Leveraging Efficiencies Within the Mutual Fund Supply Chain Ecosystem

Wednesday, February 14, 2018


2:00 pm - 3:00 pm ET







Burton Keller
Executive Vice President Strategic Development, Delta Data
 Lynn Mohl
Senior Operations Executive, Reliance Trust Company, an FIS Company
Tate Rupprecht
Vice President Mutual Fund Operations, Prudential Mutual Funds Services LLC
 Joe Stockton
Director of Wealth Management and Asset Clearing Services, TD Ameritrade



Fund companies, distributors, BDs, and TAs explore the pitfalls and opportunities that exist to enhance counterparty efficiencies. A panel of stakeholders unearth the most significant pain points of the communication process and the risks/costs associated with them. A forward-looking discuss will focus on leveraging resources to ensure transparency within the mutual fund supply chain.

Learning Objectives:

  • The current state of the fund communications landscape and the risks/costs that are inherent in it.
  • Explore pain points from the fund, distributor and administrator perspectives.
  • Chart the course for the future - what does efficient counterparty communication look like throughout the mutual fund supply chain?

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: 1
CPE Field of Study: Communications
Program Level: Basic
Delivery Method: Group-Internet Based


For more information, please contact Jordan DeBettencourt at 508.683.1618.

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