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What’s New

NICSA West Coast Regional Meeting

Reserve your seat today for the NICSA West Coast Regional Meeting in sunny San Francisco, California on June 3, 2015. This one-day event will feature keynote speaker, Robbie Atabaigi of KPMG LLP, and panelists from a full array of expertise in compliance and regulatory risk management. Attendees will walk away with an in-depth knowledge of regulatory tips, trends, hot topics, and so much more…


Click here to register!


NICSA seeks new president

The Board of NICSA has designated a Selection Committee and retained George Wilbanks of Wilbanks Partners llc to seek a successor to Theresa Hamacher as President.


Learn more . . .

Investing Through UITs

This FINRA-review infographic provides an introduction to investing through unit investment trusts.


Take a look . . .






10 Facts About the Fund Industry

This NICSA News blog post highlights 10 facts about the fund industry from a recent presentation by NICSA member, Strategic Insight.


Read more . . .






Read | NICSA IQ | Europe 101 and More

Our newsletter highlights the month's top stories in fund industry operations.


Click here to read the May edition...




Read | Implementing Money Market Reform

While the most significant provisions of the SEC’s package of changes to money market regulation won’t take effect for 18 months, the investment industry is already moving full steam ahead on implementation.


This NICSA News post discusses 4 areas of focus: defining retail vs. institutional, dividing retail and institutional, intraday pricing of floating NAV funds and gates and fees.

Read more . . . 

ABLE Accounts and More | TA Guide Updates

The NICSA Transfer Agent Compliance Guide has just been updated. Check out the new section on ABLE accounts, which were just authorized by Congress, and the revisions to the IRA section, which reflect recent changes in distribution and rollover rules.


Access to the Guide is free for NICSA members. Log into the member portal, and click on "TA Guide" on the left hand side.


Quick Takes | Event Recaps

Missed the latest NICSA event? Catch up on the news with our Quick Take series in NICSA News, highlighting the biggest takeaways from the sessions.


Click here to read the latest Quick Take post...



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Upcoming Events

  • 26th Annual Conference on the Globalisation of Investment Funds
    A conference presented by the International Bar Association
    May 31-June 2, 2015 | Paris, France

    Click here to register 
  • NICSA Regulatory and Risk Hot Topics
    (2015 West Coast Regional Meeting)
    June 3, 2015 | San Francisco, CA

    Click here to register
  • Distribution Series III: Changing Distribution & Share Class Landscape Webinar
    Sponsored by Broadridge
    June 10, 2015 | 2-3pm ET

    Click here to register
  • Europe 101 | Securities Regulation Webinar
    Sponsored by ALFI
    June 11, 2015 | 11-11:40am ET

    Click here to register
  • 2015 NICSA General Membership Meeting
    October 29-30, 2015 | Boston, MA

    More information coming soon...
  • 2016 NICSA Strategic Leadership Forum
    (34th Annual Conference)
    January 31-February 2, 2016 | Hollywood, FL

    More information coming soon...
  • 2017 NICSA Strategic Leadership Forum
    (35th Annual Conference)
    January 29-31, 2017 | Hollywood, FL

    More information coming soon...

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