynch in 1986. He has held various positions within the organization.
Paul Heller is the Principal responsible for overseeing Vanguards Core Retail business that provides service to approximately four million clients with over $150 billion in assets. His major areas of responsibility include Client Services, Processing Services, Small Business Services and Shareholder Control. Paul has been with Vanguard for 20 years and his experience over the prior decade includes: overseeing the Institutional Defined Contribution business, the Systems Integration Division of Information Technology, and leading Vanguards Investment Only business. Prior to joining Vanguard in 1984, he worked for Mellon Bank in Philadelphia
Stephen Hooley is President and Chief Executive Officer of Boston Financial Data Services, Inc. Steve has more than 19 years of domestic and international experience in the financial services industry and specializes in the areas of strategic projects and business development.
Prior to joining Boston Financial, Steve served 11 years with State Street Corporation. In his most recent role as Senior Vice President, Steve oversaw the Deutschebank Global Security Services integration. Prior to this Steve managed the Retirement Services business for State Street. Steve’s experience also includes seven years with Texas Instruments where he was responsible for the large multi-national accounts.
Stephen Welsh is President of Columbia Funds Services, Inc. (CFSI). His scope of responsibility includes all transfer agency operational and client service functions for the $200 billion Columbia Management Group (CMG) retail and institutional mutual funds. Steve has more than 22 years of experience in the financial services industry, much of this time concentrated in mutual fund operations.
Prior to his current role, Steve was Senior Vice President with the Columbia Management fund administration division. In this role he oversaw the fund accounting and financial reporting functions for the Fleet and Columbia Common and Collective Trust Funds. Prior to this Steve held the role of SVP, Controller and Treasurer of Columbia Funds Services and was responsible for all audit, tax, budget, and treasury functions, as well as the mutual funds control group. Prior to joining CMG Steve worked for The Bradford Trust Company of Boston in their internal audit, corporate finance, and mutual fund operations divisions.
“Each of these individuals will add great expertise and industry knowledge to the NICSA Board, as well as a proven commitment to the association,” said Barbara V. Weidlich, President of NICSA. “We are fortunate to have each of these outstanding individuals join the organization’s Board.”
About NICSA
The National Investment Company Service Association (NICSA) has provided leadership and innovation in educational programming and information exchange within the operations sector of the worldwide investment industry since 1961.
NICSA membership totals more than 400 companies operating in major financial centers in the United States, Europe and Asia. The membership represents all segments of the mutual fund industry including: mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services.
NICSA’s services to members include regional meetings throughout the United States, and Europe offering a wide range of information on industry issues and developments; an annual operations conference; and specialized seminars and meetings. NICSA also offers an On-Line Learning Center featuring the Certified Fund Industry Specialist Program, the first-ever certification program of its kind.
Miami, Florida - February 18, 2008 - The National Investment Company Service Association (NICSA) announced today that Theresa Hamacher, CFA has been named President of the association, effective March 3, 2008.
"NICSA is very fortunate to have Theresa joining the organization," said Peggy Schooley, President of Evergreen Service Company and Chairman of NICSA. "We are very certain that her managerial experience, her non-profit experience and her contacts and relationships from the investment side of the business, as well as her enthusiasm for the NICSA message will strengthen our future." Schooley made the announcement before an audience of about 750 investment industry executives at the trade groups annual gathering at the Doral Golf Resort in Miami.
Theresa is the former Chief Investment Officer (CIO) for Pioneer Investment Management USA in Boston, MA, where she supervised a team of over 50 investment professionals managing more than $15 billion in global equity and fixed income assets for mutual fund and institutional clients. Previously, she was the CIO for Prudential Mutual Funds in Newark, NJ where she supervised over $60 billion in assets.
She began her career as an investment professional in 1983 and has managed portfolios with varying mandates and investment approaches. In 1984, she ran the top-performing mutual fund in the U.S., the Prudential-Bache (Tax-Managed) Utility Fund. She has appeared on "Wall Street Week".
An independent consultant and writer, Theresa is the co-author of The Pocket Idiots Guide to Investing in Stocks. She has been actively involved in not-for-profits in her community and currently serves as the President of the board of directors of The Guidance Center, Inc., a provider of developmental, mental health and family support services to children and families in Cambridge and Somerville, Massachusetts.
Theresa is a graduate of Yale College, with a major in Economics. She is a Chartered Financial Analyst.
Theresa succeeds Barbara V. Weidlich, who left NICSA in November 2007.
Contact:
Ellen Weinraub
Marketing Director, NICSA
508-683-1613
About NICSA
The National Investment Company Service Association (NICSA) is a not-for-profit trade association providing leadership and innovation in educational programming and information exchange within the operations sector of the investment industry worldwide.
NICSA membership totals more than 400 companies operating in major financial centers worldwide. The membership represents all segments of the mutual fund industry including mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services.
NICSA’s services to members include education, training and networking opportunities through conferences on a wide range of industry issues and developments, specialized publications, and access to a huge network of industry professionals in NICSAs membership directory. NICSA also offers the Certified Mutual Fund Specialist Program, the first-ever on-line learning certification program of its kind.
NICSAs website (nicsa.org) offers up-to-date information about all of the Associations programs and activities.
Contact:
Ellen Weinraub
Marketing Director, NICSA
508-683-1613
Marlborough, MA — April 9, 2009 — As the industry copes with the challenges of doing business in touch economic times, so must NICSA, a not-for-profit trade association which has served the mutual fund industry for over 47 years. “We are responding to the times”, says NICSA president, Theresa Hamacher, CFA. “We are offering new solutions to mutual fund industry professionals, but we are also holding true to our values”. That’s especially evident as NICSA rolls out it’s spring calendar of events aimed at providing free education for all aspects of investment industry operations.
We are doing a number of new things to help keep the industry informed and connected, including a series of short conference calls updating the members on hot topics, called “NICSA Now Briefings, ” webinars and networking through Linkedin. NICSA’s committees will be offering relevant educational sessions via webinars, which will be archived for members to view at their convenience. NICSA has always been known for providing high quality, independent educational content. In this environment of strained budgets and needing to do more with less, NICSA is offering more desktop delivery of programs for the industry ultimately preparing them to better serve their shareholders.
Spring webinars, which will be free to NICSA members and offered at a nominal fee to others, include:
Beginning in April, a series of NICSA Now Briefing Calls is planned to discuss the effects of changes in 403(b) Regulations.
Even in this environment, NICSA is not counting out live conferences, but they are not business as usual either. In May and June, NICSA will host shorter, local events that will keep members up to date at a very nominal out-of–pocket cost. Look for these in Denver, Kansas City, Milwaukee, Los Angeles and Boston. Information is available at nicsa.org.
About NICSA
The National Investment Company Service Association (NICSA) provides leadership and innovation in educational programming and information exchange within the operations sector of the investments industry worldwide.
NICSA was established in 1962 as a forum for operations and shareholder servicing professionals in the mutual fund industry. Today, NICSA membership totals more than 250 companies operating in major financial centers around the globe, and includes mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services.
For more information, visit nicsa.org
McLean, VA, February 13, 2017 —NICSA is pleased to announce the release of a new white paper to its member firms: Broker/Custodian Resignations, An Assessment of Firm Preparedness and Current Practices. The Department of Labor’s fiduciary rule—whether delayed, altered, or implemented in April 2017—has thrust an increased complexity onto client servicing and puts critical process development squarely at the forefront of 2017 business planning for the financial services industry.
A recent survey, developed by senior members of the Association’s Risk and Compliance and Transfer Agency Committees, was distributed among NICSA member firms to gauge current industry preparedness for a potential surge in dealer/custodian resignations and to open a dialogue about procedural development. The results of the survey informed this white paper and are presented with the intention of illuminating the issues, highlighting the implications, and helping those affected to make better-informed decisions using the perspectives of their industry peers.
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