NICSA Connect Newsletter : November 2018

Executive Session: Perspectives from the C-Suite 

“EY led a panel of seasoned executives from RBC Global Asset Management, State Street Global Advisors, and Eaton Vance through a discussion focused on data analytics, technology and investment strategies. …” Read Blog


Capital Markets Masterclass

“Attendees of NICSA’s annual General Membership Meeting received a comprehensive overview focused on the sunny investment environment of today as well as clouds on the horizon. Dr. David Kelly, Chief Global Strategist and Head of the Global Market Insights Strategy Team at J.P. Morgan, led the general session. …” Read Blog


Join the Diversity Movement

“NICSA members closed out NICSA’s 2018 General Membership Meeting with an intellectually honest discussion about the challenges and realities of diversity and inclusion within the industry. Dan Houlihan, Executive Vice President, Head of Global Fund Services, North America, Northern Trust, moderated the panel, which included forward-thinking representatives from Confluence, Fidelity, and Northern Trust. …” Read Blog


Find out what’s top of mind for some of our featured speakers as they came away from dynamic panel discussions at NICSA's GMM. (1) Visit iTunes on your mobile device; (2) search “NICSAtalk”; and (3) subscribe.


Live From GMM! Leveraging Data Analytics

DST Systems’ Lead Data Science Manager Lyndsay Noble on the restructuring of operating models based on data analytics.  Subscribe and Listen


Live From GMM! Building Better Advisor Relationships

PIMCO's Senior Vice President Mary Hoppe on what asset managers can do to build better business relationships with the industry's top advisors. 
Subscribe and Listen


Live From GMM! 30e-3 Action Plans for Asset Managers

Swatika Rajaram, Vice President, Regulatory Products at Broadridge on the impact the new rule will have on asset managers, and the immediate action steps they should be considering now. Subscribe and Listen           


Ignites: Lurching Markets Call for Focus on Fundamentals, Risk Management

“Markets may be reacting strongly to rising interest rates and trade concerns. The key is to be wary of "overextended" parts of the stock market, says Lori Heinel, deputy global CIO of State Street Global Advisors.” Watch Video


Ignites: Real Progress on Diversity Is Uncomfortable, Critical: Execs

“The key is to use hard data to develop best practices and actual processes for making diversity and inclusion part of the hiring and retention process.” Watch Video


Ignites: Strategies for Replenishing the Bench in Ops Talent 

“Avoiding "ageism and titleism" and ensuring that people of all ages have opportunities to influence strategy and learn from each other is critical to addressing the demographic shift in the asset servicing industry, says Dan Houlihan, head of asset servicing for the Americas at Northern Trust and chairman of NICSA.” Watch Video


Fund Action: American Century Builds out D2C Financial Planning Service  Read Article


Fund Action: Eaton Vance ‘Zigging’ with Traditional Wholesale Channel Focus Read Article


NICSA’s Compliance & Risk Management Committee discusses how asset managers can better prepare their first line of defense against social engineering and other fraud. 

Read Research Notes | View All Research


NEW! NICSA is pleased to report that is has formed a new NextGen Committee to support emerging leaders in asset management.

This Committee will provide networking and educational opportunities for young professionals relevant to their experience level in the industry, grow interest in NICSA and facilitate new individual and institutional members, and encourage diversified ages, experience, and perspectives throughout NICSA. 

For more information on how you can become a part of this new effort, please contact Kelly Sherrard at


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:


Citisoft: Innovate or Stagnate: Digitalization in Investment Management

“This paper explores transformative technologies that will drive digitalization efforts in the future, how asset managers will need to differentiate themselves in the new digital landscape and practical steps to embrace the digital frontier …” Read More


Deloitte: State of AI in the Enterprise

“… early adopters remain bullish on cognitive technologies’ value and are ramping up AI investments. But questions linger about risk management—and about who at the company will push projects forward. …” Read More


Donnelley Financial Solutions (DFIN): E-delivery Rule is a Step in the Right Direction

“Fund groups are up against some improbable competition these days. Think Uber, Spotify, and Netflix. While these popular services may seem a world apart from mutual fund investments and exchange-traded funds, they’re setting a new bar when it comes to how users access services and interact with content. …” Listen to the DFIN Podcast


PwC: Asset & Wealth Management Revolution: Pressure on Profitability

“This paper outlines predictions for management and performance fees from now until 2025 and identifies how managers should react. …” Read More



Rule 30e-3: Best Practices for Notice, Access & E-Delivery | Register Now

NOVEMBER 28 | 2:00pm - 3:00pm


Best Practices in Building a Global Compliance Program Register Now

DECEMBER 5 | 2:00pm - 3:00pm



Data in Distribution Register Now

The Offices of Eaton Vance 

Roundtable Discussion Facilitated by: SalesPage

DECEMBER 4 | 3:30pm - 5:30pm | BOSTON


Fund Intelligence US Fund Technology Leaders Summit Register Now



A look back at NICSA’s recent educational programming:


Wellness in the Workplace

As our industry re-defines the workplaces of the future, more firms are implementing and scaling workplace wellness programs.  


Replay Webinar


Converting Data Analytics into Business Strategy 

You’ve identified, sourced, and analyzed your most valuable data. Now what? 


Replay Webinar  |  Read Blog 


Sustainable Investing 

Sustainability considerations are becoming increasingly integrated into company processes from product development to distribution. Get the latest expertise. 

Replay Webinar  |  Read Blog

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