NICSA Connect Newsletter : July 2018
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Your source for the latest insights into global asset management industry trends.
 
IN THIS ISSUE:
NICSA IN THE NEWS
 
Ignites Video Coverage of the 2018 SLF:

Five Year Track Record? Try 15: Morningstar 

“MFS Investment Management president and head of global distribution Carol Geremia pointed out to an audience at the NICSA Strategic Leadership Forum in early March that a full market cycle is seven to ten years — not the three to five commonly used to evaluate funds.”Read IGNITES Article

In Active vs. Passive Debate, Get Specific 

“Virtus Investment Partners' distribution executives tell their sales staff to avoid speaking in generalities about active management. Barry Mandinach, executive VP at Virtus Investment Partners, explains why it is important to be specific when explaining the limitations of some passive strategies and where active management can provide a smoother ride than indexing over long market cycles.” Watch IGNITES Video

Search 'Ignites @ NICSA' on the Ignites website to view all SLF interviews. 
 
Fund Intelligence Coverage of NICSA: 
 
Data Brings Together Tech, Compliance Teams 

"Jim Fitzpatrick, President of industry group NICSA, notes that while some funds are definitely seeing a closer alignment of data and compliance teams, a true commingling has yet to emerge" Read Fund Intelligence Article 
 
Streamlined Correspondence Between Funds and Intermediaries 

"Jim Fitzpatrick, President of the industry group NICSA, seconded that streamlied communication between fund managers, intermediaries and distributors is key to running an asset management firm efficiently" Read Fund Intelligence Article 
UPCOMING EVENTS
 
Regional Meeting | East Coast Summit 
July 17, 2018 | Boston, MA | 8:00am - 10:30am
 
Breakfast with the Regulators
 

While debate unfolds regarding the merits of a harmonized fiduciary rule, and the advantages of a principles-based approach to liquidity regulation, the asset management industry finds itself once again in an era absent of clarity. Compliance remains a priority focus for financial firms, with new programs needed to stay ahead of the curve. Join our panel of experts as they explore today’s hottest regulatory issues.  Click Here for Complimentary Registration

Diversity Project Informational Meeting 
July 18, 2018 | Boston, MA | 3:00pm - 4:30pm
NICSA invites you to join us for an interactive discussion around the Diversity Project North America. Join the movement, get your firm involved today.

Hosted by by Starpoint Solutions, a YOH Company and Wellington Management 

Click here to secure your complimentary spot and learn more 

 
Midwest Regional Meeting | Save the Date 
September 19, 2018 | Four locations: Chicago, Columbus, Denver, Kansas City
More information coming soon. 
 
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.
 
 

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 
NICSAtalk: PODCAST SERIES
 
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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.

Operationallizing GDPR | Governance and compliance management. Listen to the Podcast
 
GDPR Programs | Commonalities and team building. Listen to the Podcast 
 
Family Office Gatekeepers | Manager due diligence process overview. Listen to the Podcast

RPA, BPM, AI | A look at technology use cases in asset management   Listen to the Podcast
NICSA BLOG
 
JP Morgan's David Kelly to Headline at NICSA GMM in October 
 

“NICSA members will get a unique opportunity to hear investment ideas and business strategies from one of the industry’s most respected authorities on capital markets in an intimate setting at the General Membership Meeting in Boston this October. 

“Dr. David Kelly is the Chief Global Strategist and Head of the Global Market Insights Strategy Team for J.P. Morgan Asset Management. With over 20 years of experience, David provides valuable insight and perspective on the economy and markets to both the institutional investor and financial advisor global communities...." Read More 
TECHNICALLY SPEAKING 
 
Guest blogs and articles tackling the complex and technical aspects of key industry issues: 
 
Title: Panel Examines Unconscious Bias, Encourages 'Building Bridges' 
Author: Dervedia Thomas, editor, Fund Action
 
"The asset management industry should take a closer look at unconscious bias and pay more attention to nuances within employee demographics to foster inclusion, industry pros said at Fund Intelligence's recent breakfast briefing...." Read More 
COMMUNITY UPDATE
 

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: 

Chapman & Cutler: Chapman's Investment Management Group advises clients on a broad range of matters for registered investment companies and their independent directors, private funds and their investors, investment advisers, broker-dealers and municipal advisors.

GIBC Digital: A digital-transformation facilitator, with a focus on Automation, Data Intelligence, Cyber & Fraud, Customer Experience, and Regulation & Compliance.

Temenos Multifonds: World's leading specialist provider of investment accounting and investor servicing software. 

 
MEMBER CORNER

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: 

An increasingly demanding and fragmented regulatory environment, growing investor sophistication and heightened awareness of market and operational risk management all factor into the complexity of running a successful hedge fund …”  Read More

Invesco:  Can alternative investments help in uncertain markets?

It’s increasingly important for asset managers to be able to explain alternative strategies to their clients. Invesco covers the basics in this blog series. Read More

LRI Group:  Brexit: Asset Managers in Limbo

“As Brexit negotiations enter their second year, the UK Asset Management industry braces for long-term insecurity. Loss of access to the European single market and possible changes in the delegation model leave UK asset managers anxious. Despite this, Britain’s withdrawal presents itself as a valuable opportunity for rival European financial centres wishing to fill the growing power vacuum left by London’s diminishing financial dominance …” Read More
 

Want to submit content for our Member Corner?  Info@nicsa.org

 
#ICYMI: IN CASE YOU MISSED IT
 
A look back at NICSA’s recent educational programming: 
 

Intermediary Evaluation Best Practices: View Research Notes

Aligning Sales and Marketing Goals: View Research Notes

FinCEN Enhanced Customer Due Diligence Planning: Member Survey Results

SEC Fiduciary Rule Proposal - The Finer Points: Webinar Replay | Slides | Blog 

Russian Oligarchs, Iranian Regime - How to Stay One Step Ahead:
Webinar Replay | Slides | Blog 

MiFID II, Six Months Later: Webinar Replay | Slides | Blog 

#WEBINARWEDNESDAYS 
 
The Bottom Line: Explore the Benefits of Wellness in the Workplace
Wednesday, August 8, 2018 | 2:00pm - 3:00pm ET
 
Registration opening soon.
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