- Managing Advisor Succession
- The FinCEN Enhanced Customer Due Diligence Study
- Best Practices in Aligning Sales and Marketing Goals
- Best Practices in Fraud Prevention
- Intermediary Evaluation Best Practices
- Dealer/Custodian Resignations
- Swing Pricing 101
- European Union Securities Rulemaking
- NICSA Beneficiary Designation Survey Results
- Big Data in the Fund Industry
- AIFMD Remuneration
- Unit Investment Trusts: An Introduction for Investment Industry Professionals
- AIFMD 101: An Introduction for U.S. Managers
- Effective Intermediary Governance | Evolving Best Practices
- Retirement Plan Beneficiary Best Practices
- 5 Trends Shaping Today's Fund Industry
- Most Likely to Succeed | Leadership in the Fund Industry
- Operational Risk
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.
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.
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.
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.
January 2014, NICSA Technology and Innovation Committee
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.
September 2013, NICSA UIT Committee
An introduction to the regulation and operations of unit investment trusts.
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:
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.
Detailed survey results are available in the following slide presentation:
May 2012, Theresa Hamacher, CFA, President of NICSA
First presented at the RR Donnelly FundSuite User Conference
November 2011, Robert Pozen and Theresa Hamacher, CFA
Assessing and Mitigating Operational Risk in a Changing Environment
April 2009, NICSA Compliance and Risk Management Committee