NICSA Connect Newsletter : March 2019

Showcasing excellence in innovation and leadership within the asset management industry 


NICSA’s 2019 Volunteer of the Year Awards are announced! Executives from BNY Mellon, Citi, Confluence, Franklin Templeton Investments, Invesco, J.P. Morgan, MFS Service Center, Northern Trust, PwC, Touchstone Funds, and UMB Fund Services will be honored. Read More


Volunteers will be honored at the NICSA Strategic Leadership Forum on April 4.


NICSA is pleased to announce the launch of the NICSA Alternative Investments Committee.

The Alternative Investments Committee focuses on industry standardization and best practices between product providers, distributors and service firms. The committee will document best practices and advocate for industry standardization and streamlining of current policies and procedures associated with the service and distribution of alternative investment products. 


NICSA also recently launched an SMA Working Group within the Product & Distribution Committee. We are looking forward to supporting important topic exploration within the separately managed account arena. 


NICSA supports a wide variety of topic and event committees, allowing our members to have impactful participation, make meaningful contributions, and have their voices be heard.

Interested in joining a NICSA Committee?

View Committee Listings | Apply for Membership


Time is running out to register for NICSA STRATEGIC LEADERSHIP FORUM, featuring:

  • Keynotes from Morgan Stanley’s Carla Harris and The Art of Perception’s Amy Herman
  • General sessions led by CNBC's Tyler Mathisen and Talking Cranes’ Mona Sabet
  • 10+ hours of educational content focused on distribution disruption, product development, AI, data management, fraud prevention, international fund markets and more.

2019 Strategic Leadership Forum | Register Now

April 3-5 | Ponte Vedra Beach, FL
The NextGen Workforce in the Asset Management Industry | Register Now
Sponsored by Northern Trust
April 17 | 2:00pm - 3:00pm ET
The NICSA Transfer Agent Compliance Guide is the definitive resource for member firms seeking insight on the practical applications of the many and varied rules affecting transfer agent operations. 


The 2019 Transfer Agent Compliance Guide is here! An industry standard not to be missed, this reference guide is an essential tool for building awareness and facilitating a definitive understanding of fundamental TA compliance regulations. 


Special thanks to the NICSA TA Committee who championed this effort, as well as our partners and sponsors Reed Smith and Donnelley Financial Solutions (DFIN). 


Get your copy of the 2019 NICSA Transfer Agent Compliance Guide at the NICSA SLF! Complimentary printed books are available to the first 100 SLF attendees to visit the DFIN booth (#6).

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.


Citisoft: Asset Management’s Ascent: The Trek Toward Transformation

An in-depth focus on asset management technology and operations issues and challenges that the industry is likely to encounter over the coming year. Read More

Fund IntelligenceThe Building Blocks for Creating a Culture of Diversity and Inclusion

Nearly all top managers have implemented some kind of a diversity and inclusion framework. This article – free to read for 24 hours for NICSA members accessing it from this email – highlights the broad range of tactics that are being employed. Read More


UMBRethinking Trust Structure and Enhancing Profitability

Operating under the most economical trust structure given a fund company’s size and resources can have a significant impact on an investment advisor’s ability to run a successful mutual fund business. In this white paper, UMB explores the advantages of converting from a standalone structure to a series trust and the various factors facing many asset managers today that are driving this organizational rethinking. Read More


A look back at NICSA's recent educational programming.


Industry Leaders

NICSA’s panel of thought leaders explores tech and ops trends, distribution and product evolutions, and human capital management issues that are expected to have the biggest impact on the industry in 2019. Insights from Columbia Threadneedle, Morgan Stanley, and Oppenheimer Funds.

Replay Webinar

Building Deeper Advisory Relationships with Data

An exploration led by Broadridge and John Hancock Signature Services into how asset managers are addressing today’s marketplace challenges and leveraging new tools and technologies to create more fruitful relationships with financial advisors. 

Replay Webinar

FinReg Outlook: Clouds on the Horizon 

Key information on new developments, regulations, and trends that we think asset managers should be tracking for the year ahead, including the latest insight on UCITS 6, AIFMD 2, PRIIPS2, MiFID 3. Citi moderates perspectives from leading global law firms. 

Replay Webinar | Read Blog

Preparing for the Next Gen Client Base

Thought leaders from Broadridge and CogentReports provide an in-depth look at myths and facts about how financial firms can connect with millennial investors by understanding their financial outlook, what’s important to them and how they like to communicate.

Replay Webinar | Read Blog

Tax & Reporting Update

NICSA’s panel of experts from EY and State Street Corporation explore recent and proposed legislation impacting tax and financial reporting. 

Replay Webinar | Read Blog

NICSAtalk: Podcast Series
If you've got ten minutes, we've got on-the-go, quick 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. 
New Episodes:

Machine Learning Applications | Listen to the Podcast

AI in Asset Management | Listen to the Podcast

Rule 30e-3: Two Year Outlook | Listen to the Podcast

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 following new members: 

Meeder Investment Management: Specializing in Defensive Equity strategy, better known today as tactical investing, capabilities include mutual funds, investment portfolios, separately managed accounts, and cash management solutions.

1420 New York Ave NW, 5th Floor, Washington DC 20005
Tel: 508.485.1500 • Email:
FBicon-white.png  LIicon-white.png  Twittericon-white.png  YouTubeicon-white.png
Unsubscribe from these messages.

1420 New York Ave NW, 5th Floor, Washington, DC 20005