2019 Agenda All Sessions

Wednesday, October 16


9:00am - 12:00pm 
 Diversity Project CEO Advisory Council Meeting
12:00pm - 1:00pm
 Joint Luncheon with Board and Advisory Council
1:00pm - 3:30pm 
 NICSA Board of Directors Meeting
1:00pm - 5:00pm
 NICSA Committee Meetings
3:30pm - 5:30pm
 NICSA 2019 Committee Co-Chair Symposium
6:00pm - 8:30pm
 Board Reception and Dinner


Thursday, October 17
7:30am - 4:30pm Registration Open

7:45am - 8:45am

8:45am - 9:00am

Welcome Remarks
Dan Houlihan, Chairman of the NICSA Board of Directors

9:00am - 9:25am

A Sell-Side Handbook for Asset Managers

Providing actionable insights on global financial markets and the dynamics that move them are the fundamental premise of the long-lived model of sell-side/buy-side feng shui. However, numerous factors are impacting the traditional model of sell-side research within in the asset management industry. This session examines the evolving role of transparent, personalized, and value-oriented sell-side research.

9:30am - 9:55am

Major Macro Trends Impacting the Asset Management Business

Join us for an in-depth look at the fundamental shifts in the investment landscape that are shaping the future of the global asset management industry. This informative session will take a deep dive into how these major macro trends can guide future operating models, talent management, and process development.


10:00am - 10:50am

 Prioritizing Your Tech Spend: A Guide to Strategic Sourcing

The cost of managing and maintaining technology spending is one of the most challenging issues of modern business. This session will explore ways to minimize spending, leverage partnerships, and balance budgets against ROI.  Hear business and technology leaders share their views on technology spending including outsourcing and learn oversight strategies crucial to long-term success of business planning.

Gary Bigley, Managing Director, Global Head of the Process Automation Center of Excellence, Blackrock

10:50am - 11:15am

 Networking Break

11:15am - 12:15pm

 Upside & Opportunity with Fidelity's Head of Broker Dealer Segment

Carolyn Clancy
, EVP, Head of Broker-Dealer Segment, Fidelity Investments

Carolyn Clancy, EVP, Head of Broker-Dealer Segment at Fidelity Clearing & Custody Solutions (FCCS), shares unique perspectives on why the advisor landscape must evolve amid a rapidly changing industry and how big data, digitization, and technology development can drive strategic partnerships and help your firm become a solution provider.

12:15pm - 2:00pm

NOVA Awards & Luncheon

The NICSA NOVA Awards recognize outstanding organizations and industry professionals that excel in the field of asset management by demonstrating exemplary leadership and innovation. The awards are presented annually at the General Membership Meeting (GMM). 



2:00pm - 2:30pm
Transitional Break
2:30pm - 3:20pm

Learning Clinics

Join industry executives in roundtable discussions on top-of-mind issues impacting the global asset management industry. Leave with clear messages that your teams can turn into action. 

Track 1 - Sharpen Your Tools Against Fraud

Another day, another fraud tactic. Staying on top of social engineering and other emerging trends as they develop is the most effective way to prevent fraudsters from infiltrating your service center. Industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats.

Track 2 - Developments in Asset Management Allocation Models

More than one-quarter of advisors report using models as a base for their portfolios before making customizations. Learn how models are being evaluated and used in a discussion led by industry thought leaders on distribution. This interactive session will address ways that asset managers can partner with advisors to “move the needle” on the future of model portfolio and building client value.


Scott Smith, Director, Advice Relationships, Cerulli

3:30pm - 4:20pm

Learning Clinics

Track 1 - Artificial Intelligence Mentorship Clinic

Join us for a hands-on learning experience exclusively for NICSA GMM attendees! You know what Artificial Intelligence is; now, learn from actual practioners how to explore the application of AI in your business models. This interactive clinic will showcase AI technologies currently in use within the asset management industry, as well as the asset managers that are using them. Learn how AI solutions are re-inventing both front and back office business solutions.

Track 2 - When Stars Align: How to Align Your Sales and Distribution Organizations

In order to meet changing product and distribution needs, alignment between sales and marketing organizations has never been more important. Learn the strategies that industry innovators are using to transform their organizations to increase efficiency and effectiveness in an ever evolving distribution landscape.

Michael Andrews, SS&C
Julia Binder, Director of Strategic Marketing Research, SS&C

4:30pm - 6:00pm
Networking Reception

Friday, October 18

7:30am - 12:00pm
Registration Open

7:30am - 8:30am

Bonus Breakfast | Join the Diversity Movement 2.0


8:45am - 9:00am

Opening Remarks

9:00am - 10:00am

C-Suite Summit: How to Stay Relevant & Bolster Client Value

Get the full value of knowledge from frontline industry executives as they shed light on the provocative issues that are top of mind for executive teams across the asset management industry.  From talent management to product development to client service, learn what’s helping them differentiate their value propositions.  

Lisa Jones, Head of the Americas, President & CEO, Amundi Pioneer Asset Management USA, Inc.

10:00am - 11:00am

Architects of Innovation: Product Creation in Asset Management

Kunal Kapoor
, Chief Executive Officer, Morningstar

Morningstar’s Kunal Kapoor, Chief Executive Officer, delivers the latest perspectives on product development trends in the asset management industry. Get up-to-the minute insights on Environmental, Social and Governance priorities, non-transparent ETFs, and other disruptive trends. Kunal’s presentation will be immediately followed by a panel discussion with the industry’s top product and distribution leaders focused on which trends are gaining the most traction, what determines success in those niches, and how companies can stay competitive on the product development front.

Glen Casey, Global Head of Products, Senior Vice President, American Century

11:00am - 11:15am
Transitional Break

11:15am - 12:15pm

Engaging and Servicing the Next Generation

Client onboarding, communications, and engagement trends have changed drastically in recent years. Technology has introduced financial advice with little human interaction; advanced analytics are driving account servicing; and the demand for social responsibility is impacting product development. Hear from industry innovators how they are utilizing these trends to serve NextGen investors.


Nick Lombardo, Vice President, Sales Executive, Citi Securities Services

12:15pm - 12:20pm

Closing Remarks