NICSA Connect Newsletter: August 2019

Your source for the latest insights into global asset management industry trends.
Jim Fitzpatrick Recognized as Leader in Diversity, Influential LGBT Ally

NICSA is delighted to announce that President and CEO Jim Fitzpatrick was recently featured in LGBT Great’s #50For50 Executives campaign. The campaign showcases 50 executive leaders across the asset management industry pioneering a diverse and inclusive environment. Jim is a proud ally of the LGBT community and has been recognized for his leadership in the launch of NICSA’s Diversity Project North America. With hopes of deepening the D&I lens within the global asset management industry, we are pleased to see our industry leaders stand together in support of the LGBT+ community not just for #Pride but all year round.  Read More

Diversity Project Virtual Town Hall:

Jylanne Dunne, VP, Diversity Project North America at NICSA, recently led a virtual Town Hall meeting, providing important updates on recent initiatives, committee development, and short-term goals. “The Diversity Project North America followed the UK project in some important ways,” Dunne said. “We established two levels of membership, founding and participating, with founding members leading both strategically and from an execution standpoint. We're similar to a board management structure where the participating members are heavily involved in the active communities.” Read More |  Replay the Program


“Like Learning a New Language…” NICSA Presents a Rosetta Stone for Learning to Speak ESG

In June, NICSA held its latest event, focused on “ESG Essentials for Asset Managers & Advisors.” The NYC-based discussion was robust and more than filled a two-hour window. The panelists agreed that we are now well past the days of ESG being a niche approach, but pointed to ongoing needs for consistency in scoring and data, since one provider’s ESG “winner” can score poorly based on another’s metrics. Those inconsistencies point to an even larger issue when it comes to how many in finance and investing think about ESG. 


Read More  |  Register for our Chicago ESG Event |  Register for our San Francisco ESG Event


Two Must-See Keynotes Revealed for NICSA GMM in October

NICSA will be back at the Royal Sonesta in Boston this fall for its annual General Membership Meeting from October 17-18 to address the top issues facing asset managers and financial service providers.  Here, NICSA members will have the opportunity to share time with two industry powerhouses:  Fidelity’s Carolyn Clancy and Morningstar’s Kunal Kapoor. Read More

NICSA in the Spotlight
Speaking Engagements


SEP 24-25 | LUXEMBOURG Jim Fitzpatrick to be featured at the ALFI Global Distribution Conference, sharing News from Asia and the US | View Agenda


SEP 17 | ORLANDO | Jylanne Dunne, VP, Diversity Project North America, to be featured at the SS&C’s Deliver Conference, where she will be speak on a panel about Diversity and Inclusion in the Workplace, Powering Business, Leading Change View Program


OCT 10 | NYC | Jim Fitzpatrick to serve as a judge for this year's Fund Intelligence Operations & Services Awards Meet the Judging Panel

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:
ETFs & Model Portfolios |  Listen to the Podcast
NICSA members provide valuable viewpoints on the future of the asset management industry. Here's a look at our top picks for the month.


DTCC | The Rise of ESG Investing

“DTCC’s Wetjen Talks Regulation, Technology and the Rise of Socially-Responsible Investing” Read Article


Hennion & Walsh Asset Management | CEF & ETF Insights

“CEF and ETF Insights” covers a wide range of educational topics related to

these two popular security types in addition to general market commentaries and outlooks.  Read Report

Diversity Project members offer up unique insights on diversity and inclusion in the asset management industry: 


CFA Institute | Women in Investment Management 2019

“The Women in Investment Management conference and CFA Institute’s Women in Investment Management Initiative are committed to showcasing the latest research to improve awareness of how gender-diverse teams can positively impact investment outcomes.” View Articles and Research


Fidelity Investments’ Head of D&I, and Diversity Project CEO Advisory Council Co-Chair, Amy Philbrook provides insight to The Future Organization on “How Fidelity Investments is Using Data and Analytics to Create a Diverse and Inclusive Organization”  Listen to Podcast

A look back at NICSA's recent educational programming.

Trends in the Advisor Landscape

Asset managers and distributors learned the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors. Thought leaders from Cogent provided insights into advisor preferences and guidance on how to strengthen partnerships. Replay Webinar

Diversity Project Town Hall
Hear an update on the Diversity Project’s goals and initiatives; get an overview of new operating committees and workstreams being put into action in 2019; and, discover how your firm can get involved in one of the industry’s fastest growing initiatives. 

Replay Webinar Read Blog

New NICSA Members
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: Chicago Clearing Corporation & Aperio Group

New Diversity Project North America Members

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 have one Founding Member opening left! Please contact Jylanne Dunne, VP, Diversity Project for more information!



Understanding Reg BI

TODAY! Tuesday, August 13 | 2:00pm ET | Learn More & Register

This webinar will discuss the adoption of Regulation Best Interest (Reg BI) and its effect on broker-dealers, investment advisers, and asset managers. Our panel of experts will explain the implications and will provide practical steps that industry participants can take to ensure compliance with Reg BI.


Aligning Operational Resources in the Digital Age

August 21 | 2:00pm ET | Learn More & Register

Transfer agencies face significant challenges with cost containment pressure while focused on delivering excellent service to maintain advisor and investor loyalty. As a result, companies are reassessing their organizational structures, breaking down walls between the TA and other business units, and learning to leverage tools and human resources to address the opportunities and challenges of today’s fund market.  

Compliance Agility and Efficiency in Investment Operations

Sponsored by Confluence
August 28 | 1:00pm ET | Learn More & Register

With regulatory change as a driver for compliance agility and Form N-PORT behind us, what is the next big thing for the back office? This webinar will focus on life after Form N-PORT, the trends and initiatives in the financial services industry. 

Product & Marketing Roundtable

September 11 | 2:00pm ET | Learn More & Register

New ways of attracting and engaging investors make 2019 an exciting (and challenging) time to work in global asset management. The industry is facing rapid evolution in terms of product development and marketing trends. Our panel of industry thought leaders explores the industry’s biggest obstacles and opportunities for product differentiation and brand loyalty. Find out what product trends have traction for the long term and how product and marketing teams are working together to support these trends.


NICSA is a proud sponsor of the Bonhill Group Women in Asset Management Awards
September 12, 2019 | NYC | Learn More & Register
These awards will honor exemplary and forward-thinking women working within the asset management industry across 16 categories, including Business Role Model of the Year, Bond Manager of the Year and Woman of the Year.
NICSA is a proud sponsor of the FT Future of Asset Management Summit
20% discount to NICSA members!
September 18, 2019 | NYC | Learn More & Register
Hosted by the Financial Times, the Future of Asset Management Summit will examine the innovations that are disrupting and reshaping the sector, and the opportunities and risks ahead.
Midwest Regional Event | ESG Marketplace & Data Trends
September 19, 2019 2:00-5:00pm local time | Chicago, IL | Learn More & Register
ALFI Global Distribution Conference 
September 24-25, 2019 | Luxembourg | Learn More & Register
West Coast Regional Event | ESG Product Trends & Regulatory Practices 
September 25, 2019 2:00-5:00pm local time | San Francisco, CA | Learn More & Register
NICSA would like to thank our 2019 Regional Meeting Sponsors:
East Coast | J.P. Morgan
Midwest | Chapman & Cutler LLP
West Coast | Ropes & Gray LLP
2019 General Membership Meeting (GMM)
October 17-18 | Boston, MA | Learn More & Register
1420 New York Ave NW, 5th Floor, Washington DC 20005
Tel: 508.485.1500 • Email:
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