NICSA Connect Newsletter: June 2019

NICSA:  New Committees on Alternatives & Separately Managed Accounts  Read Release
NICSA:  NICSA Announces   Jylanne Dunne as New Vice President for Its Diversity Project  Read Release

Ignites:  As Products Grow More Complex, Finra Zeroes In On Risk Disclosure 

“Complying with fund advertising rules has become more difficult due to the rise of social media and increasingly complex products, says Foreside Financial Group president David Whitaker at the NICSA Strategic Leadership Forum.” Watch Video


Ignites:  Eaton Vance's Strategy to Make Taxes Top of Mind for Advisors

“Taxes tend to get attention mainly during filing season, but Eaton Vance hopes its new interactive tools and other educational materials can help advisors integrate conversations about tax impact and strategy into client discussions year-round, says Chief Marketing Officer Elaine Sullivan at the NICSA SLF.”  Watch Video

 NICSA’s breakout sessions from the Strategic Leadership Forum resulted in industry dialogue and collaboration on many of the industry’s top issues. 

Fraud Prevention in Today’s Multi-Channel Cyber Environment 

“Financial fraud is a growing concern in the digital age — and scammers have more tools at their disposal to access sensitive data than ever before. Fortunately, technology has also brought forth defense mechanisms and controls that industry leaders can leverage to prevent fraud. 'Fraud is a multi-channel problem,' said Chuck Gallant, Director, Asset Servicing…” Read Blog


Principals of Product 

“NICSA members gained insight into emerging product trends – and how investment managers and distributors are working together to support them — during a breakout session at NICSA’s Strategic Leadership Forum in April. Jack Tierney, Head of Investment Policy and Governance, Invesco Unit Trusts, moderated the panel, which included leaders from Columbia Threadneedle Investments, Delta…" Read Blog


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


Research Report |   Managing Advisory Succession

 The Product & Distribution Committee looks at how financial institutions are thinking about advisor retirement trends and succession planning. This report is offered as a framework to asset managers to evaluate their best practice guidelines as they pertain to intermediary engagement, and building and retaining advisor relationships. Read Research Notes  

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:

The NextGen Workforce in the Asset Management Industry |  Listen to the Podcast




Diversity Project Town Hall Update

June 26 | 2:00pm ET | Register

Join NICSA for a Town Hall Meeting on the growing momentum behind the Diversity Project North America.



REGISTRATION CLOSING SOON! 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
A Warm Welcome! | Summer Networking Event 
June 27 | Denver, CO | Register
SAVE THE DATE: West Coast Meeting 
September 25 | San Francisco, CA | Stay tuned for more info...
2019 General Membership Meeting (GMM)
October 17-18 | Boston, MA | Learn More & Register
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.


BlackRock:  DC Pulse 2019

BlackRock’s annual DC Pulse Survey “engaged with 228 plan sponsors and 1,033 DC plan participants on the current state of defined contribution. This year’s survey offers key takeaways for plan design, investments and in-plan retirement income options…”  Read Report


CFA Institute:  Driving Change: Diversity & Inclusion in Investment Management

“Why is the industry stuck when it comes to diversity and inclusion (D&I)? What can be done to change it?” CFA Institute explores these questions and more.  Read Report


Citisoft:  Technology and Operations Investment Survey

“Citisoft collaborated with Ignites and FundFire to survey readers from nearly 100 firms across the asset management spectrum. We sought to learn where firms are planning to invest in the coming year and how they plan to do so…”  View Survey Results

A look back at NICSA's recent educational programming.


New Challenges on the TA Compliance Landscape 

A deep dive into what it takes for transfer agents to stay compliant with GDPR regulations, elder abuse prevention best practices, and other top of mind compliance issues. Replay Webinar | Read Blog


Navigating Turbulent Changes to the Sanctions Landscape 

Explore ways to reduce operational risk by staying one step ahead of evolving economic sanctions. Replay Webinar | Read Blog


ETF Product Design and Distribution Trends

A deep dive into the use of ETFs within models and managed account platforms, and how advisors are using them. Replay Webinar | Read Blog



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

New Member Update!
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 member:  Pegasystems

Call for Volunteers

The following committees are seeking fresh perspectives this year:
  1. Data Analytics
  2. Membership
  3. Technology
  4. Webinar Advisory
  5. Abandoned Property
  6. Alternative Investments
For more information about committee service, or to volunteer to serve on a NICSA Committee, please contact Jordan DeBettencourt at
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.

NICSA is proud to welcome two more founding members, EY and Payden & Rygel, and two participating members:  Schroders and Confluence

For a deep dive into the Diversity Project’s mission and progress outlook, please check out these informative programs:

Engaging and Empowering a Diverse Workforce Replay Webinar

Diversity Project Town Hall Update  | June 26, 2019  | Learn more & register

Now is the time to  #JoinTheMovement!  To become a founding or a participating member firm, please contact Jylanne Dunne, VP, Diversity Project North America. There are only 2 spots left to be a founding member! 

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. NICSA's TA Compliance Guide provides users an easy-to-use format and language that makes these rules easy to understand.

The 2019 Digital Reference Guide is NOW AVAILABLE via the NICSA Member Portal. Click here to order your hard copy today!

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