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.
Washington, D.C. – April 3, 2019—NICSA announces the launch of its 2019 Strategic Leadership Forum, where over 300 executives from across the global asset management spectrum—including investment management firms, broker dealers, and professional service providers—will converge in Ponte Vedra Beach, Florida to share their insights on evolving business models within the financial industry.
Among the conference’s headline programs are expert panels on evolving distribution models, artificial intelligence, and Diversity & Inclusion. The interactive breakout sessions will feature data management and analytics, product trends, and fraud prevention, among other topics. The full agenda, including an overview of featured expert speakers, can be found at nicsa.org.
The conference will feature keynote presentations by Carla Harris, Vice Chairman, Managing Director and Senior Client Advisor at Morgan Stanley as well as Amy Herman, President of The Art of Perception. NICSA’s annual Face the Membership Roundtable, moderated by CNBC's Tyler Mathisen will feature C-Suite executives from BNY Mellon Investment Management, Hennion & Walsh, Inc., and MFS Investment Management.
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Lee L. Gremillion, Consultant, Teacher and Author of Mutual Fund Textbook, is Honored
MIAMI, February 23, 2005 – The National Investment Company Service Association (NICSA) announced today that educator, author and consultant Dr. Lee L. Gremillion has been selected as the 2005 recipient of the PricewaterhouseCoopers Award, which is given annually to recognize volunteers who have contributed to NICSA’s stature as the mutual fund industry’s primary source of expertise in shareholder servicing operations.
Dr. Gremillion is a retired partner with PricewaterhouseCoopers, where he provided operations and systems consulting services to clients in the investment management industry. He retired in 2002. He is author of A Purely American Invention: The U.S. Open-end Mutual Fund Industry, a textbook on mutual fund operations. First published in 2000, the book has been translated into Japanese and Chinese and is undergoing revision for a second edition. Dr. Gremillion has also authored a number of academic articles and teaches graduate courses in business and information systems at several institutions as an adjunct faculty member.
“We are proud to present this award to Dr. Gremillion, a leading thinker in investment services whose academic research and hands-on expertise have benefited his clients, students and readers worldwide,” said Chip Voneiff, National Leader of the PricewaterhouseCoopers US Investment Management Industry Group. The award was presented at NICSAs 23rd Annual Conference and Expo, "At the Crossroads: Choosing your Path," held at the Doral Golf Resort & Spa in Miami.
Dr. Gremillion received his doctoral degree from the Harvard Business School, his M.B.A. from Columbus State University, and his B.A. from Louisiana State University. Before joining PricewaterhouseCoopers, he had worked at IBM, Indiana University, Boston University, and Colonial Management Associates.
The annual PricewaterhouseCoopers Award, funded through an endowment by PricewaterhouseCoopers LLP, promotes awareness of the educational and informational mission of NICSA, and the importance of members service to achieving that mission.
About PricewaterhouseCoopers
PricewaterhouseCoopers’ Investment Management Industry Group provides auditing, accounting, business advisory and tax services to many of the world’s largest mutual funds, common trust funds, limited partnerships, hedge funds, pension funds, annuities, trusts and industry service providers. The Group audits almost 2,800 U.S. mutual funds totaling more than $3.3 trillion in assets.
PricewaterhouseCoopers LLP provides industry-focused assurance, tax and advisory services for public and private clients. More than 120,000 people in 139 countries connect their thinking, experience and solutions to build public trust and enhance value for clients and their stakeholders.
Unless otherwise indicated, “PricewaterhouseCoopers” refers to PricewaterhouseCoopers LLP, a Delaware limited liability partnership. PricewaterhouseCoopers LLP is a member firm of PricewaterhouseCoopers International Limited.
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.
MCLEAN, VA – March 7, 2018—NICSA announced the winners of its 2018 Volunteer of the Year Awards. Volunteers were honored at the NICSA Strategic Leadership Forum held from February 28-March 2, 2018 in Miami, Florida.
“NICSA’s Volunteer of the Year awards celebrate members who have given a voice to the Association’s passion for serving the global asset management community. From facilitating industry dialogue to driving educational content for our members, these individuals have demonstrated exemplary leadership by laying the groundwork for building best practices among industry participants,” said Jim Fitzpatrick, President of NICSA.
NICSA’s committees work on behalf of the organization to provide its members with content, resources, and events to keep up-to-date on evolving issues within the global asset management industry. By doing so, the committees support NICSA’s mission of developing, sharing, and advancing leading practices among industry participants. Each year, NICSA recognizes outstanding volunteers whose sustained contributions over the previous twelve months were deemed exceptional.
Washington, D.C. – September 12, 2019— NICSA, a leading asset management trade association, today announced the winners of the 2019 NICSA NOVA Awards, which recognize excellence in innovation and leadership within the asset management industry. Award winners are showcased each year at the NICSA General Membership Meeting and this year will be honored on October 17th in Boston.
The 2019 award winners are as follows:
LIFETIME ACHIEVEMENT AWARD
OUTSTANDING SERVICE TO THE FUND INDUSTRY - ROBERT L. GOULD AWARD
STRATEGIC LEADERSHIP AWARD
INDUSTRY INNOVATION AWARDS
McLean, VA – October 15, 2018: NICSA announces that it has elected the following new members to its Board of Directors:
The new Board members were elected at NICSA’s General Membership Meeting in Boston on October 11th. Selections were made among senior-level representatives from NICSA member firms, which are concentrated among asset managers, broker-dealers, custodian banks, transfer agents, and other professional service firms. NICSA’s Board of Directors comprises 25 voting members who collectively guide the direction and strategic mission of NICSA.
“We are very pleased to announce these new additions to NICSA’s leadership. Each new Board member brings industry experience, perspective and leadership that will help shape the future of NICSA’s contribution to the asset management community,” said Jim Fitzpatrick, President of NICSA.
BOSTON, MA – OCTOBER 2, 2018 – “The Diversity Project,” an initiative focused on increasing diversity within the asset management industry, was launched today in North America by 14 leading financial organizations. NICSA, a non-profit trade association for the global asset management industry, is the sponsor of the Project. The goal of the Diversity Project is to accelerate progress toward a more inclusive culture across all demographics including gender, ethnicity, sexual orientation, age and disability. The Diversity Project will also focus on enhancing the financial services industry brand within higher education and developing and sharing leading practices across member firms.
“NICSA has always been dedicated to providing our industry the platform, research and resources required to build stronger businesses,” said Jim Fitzpatrick, President and CEO at NICSA. “Fostering a culture of inclusiveness is foundational to that mission, as increased diversity will ensure a more sustainable industry long-term. We are proud to sponsor the Diversity Project and champion the benefits of diversity within our member firms and across the financial services industry.”
NICSA will introduce the initiative at its General Membership Meeting on October 12 by hosting a diversity panel chaired by Dan Houlihan, Chairman of the NICSA Board of Directors and Head of Northern Trust Asset Servicing, Americas. Inspired by the success of the Diversity Project in the United Kingdom, the North American chapter will bring together professionals across the industry, including asset managers, fund complexes, asset servicers, broker dealers, asset owners and professional service firms that support the industry.
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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 members who are especially dedicated to serving the NICSA community. These individuals have shown exemplary commitment as volunteers, and have demonstrated a passion around furthering best practices within the global asset management industry.” said Jim Fitzpatrick, President of NICSA.
NICSA’s many topic and events committees work to provide association members with educational content, resources, and events on top-of-mind issues within the global asset management industry. On behalf of NICSA, committee members support the association’s mission of developing, sharing, and advancing leading practices among industry participants. Each year, NICSA recognizes outstanding volunteers whose sustained contributions over the previous twelve months were deemed exceptional.
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
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