NICSA Connect Newsletter : January 2018

Your source for the latest insights into global asset management industry trends.
2018 Strategic Leadership Forum (SLF)
February 28 - March 2, 2018 
The Doral | Miami, FL 
Distribution evolution, product proliferation, and FinTech are shaping asset managers’ 2018 business strategies. When NICSA’s Strategic Leadership Forum convenes this winter, a diverse group of leaders within the industry will tackle these issues head on. Here’s a sampling of this year’s impressive speaker line-up: 

Accenture | Access Data Corp./Broadridge | ALFI | Bank of America Merrill Lynch | BlackRock | BNY Mellon | Brinker Capital | Cerulli Associates | Citi | Columbia Threadneedle Investments |Deloitte | DST Systems | Fidelity Institutional | FIS | John Hancock Investments | KNEIP | MFS | Morningstar | Northern Trust | OppenheimerFunds | Putnam Investments | PwC | Reed Smith | SEC | SIFMA | The Boston Consulting Group |Thornburg Investment Management | Vanguard Group | Virtus Investment Partners 

What can attendees expect at the 2018 SLF? READ FULL BLOG: Impressive Speaker Line-Up for NICSA SLF
NICSA's 2018 Blackwell Scholarship Charity Golf Tournament
March 2, 2018 | 1:15pm 
The Doral | Miami, FL 
Click here to register individually or to secure your foursome today!  All net proceeds from the tournament will be donated to the Scholarship Fund which recognizes outstanding students of the NICSA family with financial and social support for postsecondary education.
Blackwell Scholars are provided with two years of scholarship support, a mentor from a NICSA member company, and access to career networking and internship opportunities.
Mutual Fund Reg-Tech Workshop
Wednesday, March 7 
Boston, MA
In partnership with Pageant Media, K&L Gates and PwC, this one-day workshop, Charting the Evolution of Compliance and Technology, offers NICSA members an opportunity to explore the future developments that technology is bringing to mutual fund compliance and operations through a combination of panels, interviews and interactive roundtables. Open to the first 100 registrants, this is an essential event for COOs, CTOs, CCOs and executives from within these functions.

Inquiries about this event can be sent to:
What’s making vendor oversight more important to investment managers and their boards? 
WATCH Ignites Video: Vendor Oversight in an Age of Cyber Insecurity
How are asset managers managing the acceleration of DevOps?
WATCH Ignites Video: Building Sandboxes: Where IT Departments Fit Into New Tech Model 
NICSA’s newly appointed Executive Committee is set to direct the Association’s strategies and support its mission for the 2018 fiscal year. 
READ Press Release:  NICSA Announces Newly Appointed Executive Committee

Author: NICSA TA Committee
NICSA’s TA Committee weighs in on variances between State and Federal laws and the impact to the asset management community.

 “… A recent trend with legislative initiatives is making compliance and regulatory oversight more complex and costly. In some cases, rules on how and when to best address fund industry challenges are being put forth because of differences between the political parties in control at State and Federal levels.  The result is the issuance of new State laws in areas where Federal laws are not currently in place, are pending, or overlap with Federal edicts—some with variances in requirements …”

READ FULL BLOG: Political Divide Hits the Fund Industry
Showcasing Excellence in Innovation and Leadership within the Asset Management Industry 
The Strategic Leadership Award is NICSA’s highest recognition for business innovation within the asset management industry.  

MarkCasady2.png?r=1516121332599The 2017 Strategic Leadership Award was presented to Mark Casady, Retired Chairman & CEO of LPL Financial.  Mark retired as LPL Financial CEO in 2017.  While at LPL, he guided the firm to become a leading financial services organization that serves independent financial advisors, banks, and credit unions and provides clearing services to broker/dealers at financial services companies.  He is a former member of the FINRA Board of Governors, former chairman of the Insured Retirement Institute, and previously served on the executive committee of the ICI board of governors.  Before joining LPL Financial, Mr. Casady held leadership positions at Deutsche Asset Management, Concord Financial Group and Northern Trust. 

Additionally, Mr. Casady is treasurer of the Casady family’s One Step Forward Education Foundation, which focuses on changing the lives of children around the globe through education.  He also helped found and fund the Invest in Others Charitable Foundation, which recognizes the philanthropic activity of financial advisors.

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:

DTCC:  Geopolitical Risk Surges to Record High In New DTCC Survey  

Geopolitical uncertainties in Asia, as well as prolonged uncertainties associated with Brexit negotiations, have positioned geopolitical risk as a top risk to watch in 2018, according to a new survey published by The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry…  READ Survey 

Equity Institutional: For Modern Millennials, Alternative Investing Is Already a Tradition

The millennial generation will soon surpass yesterday’s baby boomers as the largest segment of the investment marketplace. Risk averse and research oriented, a strong majority of millennial investors are interested in alternative investments… READ White Paper

EY: A View on the New Asset Management Global Operating Model

Looking to 2020 and beyond, the wave of change will be sustained over the long term and permanently reshape the wealth and asset management landscape. … This article outlines the actions leading firms are currently undertaking, or assessing, to redesign their operating models for the future…  READ Report

Want to submit content for our Member Research Corner? 

A look back at NICSA’s recent educational programming: 

Accessing Chinese Capital Markets:    Webinar Replay | Slides 
Countdown to MiFID II:    Webinar Replay | Slides
Global Distribution Strategies:    Webinar Replay | Slides | Blog

We appreciate the insightful questions during our webinar programs. For a review of some of the questions addressed by our expert panels, see the below Q&A document: 

Q&A: Global Distribution Strategies
Got ten minutes? Hear quick, on-the-go 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:  

Global Distribution Trends | Clarity Project | Vulnerable Shareholders
Mutual Fund Modernization and Liquidity Risk Management: Perspectives on Industry Readiness For Regulatory Change
January 24, 2018 | 2:00pm - 3:00pm

Learn more and register...
Leveraging Efficiencies Within the Mutual Fund Supply Chain Ecosystem
February 14, 2018 | 2:00pm - 3:00pm

Registration opening soon! 

Navigating the World of ESG Investment Trends
February 21, 2018 | 2:00pm - 3:00pm

Registration opening soon!
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