Speaking at NICSA’s General Membership Meeting in Boston on September 11 -- in a session moderated by Eaton Vance’s Eileen Storz-Salino -- Suzanne Nersessian and Stephanie Roche of Deloitte provided an overview of the control reports used in the fund industry, including the Financial Intermediary Controls and Compliance Assessment prepared by firms providing omnibus recordkeeping services.
At the recent NICSA GMM, one session was devoted to the operational implications of alternatives. The panel, comprised of representatives of DST Systems, ALPS Fund Services, Franklin Square Capital Partners and BNY Mellon, focused on transfer agency operations and the challenges brought by alternatives investments.
The small, but passionate, group of volunteers of the NICSA Retirement Committee is the focus of this quarter’s NICSA Committee Spotlight!
Led by co-chairs Allan Browns, Waddell & Reed Services Company and Perri Williams, Invesco, the goal of the NICSA Retirement Committee is to share information and best practices related to the operation of retirement plans and accounts within the fund industry.
Here’s our recap of the stories that mattered to operations professionals in the investment industry last month.
Read as representatives from Georgeson, Prudential and UPRR explained, speaking on a panel at NICSA’s General Membership Meeting, that a successful program for keeping shareholder property from becoming lost must have these 5 components.
How does Morningstar’s rating process work? How are funds categorized? With the advent of liquid alternatives funds, the answers have become more complex. At the NICSA General Membership Meeting earlier this month, Josh Charlson, head of alternatives fund analysis for Morningstar, gave attendees a peek under Morningstar’s hood.
At NICSA’s General Membership Meeting, held in Boston on September 11-12, representatives from Janus Capital Group, State Street and the Enforcement Division of the Securities and Exchange Commission compared notes about what’s hot -- and what’s not -- on their agendas. Here are the 8 issues that they collectively agreed were top priorities: