NICSA Connect Newsletter : January 2019

Your source for the latest insights into global asset management industry trends.
NICSA Notables

Check out our Year in Review Wrap Up for an update on NICSA’s latest initiatives and what to expect in 2019. Read Year in Review by Jim Fitzpatrick


NICSA has been hard at work expanding its reach into the Product and Distribution arena. Here’s a compilation of value-added content provided throughout 2018 in support of building best practices in this evolving business line. Read Product & Distribution Spotlight


Solidify your 2019 business planning at the NICSA Strategic Leadership Forum, with diverse insights from all facets of the asset management industry. Be sure to take a look at the conference highlights: Read 2019 SLF Focus Revealed


#WebinarWednesdays | SAVE THE DATE
Preparing for the Next-Gen Client Base

February 6 | 2:00pm - 2:30pm

Building Deeper Advisory Relationships with Data 

March 6 | 2:00pm - 2:30pm

Retirement 2020
March 20 | 2:00pm-2:30pm

*All three webinars sponsored by Broadridge Financial Solutions, Inc. 


European Asset Management Conference (Hosted by ALFI) | | Register Now

March 5-6  | Luxexpo The Box, Luxembourg


2019 Strategic Leadership Forum | Register Now

April 3-5 | Ponte Vedra Beach, FL 

Let NICSA help solidify your 2019 business planning at the 2019 SLF. Hear from ALL PERSPECTIVES - asset management firms, broker dealers, and an extensive group of firms that include technology, law, and service firms that support the 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:


Donnelley Financial Solutions (DFIN): 2019 Outlook Podcast
"The financial sector is used to transformation. Markets fluctuate, technology evolves rapidly and regulations shift constantly to keep pace. But 2019 looks like it will be a year defined by change. What should you be watching out for? In this DFIN podcast episode, Eric Johnson, DFIN’s president of Global Investment Markets, shares his insights into the forces that will drive industry change in 2019, and explains what these developments could mean for fund groups." Listen to the Podcast


DTCC: Enabling Future Fintech Innovation
“While there is no one solution to fix the issue, a combination of corporate cultural shifts, early intervention and more effective corporate educational programs at all levels can help strengthen your STEM pipeline and start to enable more talented women and other underrepresented groups to pursue and advance in STEM careers. …” Read More


UMB Fund Services: Competitive Distribution Tactics for Asset Managers

“UMB partnered with FUSE Research Network to produce this report sharing tactical advice on how to address current asset raising challenges…”  Read More


A look back at NICSA’s recent educational programming:


Best Practices in Building a Global Compliance Program  

NICSA’s panel of experts from Citi, Franklin Templeton Investor Services, Putnam Investments, and PwC explore how asset managers are integrating a global view on their overall compliance policies and programs.  
Replay Webinar | Read Blog


AI Trends with Traction
NICSA’s panel of experts, including insights from Accenture, BNY Mellon, Luxembourg House of Financial Technology Foundation, and Trinova Group, explores where the AI dollars are going, which trends are being successfully implemented within the asset management industry, and which technologies promise to shape the next decade within financial services.  Replay Webinar | Read Blog


What Members are Asking
We appreciate the insightful questions during our webinar programs. For a review of the Q&A transcripts from recent Wellness in the Workplace and Rethinking Product Development programs. 


Miss our recent content on the new 30e-3 Rule? There’s still time to ensure your firm is in line with industry best practices! Check out the latest NICSA content on this important regulatory issue:


Industry Expert Panel Discussion | Webinar Replay

Action Plans for Asset Managers | NICSAtalk Podcast

Two Year Outlook | NICSAtalk Podcast

Best Practices for Notice, Access & E-Delivery | Blog

Insightful Q&A with Expert Panel | Transcript


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 following new member:

Wisdom Tree InvestmentsOne of the largest Exchange Traded Product (ETP) sponsor in the U.S. and a leader in fundamentally weighted ETFs and active ETFs. 

1420 New York Ave NW, 5th Floor, Washington DC 20005
Tel: 508.485.1500 • Email:
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1420 New York Ave NW, 5th Floor, Washington, DC 20005