Unclaimed Property: Operational Impact & Best Practices

Wednesday, March 21, 2018


2:00 pm - 3:00 pm ET







Tara Altman
Senior Vice President, Relationship Management, Keane
Kim Croston
Managing Director, Regulatory Solutions for Investor Services Group, BNY Mellon
LeeAnn Dionne
Client Service Officer, Unclaimed Property Administration, DST Systems, Inc.
 Dana Terry
Unclaimed Property Consulting Director, Georgeson, LLC
 Debbie Zumoff
Chief Compliance Officer & National Consulting Practice Leader, Keane


Unclaimed Property: Operational Impact & Best Practices from NICSA


Unclaimed property continues to be a regulatory and operational concern for financial services companies. Complex and constantly-changing legislation often makes compliance with state laws seem like hitting a moving target.

This 60-minute webinar will review current legislative and regulatory actions that impact the industry, including the new statutory requirements in Illinois. Additionally, our presenters will share best practices and tactical guidance on how to best comply with the regulations and ensure operational success.

Learning Objectives:

  • Identify new legislation that impacts financial services companies.
  • Understand the operational impact of unclaimed property compliance on both transfer agents and fund companies.
  • Learn best practices and tactics to ensure compliance with state unclaimed property.

CPE Information

NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry..

NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.learningmarket.org/.

For this webinar:
CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based


For more information, please contact Jordan DeBettencourt at 508.683.1618.

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