New Challenges on the TA Compliance Landscape

On the heels of the release of the 2019 NICSA Transfer Agent Compliance Guide, experts from Reed Smith, FIS, and Northern Trust gathered for a special #WebinarWednesday event to provide insight on today’s most pressing compliance issues.  The guide, produced by NICSA, Reed Smith, and Donnelley Financial Solutions (DFIN), is a comprehensive, educational resource of current compliance updates and standards…

The Next-Gen Workforce in the Asset Management Industry

The group of individuals we typically classify as the “next generation” is changing. For a long time, the phrase was relatively specific to Generation Y (Millennials), born between 1977 and 1995. But today, Generation Z (Centennials) — or those born after 1995 — are entering the workforce, joining Millennials, Generation X, and Baby Boomers. “Discussions…

ETF Product Design and Distribution Trends

It’s no secret that exchange-traded funds (ETFs) are becoming a significant part of the investor toolkit — and with increased adoption comes innovation. For today’s asset managers, it’s more important than ever to stay up-to-date on the latest trends shaping the ETF landscape. To that end, NICSA members received an in-depth look at ETF product…

Navigating Turbulent Changes to the Sanctions Landscape

“We’re living in a boom time for sanctions,” Stephen Brosnihan, Regional Director, Sales Support Operations for North America at SIX, told NICSA members during a recent #WebinarWednesday session. The event, in which panelists explored how to reduce operational risk in the face of evolving economic sanctions, also featured experts from Bureau van Dijk and Charles Schwab….

Empowering Women in Asset Management

Women may account for more than half of the entry-level financial services workforce, but that doesn’t mean they will face a level playing field further along in their careers. According to Women in the Workplace, an initiative between McKinsey & Company and LeanIn.org, women are significantly underrepresented in the upper ranks of financial-services companies, accounting…

Fraud Prevention in Today’s Multi-Channel Cyber Environment

Financial fraud is a growing concern in the digital age — and scammers have more tools at their disposal to access sensitive data than ever before. Fortunately, technology has also brought forth defense mechanisms and controls that industry leaders can leverage to prevent fraud. “Fraud is a multi-channel problem,” said Chuck Gallant, Director, Asset Servicing…

Principals of Product

NICSA members gained insight into emerging product trends – and how investment managers and distributors are working together to support them — during a breakout session at NICSA’s Strategic Leadership Forum in April. Jack Tierney, Head of Investment Policy and Governance, Invesco Unit Trusts, moderated the panel, which included leaders from Columbia Threadneedle Investments, Delta…

Face the Membership with CNBC’s Tyler Mathisen

NICSA members kicked off the second day of the NICSA’s 2019 Strategic Leadership Forum with an appearance from CNBC’s own Tyler Mathisen. Mathisen, “Power Lunch” Co-Anchor & Vice President of Events Strategy at CNBC, used his vast experience in financial journalism to lead a group of C-suite executives through a discussion around the latest business trends…

Uncovering Unconscious Bias

We may not be aware of them, but Corporate and Business Development Expert Mona Sabett says our unconscious biases are deeply rooted in our evolutionary pasts. Take the loss aversion bias, identified in 1992 by Amos Tversky and Daniel Kahneman, for example. “That bias says that the pain that we experience from loss outweighs the pleasure…

Is the Asset Management Industry ‘Data Driven’ Yet?

When it comes to data and analytics, Lyndsay Noble, Head of Advance Analytics Practice, SS&C, said asset managers should know where to channel their efforts. “When people think about data-driven companies, they often consider what is known as FAANG: Facebook, Apple, Amazon, Netflix, and Google,” Noble said during a breakout session at NICSA’s recent Strategic…

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