member survey: prepping for dealer/custodian resignations
Is your firm prepared for an increase in dealer/custodian resignations?
NICSA recently conducted a survey of its membership to confirm the state of preparation for a rise in abandoned accounts. The results clearly indicate that the issue is a timely one.
NICSA's President, Jim Fitzpatrick, discusses current disruptors facing the industry.
With current changes in the regulatory landscape, fee pressure on a number of fronts, and emerging technologies gaining relevance, disruptors are transforming the financial services industry.
At the 2017 Strategic Leadership Forum (SLF), NICSA will be taking a very deep dive into the impact of the DOL rule, and we’ll be covering other “disruptor” topics such as robo-advisory services, data analytics, and swing pricing.
The DOL ruling is altering the financial industry - are you prepared?
Register now for NICSA's 2017 Strategic Leadership Forum (SLF) to seek guidance and education on game-changing fiduciary standards and the evolution of distribution, product types, and sales practices.
The 2017 Strategic Leadership Forum (SLF) is taking place January 29-31 at the Diplomat Hotel in Hollywood, FL. Early bird registration ends on December 2! This year's theme is Disruptors Facing the Asset Management Industry and a must-attend event for professionals in financial services.
INCREASE your brand's awareness with hundreds of influential professionals who collaborate, share and develop today's investment management leading practices.
The 2017 Strategic Leadership Forum (SLF) is taking place January 29-31 at the Diplomat Hotel in Hollywood, FL.
2016 General Membership Meeting (GMM) | September 19-20, Boston
The 2016 NICSA General Membership Meeting took place September 19-20 in Boston. Learn how attendees advanced their development and leading practices through idea sharing and informative sessions with industry experts
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Washington policy insiders discussed elections, regulatory regime... CLICK HERE | Read More...
Investment Management Industry Leaders Honored for Excellence.
NICSA and Money Management Executive are pleased to announce the winners of the 2016 NOVA Awards. These awards recognize outstanding services, creativity, leadership and innovation within the asset management industry.
The winners were honored at NICSA's 2016 General Membership Meeting (GMM) on September 19 in Boston.
Transfer Agency Compliance & Operations
Laws governing the mutual fund industry and its relationship with shareholders are predominately federal regulations; however, some state-issued mandates need to be considered. While the industry has been highly focused on new federal fiduciary rules related to Investors and their retirement savings, fund managers and service providers must also be mindful of Connecticut’s Mandatory Elderly Abuse Training Law established earlier this year, for one.
Dan Houlihan, Executive Vice President & Head of Global Fund Services, Northern Trust
The investment management industry has always been drawn to buzz words. Today, we are continually inundated by terms like robo, big data, cloud, cyber and the digital revolution.
Hermann Beythan, Partner, Head of the Investment Management Group, Linklaters
The vote by the United Kingdom in favor of leaving the European Union on June 23 represents a step into the unknown not only for the UK but the remaining members of the EU.