NICSA Connect Newsletter : August 2018

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

JFheadshot4.jpg?r=1534339976530From all of us at NICSA, we hope you are enjoying the last weeks of summer. Things certainly are heating up for the NICSA staff and our committee members as we prepare for the upcoming General Membership Meeting in October. It’s shaping up to be a memorable event for product, distribution, technology, operations, and compliance executives alike. Our national conferences are a great opportunity to bring together all perspectives from the industry. We hope that your firm is bringing their voice to the table. 

Also keeping us busy this summer is the exploration of Diversity & Inclusion within the US financial industry. NICSA has been working closely with the Diversity Project to introduce new resources to our community in order to make impactful change to our industry. We’ll be closing out the GMM with a focus on this important topic. Please feel free to reach out to us with questions or indications of interest in how your firm can get involved.  - Jim Fitzpatrick, President 

NICSA Notables
Sneak Peek at NICSA's GMM Speaker Line-up

“Leaders within the asset management industry will convene to discuss the top issues facing today’s asset management industry, including enhanced data analytics, evolving resource allocation, and increased focus on Next Gen product and distribution models…”  

Here’s the short list of asset managers represented on NICSA’s stage this year. Join your peers in discussion: secure your spot at the GMM now. 

American Century Investments                               

AQR Capital Management, LLC                                

Bank of America Merrill Lynch                                

Columbia Threadneedle Investments                    

Eaton Vance Management                                    

Fidelity Investments                                               

Goldman Sachs Asset Management                         

J.P. Morgan

Legg Mason, Inc.

MFS Investment Management
Northern Trust 

PIMCO Investments

Putnam Investments
RBC Global Asset Management 

SEI Investments                                                          

Ignites Video Coverage of the 2018 SLF:

Industry Shifts Push Service Providers to Evolve

“As managers assess what tasks to outsource, they are trying different models, which can involve relying on one provider or several, says Dan Houlihan, head of North American fund services for Northern Trust. And as demands change, providers continue to innovate, whether that be through robotics, data strategies or digital initiatives.” Watch IGNITES Video
Search 'Ignites @ NICSA' on the Ignites website to view all SLF interviews. 
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.
Staying Ahead of Trade Sanctions | Trends and best practices. Listen to the Podcast

MiFID II Six Months Later | Simplifying the directive. Listen to the Podcast
Operationallizing GDPR | Governance and compliance management. Listen to the Podcast
GDPR Programs | Commonalities and team building. Listen to the Podcast 

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: 

ALFI: Luxembourg Hedge Funds

“This brochure has been prepared by the Hedge Fund Working Group of the Association of the Luxembourg Fund Industry (ALFI) in order to provide general background information on key factors and considerations for establishing hedge funds in the Grand Duchy of Luxembourg.”  Read More

CitiSoft: Client Communications, Emerging from the Shadow of Client Reporting

“This paper outlines the key obstacles faced by your peers in their journey from functional client reporting to value-added client communications, and the missed opportunities of not focusing on the client experience.”  Read More

UMB: Unlisted Closed-End Funds: Platform Perspectives and Market Update

“UMB Fund Services partnered with FUSE Research Network to release its second annual comprehensive report on unlisted closed-end funds, including interval and tender-offer funds. Key elements of the study include number of funds and rankings, sizing and number of unique funds offered in registration.” Read More

Want to submit content for our Member Corner?

Diversity Project Informational Meeting 
September 6 | Toronto | 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 Sionna Investment Managers 

Click here to secure your complimentary spot and learn more 

NICSA Crypto Economy Summit | Midwest  
September 19, 2018 | Four locations: Chicago, Columbus, Denver, Kansas City
A primer on the fundamentals of cryptocurrencies and how your firm can prepare for the impact of blockchain technology. 

Click here for agenda and complimentary registration.

ALFI Global Distribution Conference 
September 25-26 | Luxembourg
Annual meeting of the world's leading fund distribution community. 

Click here for agenda and registration information. 
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 

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: 

GFT Technologies: Adviser to the world's leading financial institutions on IT solutions, specializing in blockchain, cloud engineering, artificial intelligence and the internet of things across all sectors. 

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 

Fraud Prevention Series: Social Engineering Recognition and Response 
Wednesday, August 29, 2018 | 2:00pm - 3:00pm ET
This webinar will focus on Vulnerable Investor Protection and will take a deep dive into true stories of member firm's efforts to protect their client(s) from social engineering fraud and other types of exploitation. Our panel of experts will help provide a look into how to build the best tools for protection for your investors. 
8400 Westpark Drive, 2nd Floor McLean, VA 22102
Tel: 508.485.1500 • Email:
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8400 Westpark Drive, Second Floor, McLean, VA 22102