NICSA Connect Newsletter: May 2019


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

Ignites: Everyone is Judging You. Be Authentic: MSWM Exec

“The ideal of meritocracy at work is unrealistic, even in an industry that values performance, Morgan Stanley vice chair of Wealth Management Carla Harris told industry execs …”

Read Article


Ignites: You’re In or You’re Out: Tips for Making Affinity Groups Inclusive

“…a number of shops say they are working to expand employee networks beyond gender, race and sexuality to include a wider range of interests.” Read Article


Ignites: Know It or Not, Advisors Need Managers' Model-Making Help: Cerulli

“We talk to advisors about being able to increase scale,” said Rose Palazzo, head of financial planning at Morgan Stanley Wealth Management, during a recent panel discussion at the Nicsa Strategic Leadership Forum…”  Read Article


Delta Data Blog: How to Stay Ahead of the Change: Takeaways from NICSA Strategic Leadership Forum 2019  

“From disruptive technologies to gender diversity in asset management, to fraud prevention, there were many engaging topics discussed at the conference. However, the main thread woven throughout the sessions was how to adapt to change in our industry to increase productivity and streamline go-to-market strategies .”   Read Blog



NICSA’s keynote sessions from last month’s Strategic Leadership Forum were full of interactive content and impactful takeaways. 

Face the Membership with CNBC’s Tyler Mathisen

“CNBC’s own 'Power Lunch' Co-Anchor Tyler Mathisen used his vast experience in financial journalism to lead a group of C-suite executives through a discussion around the latest business trends and challenges.…” Read Blog


Pearls of Wisdom from Morgan Stanley’s Carla Harris 

“Industry powerhouse Carla Harris, Managing Director and Senior Client Advisor at Morgan Stanley, shared 'hard earned and hard learned' pearls of wisdom from her 32-year career on Wall Street during NICSA’s Strategic Leadership Forum …”  Read Blog


Bookmark NICSA's blog or visit Event Archives for coverage of all SLF sessions.




Navigating Turbulent Changes to the Sanctions Landscape

Sponsored by SIX Financial Group

May 22 | 10:00am ET | Register

Recent geo-political events have made for challenging times for sanctions compliance professionals. SIX is hosting a webinar with NICSA members to explore ways to reduce operational risk by staying one step ahead of evolving economic sanctions. 


New Challenges on the TA Compliance Landscape

May 29 | 2:00pm ET | Register

Authors and contributors of the 2019 Transfer Agent Compliance Guide provide insight on what it takes for transfer agents to stay compliant with  GDPR regulations, elder abuse prevention, and more. Featuring: Reed Smith, FIS, Northern Trust

Tomorrow! ALFI New York Roadshow
May 22 | New York City | Register
NICSA East Coast Meeting: ESG Essentials for Asset Managers and Advisors
June 17 | New York City | Register

Gain diverse, timely insights on the following topics:

  • Understanding what ESG is and what it isn't
  • Talking to clients about ESG investments
  • Managing diverse data sources and labeling criteria 
  • Assessing performance and benchmarking
SAVE THE DATE: Warm Welcome | Summer Networking Event 
June 27 | Denver, CO | Stay tuned for more info...
SAVE THE DATE: West Coast Meeting 
September 25 | San Francisco, CA | Stay tuned for more info...
SAVE THE DATE: General Membership Meeting (GMM)
October 17-18 | Boston, MA | Stay tuned for more info...
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.


EY: 2019 Global Wealth Management Research Report

“Discover how wealth managers can deliver greater value based on their clients’ evolving financial preferences and needs. EY surveyed 2,000 wealth management end clients across 26 countries to understand what matters most to them…” Read Report


SS&C: Bold Moves that are Transforming Asset and Wealth Management

“Learn what it takes to create and maintain a sustainable asset and wealth management organization – standing still is not an option. This whitepaper helps executives evaluate potential strengths in: operational scale and technology advantages; direct connection to customers; and product leadership positioning …” Read White Paper


A look back at NICSA's recent educational programming.


ETF Product & Distribution Trends

A look at trends in ETF product design and distribution, with a deep dive into the use of ETFs within models and managed account platforms, and how advisors are using them. Replay Webinar


The NextGen Workforce in the Asset Management Industry

What it takes to promote a dynamic and strategically aligned workplace to develop future talent and train tomorrow’s leaders.  Replay Webinar


Retirement 2020  

This webinar reveals new research on the saving habits of a new generation of investors, and reviews the strategies that retirement plan professionals are using to streamline operations and leverage new technologies. Replay Webinar



The Strategic Leadership Forum in Ponte Vedra Beach, Florida showcased innovative thought leadership in distribution, tech trends and diversity. Event Archives



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:

LIVE FROM SLF: Digitalization Brings Opportunity in AM – A Discussion with DFIN President Eric Johnson |  Listen to the Podcast


LIVE FROM SLF: Emerging Trends in Investment Products –  A Conversation with Jack Tierney, Executive Director, Product Management at Invesco | 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: 
CFA Institute: The mission of CFA Institute is served by generating value for core investment management professionals and engaging with the core investment management industry to advance ethics, market integrity, and professional standards of practice, which collectively contributes value to society.
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. 
The Diversity Project North America is a NICSA initiative that promotes a diverse and inclusive asset management industry with the right talent to deliver the best possible results for our clients, reflect the society we serve, and ensure long-term business sustainability.

We are pleased to announce that the Diversity Project now has 26 founding members, most recently American Century Investments and the US affiliate of HSBC. We will only be accepting four more founding member firms. For more information, please contact Jyl Dunne, VP Diversity Project North America.

American Century Investments 




BMO Global Asset Management

Broadridge Financial Solutions

Capital Group
CFA Institute


Columbia Threadneedle Investments


Eaton Vance

Fidelity Investments

Fiera Capital



J.P. Morgan

MFS Investment Management


NEPC Investment Consulting

Northern Trust


PGIM Investments

Sionna Investment Managers

State Street Global Advisors



American Century Investments is a leading global asset manager focused on delivering well diversified investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, our 1,400 employees serve financial professionals, institutions, corporations and individual investors from offices in New York; London; Hong Kong; Sydney; Mountain View, Calif.; and Kansas City, Mo. We are committed to the continued growth of a diverse and inclusive culture that maximizes each employee’s talents so that all voices are recognized, heard and valued.

HSBC Global Asset Management is a full-service asset management firm overseeing US $455bn in Assets Under Management and operating in 26 countries and territories. The firm manages fixed income, equities, liquidity, alternatives and multi-asset capabilities for institutional, wholesale and retail clients across the world.

1420 New York Ave NW, 5th Floor, Washington DC 20005
Tel: 508.485.1500 • Email:
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