New Challenges on the TA Compliance Landscape

Wednesday, May 29, 2019


2:00 pm - 2:30 pm ET              

Sponsored by:







Timothy Johnson

Partner, Reed Smith


Bridget Ireland

Compliance Officer, FIS

Jim Kramer

Regional Director, Sales Support Operations, Northern Trust


New Challenges on the TA Compliance Landscape from NICSA


Join NICSA’s panel of experts as we discuss what it takes for transfer agents to stay compliant with GDPR regulations, elder abuse prevention best practices, and other top of mind compliance issues. Take a guided tour of the NICSA Transfer Agent Compliance Guide, an essential resource available to NICSA members for understanding and responding to industry and regulatory challenges. Subject matter experts will review what’s new for 2019 and discuss what the future may hold for the regulatory landscape.
Learning Objectives:
Our panel will take a deep dive into the trends driving the retirement industry forward including:

  • A guided tour of the NICSA 2019 Transfer Agent Compliance Guide
  • The latest insights on GDPR regulations
  • Up to date views on elder abuse prevention best practices

CPE Information

NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


For this webinar:
CPEs Earned: 0

Cancellations and Refunds

Due to this program being offered free of charge, there will be no refunds issued.

Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

  • NICSA Member Portal Login
Click below to sign into the NICSA member portal.

» Sign in

Don't have an account? Click Here...

Follow Us

Upcoming Events

  • Webinar: Understanding ROI: The Real Impact of Data Quality

    November 6, 2019 | 2:00-3:00pm

    Learn more and register...
  • NICSA 2019 General Membership Meeting (GMM)

    October 17-18, 2019 | Boston, MA

    Learn more and register...
  • NICSA 2020 Strategic Leadership Forum (SLF)
    (38th Annual Conference)

    February 26 - 28, 2020 | Ft. Lauderdale, FL

  • NICSA 2020 General Membership Meeting (GMM)

    October 8-9, 2020 | Park Plaza | Boston, MA