NICSA Connect Newsletter : September 2018
General Membership Meeting (GMM)
October 11-12, 2018 | Boston, MA
NICSA will be back at the Royal Sonesta in Boston this fall! Join us for the annual General Membership Meeting from October 11-12 to address the top issues facing asset managers and financial service providers.
Hear how firms across the industry are streamlining their businesses through enhanced data analyticsevolving resource allocation, and increased focus on Next Gen product and distribution models. Learn how exceptional companies are differentiating their brands by delivering tech-inspired client experiences designed for the digital era.
Bonus Breakfast: Staying Compliant with 30e-3
Friday, October 12 | Sponsored by Broadridge 
Join us for a BONUS BREAKFAST on Friday, October 12 during NICSA's 2018 General Membership Membership Meeting (GMM). The breakfast will take place from 7:15am - 8:15am and will feature a panel of experts who will take a deep dive into the nuances of Rule 30e-3 and its implications on investment companies. 

Fund Intelligence Fund Leaders Summit 
A NICSA Industry Partner 
The FI Fund Leaders Summit is an event created to expore how increased focus on regulatory compliance is forcing a greater intersection of oversight and operational functions. The event is geared twoard C-Suite, boards of directors, legal and compliance, and operations and technoogy professionals at mutual funds and asset management firms. 

Boston | September 13, 2018 
Chicago | October 18, 2018
San Francisco | November 6, 2018 
NICSA Notables
NICSA featured at ALFI Global Distribution Conference

"Author: Jim Fitzpatrick, President of NICSA" 

NICSA will once again partner with ALFI for the Association of the Luxembourg Fund Industry's Global Distribution Conference from September 25-26....While at the event, I’m eager to hear from the 50+ speakers and to network with the fund distributors responsbile for the global reach of investment funds. I am also looking forward to sharing the ALFI stage with Sally Wong, CEO of the Hong Kong Investment Funds Association (HKIFA), to provide important perspectives regarding our respective markets as they relate to the global distribution ecosystem …"

NICSA Honors NOVA Award Winners at 2018 GMM

Press Release: "NICSA proudly announces the winners of the 2018 NICSA NOVA Awards. The NICSA NOVA Awards showcase excellence in innovation and leadership within the asset management industry. Award winners will be honored on October 11 at the 2018 General Membership Meeting in Boston..." Read More. 
Guest blogs and articles tackling the complex and technical aspects of key industry issues:
Author: Susanne Weismuller, Senior Legal Adviser, ALFI

“Two Luxembourg vehicles have shown an impressive development since their inception: the

special limited partnership (SLP, or abbreviated in French as SCSp) and the reserved alternative investment fund (RAIF). …" Read More. 


New Member Update!

Today’s NICSA has continued to evolve into a dynamic cross section of all aspects of the global asset management industry, including asset managers, broker dealers, distributors, and professional service providers.

We are pleased to announce the new companies that have recently joined the NICSA community: 

Cerulli Associates: Specializing in worldwide asset management and distribution analytics and guidance.       


Dimensional Fund Advisors: Investment advisors with a long history of applying academic research to practical investing. The firm offers a full range of equity and fixed income strategies designed to target higher expected returns. 


Market Strategies International-Morpace: Offers exceptional insights, which includes deep expertise in financial services, specifically among wealth, banking, payments and insurance organizations. The firms specialize in brand, customer experience, product development and segmentation research, and are known for blending primary research with data from syndicated, benchmarking and self-funded studies to help clients succeed. The syndicated products, known as Cogent Reports, help clients understand the market environment, explore industry trends and monitor their brand within the competitive landscape. 


SEI: Delivering wealth management and business process solutions to the investment industry.


NICSA members continue to generate valuable insight and stimulating discussions on the future of the wealth management industry. Here's a look at our top picks for the month: 

Deloitte: Coming of Age Digitally

“A survey by MIT SMR and Deloitte found digitally mature companies are better at developing digital leaders, pushing decision-making deeper, and responding faster to the marketplace, and are more likely to experiment.”  Read More


LRI Group:RAIF – Enhancing Luxembourg’s Fund Arsenal through Speed and Versatility

“Existing as Europe’s premier fund domicile, Luxembourg has responded to the increasingly competitive market for funds and the success of the Alternative Investment Fund Manager Directive (AIFMD) through the launch of the RAIF fund structure. …" Read More. 


NRS:  2018 Evolution Revolution Study Finds Investment Adviser Profession Strong Economic Driver as Employment, AUM, Number of Firms Hit Record Highs. 

“This report gives greater clarity on the detailed business practices of advisers, including how they invest separately managed accounts, the use of leverage and derivatives, and access to more accurate client data.” Read More

Want to submit content for our Member Corner?

Trends on the Advisor Landscape
Wednesday, September 26, 2018 | 2:00pm - 2:30pm ET, followed by Q&A 
Financial advisors are inundated with choices among asset managers, making it critical to capture advisors' attention and leave a lasting impression. This webinar will provide insightful guidance for asset managers to strengthen their advisor partnerships. Cogent will share its perspective on the latest advisor trends and preferences, and how successful outreach strategies vary by advisor type. 
A look back at NICSA’s recent educational programming: 

Fraud Prevention Series: Social Engineering Recognition and Response 

Contact centers are under siege from fraudsters, and this Vulnerable Investor Protection webinar detailed how member firms can protect themselves from social engineering and other types of fraud. 
Webinar Replay  |  Slides  |  Blog 
NICSA Transfer Agent Compliance Guide 
The NICSA Transfer Agent Compliance Guide is the definitive resource for member firms seeking insight on the practical applications of the many and varied rules affecting transfer agent operations. 

Order your hard copy here. A digital version of the Guide is available to Members via the NICSA Member Portal. 

Got ten minutes? Hear quick, on-the-go insights on critical business planning in the world of asset management.  It’s this simple: (1) Visit iTunes on your mobile device; (2) search “NICSAtalk”; and (3) subscribe.
Staying Ahead of Trade Sanctions | Trends and best practices. Listen to the Podcast

GDPR Programs | Commonalities and team building. Listen to the Podcast 
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