Contact:
Alyssa Gagen
Director of Social Media and Marketing, NICSA
508-485-1500
McLean, VA, August 21, 2014—NICSA, in partnership with Money Management Executive, proudly announces the winners of the 2014 NICSA/NOVA Awards, the Robert L. Gould Award, and the NICSA Lifetime Achievement Awards. These individuals and firms will be honored on September 11, 2014 in Boston at the 2014 NICSA General Membership Meeting.
OUTSTANDING SERVICE TO THE FUND INDUSTRY– ROBERT L. GOULD AWARD
Winner: Robert Tritt, Executive Vice President, DST
NICSA FUND INDUSTRY LIFETIME ACHIEVEMENT AWARD
Winner: Joan Dowd, Chief Compliance Officer, Boston Financial Data Services, Inc
INNOVATION IN BACK OFFICE OPERATIONS
Winner: Janus Capital Group, Global Technology and Operations
Honorable Mention: DST U.S. Investment Record Keeping Solutions, Alternative Investments
INNOVATION IN CUSTOMER SERVICE
Winner: OppenheimerFunds, Operations - Processing
CREATIVITY IN MARKETING OPERATIONS
Winner: Eaton Vance, Marketing Department
VISIONARY LEADERSHIP AWARD
Winner: Nancy A. Wiser, Wells Fargo Asset Management
Winner: Bob Adams, Executive Vice President, Fidelity Investments
These awards recognize outstanding service, creative, effective and operationally efficient efforts by fund companies and individuals who strive to serve clients, build business and improve overall service experiences.
“These 2014 honorees exemplify NICSA’s core values and are models for dedication, excellence, and leadership within the global investment community,” said Theresa Hamacher, President, NICSA. “We are especially proud to announce the winners of the Robert L. Gould Award and the NICSA Fund Industry Lifetime Achievement Award, two of the most prestigious awards offered to industry leaders who have gone above and beyond the call of duty within their organizations and the industry as a whole.”
Nominations were collected and winners were determined by an independent judging panel comprised of industry experts. Each submission was blindly scored to determine a winner in a number of award categories
For more information about NICSA, visit our website.
About NICSA
NICSA is a not-for-profit trade association founded in 1962 that provides the global investment management industry with discussion and education forums to better serve its customers by developing operational best practices. NICSA forums enable associates of asset managers, distributors, and service providers to collaborate to establish standards for operational best practices to assist compliance with regulations and continuously improve operating performance; stay up-to-date on the latest developments through education and information sharing; learn about trends in all types of investment vehicles, including mutual funds, hedge funds, unit investment trusts, UCITs and ETFs and connect members with peers to network and learn from each other, and foster skills that can help advance careers. For more information, visit nicsa.org
McLean, VA, October 5, 2017—NICSA announces the kick off of its General Membership Meeting, Leveraging Innovation to Drive Growth, on October 5. Leaders in the asset management industry converge in Boston to share their insights regarding developments in innovation and opportunity. Attendees will have access to diverse perspectives from all segments of the industry on key business themes, including FinTech applications, product and distribution trends, and human capital management strategies.
Keynote presentations will include Paul Schott Stevens, President and CEO of the Investment Company Institute, as well as Jeremy Gutsche, CEO of TrendHunter.com, one of the most sought-after authorities on disruptive innovation. The conference will also feature a Chief Technology Officer Roundtable, ReImagining Asset Management, where high level executives from industry innovators Eaton Vance, Morgan Stanley, and Putnam Investments will explore how financial institutions can leverage technology programs to drive growth.
Boston, MA, October 7, 2019—Leading asset management trade association NICSA is less than two weeks away from the start of its 2019 General Membership Meeting (GMM), taking place in Boston.
Each year, the GMM brings together innovative and forward-thinking asset management industry leaders for robust discussions on the topics shaping the space. On October 17, experts from across each of the key disciplines in the fund business will be arriving in Boston to share thoughts on emerging technologies, navigating the regulatory landscape, and staying ahead of the rapid pace of change in asset management.
“The asset management industry is undergoing a period of tremendous change and now, more than ever, it is important for participants across all facets of the business to connect and help advance best practices,” said Jim Fitzpatrick, President and CEO of NICSA. “We have an exciting program planned for the GMM and I look forward to all of the compelling discussions and actionable next steps/strategies that will help move our industry forward.”
Washington, D.C. – June 4, 2019 — The Diversity Project North America, an initiative sponsored by NICSA, is today announcing the hiring of its first full-time leader, Jylanne Dunne, as well as a number of additions to its list of founding members and the launch of five operating committees to execute several short-term objectives.
NICSA, a not-for-profit trade association that connects global asset management industry participants, sponsors the Diversity Project and oversees its mission of accelerating progress toward a more inclusive and diverse asset management industry.
The number of participating firms has grown from a total of 14 to 30 since October 2018, when the Diversity Project North America was launched. Since October, founding members have appointed a CEO Advisory Council to provide strategic leadership, and an Executive Steering Committee to drive execution of initiatives. The two governing bodies have identified and launched five operating committees to lead the tactical implementation of the Diversity Project’s short-term mission-critical objectives. They include:
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Contact:
Ellen Weinraub
Marketing Director, NICSA
508-683-1613
Boston, MA—May 20, 2010—NICSA announced, at the trade-association’s annual General Membership Meeting, the election of Michael J. Woodall, Managing Director, Mutual Fund Shareholder Services of Putnam Investments as Chairman of its Board of Directors.
Michael Woodall is Managing Director and Head of Mutual Fund Shareholder Services, for Putnam Investments, where he is responsible for providing an array of client services to retail advisors, broker dealers and shareholders. Under Michaels leadership, Putnam has been recognized across the industry for its award-winning service and dedication to clients and investors. Prior to his current role, Michael led Putnams Enterprise Services and Business Planning and Development. A 25-year financial services industry veteran, Michael serves on the ICI Operations Committee and the DTCC Wealth Advisory Board. He has served on NICSA’s Board of Directors since 2005.
“I am very honored to be assuming this important industry leadership role. Under the thoughtful stewardship of President Theresa Hamacher and outgoing Board Chair Maureen Leary-Jago, NICSA has been able to redefine its operating model and further increase its relevance to the asset management business," said Woodall. "We have a tremendous opportunity to even further strengthen the presence and role that NICSA plays in championing the operational and service excellence of our industry and I look forward to working with the staff and board toward that end.”
Nimish S. Bhatt, Senior Vice President & Director of Operations of Calamos Investments was elected Vice Chairman. Nimish is responsible for accounting, operations and administration of open-end funds, closed-end funds, hedge funds, UCITS, separately managed accounts, institutional accounts, private client accounts and quality assurance. Mr. Bhatt also serves as Chief Financial Officer for Calamos Family of Funds and as an officer of Calamos Asset Management, Inc. (NASDAQ:”CLMS”).
Nimish has over 25 years of experience in accounting, administration and tax-related issues in the financial services industry. He is a member of the Investment Company Institute’s Accounting/ Treasurer and Operations Committee. He also serves as a member of the board of directors of Calamos Global Funds, plc and has served on NICSA’s Board of Directors since 2006.
Also at the annual General Membership Meeting in Boston, NICSA elected the following industry executives to its Board. Each will serve for a six-year term.
Anmarie Ciccolo
Anmarie is currently the Chief Compliance Officer, Senior Vice President, for Fidelity’s Transfer Agent. She has held various legal and compliance roles in her 30 years with Fidelity. While in the Legal department she ran the Compliance and Regulatory Response Group that was responsible for providing legal services to Fidelity’s Broker Dealers, Transfer Agents and Risk and Compliance Oversight groups.
She was the also the Chief Legal Officer and Principal Compliance Officer for Fidelity’s retail transfer agents for 15 years, and Vice President, Associate General Counsel for Fidelity’s Legal Product Group that is responsible for the prospectuses, statements of additional information, and proxies for all of Fidelity’s funds for 3 years.
Robert G. Groth
Bob joined SEI in 1994 after serving four years as a Lieutenant in the United States Navy. He has extensive experience in all aspects of the investment management business including mutual fund operations, accounting, administration, compliance, marketing and distribution; hedge fund and private equity fund administration; and separate account processing.
His expertise is working with SEI’s clients to build effective strategic outsourcing relationships. Bob is based in San Francisco, CA and is responsible for SEI’s Investment Management Services business in the Western United States which includes some of SEI’s largest and most complex relationships. Bob has also represented SEI as the Co-Chair of NICSA’s West Coast Committee.
James M. Keenan
Jim Keenan is Senior Vice President and Department Head in the Investment Services area of State Street Bank & Trust. His department provides custody, fund accounting and daily valuation services for clients with approximately $700 billion of assets. Prior to joining State Street, Jim worked at PFPC, Inc. where he held the position of Vice President and Director, Fund Accounting and Administration and at Investors Bank & Trust where he was a Senior Client Manager and Vice President.
Jim is on the Board of Directors of Mutual Funds Against Cancer. He is a member of the NICSA’s East Coast Committee as well as their Annual Conference Committee.
About NICSA
NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community.
NICSA was established in 1962 as a forum for operations and shareholder servicing professionals in the mutual fund industry. Today, NICSA 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 more than 250 corporate member firms with over 600 member offices operating in major financial centers around the world.
NICSA offers the most comprehensive range of services in the industry, allowing members to learn, network and share best practices locally, nationally and globally.
For more information visit nicsa.org.
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, 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:
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
With 79 Million Boomers on the Brink of Retirement, Comprehensive Financial Planning is Critical
NICSA Joins Education, Advocacy and Industry Leaders in Sponsoring National Retirement Planning Week®
April 2, 2011, Boston, MA — Reports show that this year the first of 79 million Baby Boomers will turn 65, and that 4 million boomers will turn 60 each year for the next 18 years. For many, this milestone will present a much-needed opportunity to reassess their level of retirement preparedness. Insured Retirement Institute (IRI) research shows that nearly seven out of 10 Boomers within five years of retirement, and nearly eight out of 10 of Boomers outside of that window, stated that they are concerned about having adequate income during retirement.
Increase your retirement savings knowledge with the following resources:
Theresa Hamacher, CFA
Presentation from NICSA Annual Conference 2011
Courtesy of the NICSA Retirement Community
Improving After Tax Returns, Retirement Income, and Bequests Through Tax-Smart Household Management
Courtesy of LifeYield, Ernst & Young and the NICSA Retirement Committee
Deloitte Annual 401(k) Benchmarking Survery
Courtesy of Deloitte & Touche and the NICSA Retirement Committee
The Deficiencies of Target Date Funds
Bob Pozen
March 6, 2011
The Fund Industry: How Your Money is Managed
Authored by Robert Pozen, Chairman Emeritus of MFS Investment Management and a senior lecturer at Harvard Business School and Theresa Hamacher, President of NICSA and a former mutual fund chief investment officer, is the definitive guide to the worldwide fund industry.
The Fund Industry gives you an inside look at how mutual funds work - how they invest money, distribute their shares to the public, and provide service to fund shareholders - and why they have become the investment vehicle of choice for investors around the world. 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.”
The Fund Industry is available for purchase from NICSA at a significant discount. Click here to for more information.
Official Website of National Retirement Savings Week
Visit the official NRSW website for additional resources
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 to designate a Chief Compliance Officer. Mutual funds must also obtain the approval of the fund board. The compliance date is no later than October 5.
Corporate sponsors are PA Compliance, SalesLink Corporation and PFPC.
The new regulations are among the most far-reaching to be introduced in recent years. The Chief Compliance Officer for a mutual fund must certify the adequacy of compliance policies and procedures of a funds service providers, including its investment advisers. For this reason, a significant fall-out effect of the regulations is that many transfer agents, custodians, administrators and broker-dealers - which are not directly subject to the new regulations - must also prepare for the October 5 deadline if they provide services to mutual funds.
The Survey will assess steps firms have taken to date to put in place the policies, procedures and controls necessary to ensure compliance with the regulations. Also included are questions concerning securities firms experience with the Customer Identification Program and Anti-Money Laundering provisions of the USA PATRIOT ACT.
"This is a very timely project," says Barbara V. Weidlich, president of NICSA. "More than ever, compliance is a concern not only to compliance officers but to all executives in the money management business. Operations professionals, represented in the NICSA membership, have significant responsibilities for many business functions directly affected by new requirements."
Charles ONeill, principal of Diversified, noted that as was the case when the Anti-Money Laundering regulations were strengthened last year, the new rules are largely risk-based. Firms will need to determine, in the context of their own business activities, how to best meet the new requirements.
Key aspects of the new regulations include:
The survey which will be launched within the next week, with top line results tabulated and reported immediately thereafter. Participants will receive an executive summary of results at no cost. A more in-depth report will be available for $495. NICSA members will be eligible for a 10% discount.
NICSA will send an invitation to our member contacts via email; this will include a link to the online survey.
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 worldwide investment industry.
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.
NICSAs 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 NICSAs membership directory. NICSA also offers an On-Line Learning Center featuring the Certified Mutual Fund Specialist Program, the first-ever certification program of its kind.
About D.M.R.
Diversified Management Resources, Inc is a business development consulting firm supporting the financial services community. The companys business includes a retained executive search division, a strategic resources division and a creative marketing services division.
The company is well known in the investment community. Principals of the firm have created and managed many successful research projects.
Charles ONeill, president, had a along career with leading financial companies, including Sun Life of Canada, Putnam Investments and the Colonial Mutual Funds.
Gordon Evans, principal, was for many years a chief executive of Wall Street firms. He retired several years ago from State Street Research, where he headed retirement plans sales and marketing.
Robert Goldberg, who joined D.M.R. as of August 1, is a past president of NICSA and had been managing director of Acadient, an online investment education company. He has been recognized as one of the mutual fund industrys top ten business leaders.
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