New Challenges on the TA Compliance Landscape


Wednesday, May 29, 2019


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2:00 pm - 2:30 pm ET              


Sponsored by:

 

 

ARCHIVES



 

 





PRESENTERS  


Timothy Johnson

Partner, Reed Smith

 

Bridget Ireland

Compliance Officer, FIS


Jim Kramer

Regional Director, Sales Support Operations, Northern Trust

PRESENTATION


New Challenges on the TA Compliance Landscape from NICSA

overview

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: http://www.learningmarket.org/.

 

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.

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