NICSA White Papers

dealer/custodian resignations

February 2017, NICSA

 

This white paper reports on a recently-conducted survey that was designed to gauge industry preparation for, and open a dialogue about, procedural development regarding the handling of a potential surge in "orphaned" accounts triggered, in part, by the Department of Labor's April 6, 2016, fiduciary rule under ERISA, and in part by other pre-existing considerations.View the press release here.

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Swing Pricing 101

March 2016, NICSA and ALFI

 

This white paper provides an educational discussion around swing pricing based on “Swing Pricing 101,” a webinar jointly produced by Association of the Luxembourg Fund Industry (ALFI) and NICSA on Jan. 27, 2016. It identifies best practices and defines parameters for swing pricing in light of the Sept. 22, 2015, Securities and Exchange Commission (SEC) proposal specific to liquidity risk management in the United States. Find out how to determine a swing threshold and swing factor, what stipulations exist in terms of governance and recordkeeping and how the proposal might work based on successful model in Luxembourg.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

European Union securities rulemaking

April 2015, ALFI and NICSA

 

U.S. asset managers are often baffled by securities rulemaking in the European Union. This new presentation from NICSA and Luxembourg fund industry association ALFI provides a brief introduction to the process -- and how it differs from the U.S. regulatory process.

 

European Union Securities Rulemaking from NICSA

NICSA Beneficiary Designation Survey Results

November 2014, NICSA Retirement Committee and the Insured Retirement Institute (IRI)

 

NICSA and the Insured Retirement Institute set out to discover more information on best practices in beneficiary designations by surveying retirement plan administrators and individual retirement account custodians. Click here to view the results*

*Results are only available for active NICSA members who are actively logged into the NICSA member portal.

 

 

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Big Data in the Fund Industry

January 2014, NICSA Technology and Innovation Committee

 

This white paper summarizes what the Committee sees as the “state of play” of Big Data in the fund industry today. Click here to download.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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AIFMD Remuneration

January 2014, Luxembourg fund industry association ALFI and NICSA

 

An overview of the ESMA guidelines on remuneration under AIFMD, plus reference guide to guideline details.

 

AIFMD Remuneration | An overview from NICSA
 
AIFMD Remuneration Reference Guide from NICSA
 

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Unit Investment Trusts: An Introduction for Investment Industry Professionals

September 2013, NICSA UIT Committee

 

An introduction to the regulation and operations of unit investment trusts.

 

Unit Investment Trusts from NICSA
 
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AIFMD 101: An Introduction for U.S. Managers

January 2013, Luxembourg fund industry association ALFI and NICSA

 

The Alternative Investment Fund Managers Directive is changing the regulatory landscape in Europe for anyone marketing private funds to investors there. To help U.S. investment managers understand the new rules, Luxembourg fund industry association ALFI and NICSA have collaborated to produce this guide:

 

AIFMD 101 from NICSA
 
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Effective Intermediary Governance | Evolving Best Practices

September 2012, NICSA Intermediary Discussion Forum

 

Summarizes the discussions of NICSA's Intermediary Discussion Forum regarding omnibus accounts and includes 5 suggested practices for fund managers.

 

 

 

Click here to read an article about the white paper in Ignites (subscription required).

 

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Retirement Plan Beneficiary Best Practices

Click here to access the white paper (pdf)

 

Detailed survey results are available in the following slide presentation:

 

Retirement Plan Beneficiary Best Practices from NICSA

 

Click here for archive of a NICSA webinar on beneficiary designations (April 2012).

 

Click here for NICSA News summary of webinar.

 

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5 Trends Shaping Today's Fund Industry

May 2012, Theresa Hamacher, CFA, President of NICSA

First presented at the RR Donnelly FundSuite User Conference

 

5 Trends Shaping Today's Fund Industry from NICSA
 
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Most Likely to Succeed | Leadership in the Fund Industry

November 2011, Robert Pozen and Theresa Hamacher, CFA

 

Most Likely to Succeed | Leadership in the Fund Industry from NICSA
 
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Operational Risk

Assessing and Mitigating Operational Risk in a Changing Environment

 

April 2009,  NICSA Compliance and Risk Management Committee

 

Operational Risk from NICSA

 

Click here to download the whitepaper (pdf).

 

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