Sharpen Your Perception with Amy Herman at NICSA’s SLF

Sharpen Your Perception with Amy Herman at NICSA’s SLF

For nearly fifteen years, Amy Herman has provided training to top officers in the US military, law enforcement, medicine, education and numerous other industries. Now, Amy Herman offers her unique guidance to the asset management industry! NICSA members will have the opportunity to hear her unique perspective at the Strategic Leadership Forum at the Sawgrass…

Morgan Stanley’s Carla Harris to Keynote at the NICSA SLF in April

Morgan Stanley’s Carla Harris to Keynote at the NICSA SLF in April

NICSA members will have the opportunity to hear the unique perspective of an industry powerhouse in an intimate setting during the Strategic Leadership Forum at the Sawgrass Marriott Golf Resort and Spa in Ponte Vedra Beach, FL this April. Carla Harris is the Vice Chairman, Managing Director and Senior Client Advisorat Morgan Stanley. Carla will…

Best Practices in Building a Global Compliance Program

Best Practices in Building a Global Compliance Program

In an increasingly globalized economy, investment firms must embrace a global perspective when it comes to compliance with regulations worldwide. But doing so is no easy task. “When implementing a compliance program in a global environment, there’s a number of challenges that organizations face, from standardization issues in terms of contractual agreements and practices to…

AI Trends with Traction

AI Trends with Traction

As we head further into 2019, artificial intelligence is uniquely poised to drive operational efficiencies, strengthen compliance efforts, and inform investment decisions in fund management. “There’s a lot of change going on in the world at large in terms of technology and human behaviors — and none more so than in the field of financial…

RULE 30E-3: BEST PRACTICES FOR NOTICE, ACCESS & E-DELIVERY

RULE 30E-3: BEST PRACTICES FOR NOTICE, ACCESS & E-DELIVERY

Earlier this year, the Securities and Exchange Commission adopted a new rule intended to modernize the delivery of fund reports. “At its highest level, Rule 30e-3 allows mutual funds to send shareholders a short notice alerting them to the issuance of a new shareholder report that is available on a website, instead of sending the…

2019 Strategic Leadership Forum Focus Revealed

2019 Strategic Leadership Forum Focus Revealed

Join us in Florida from April 3rd to 5th to address the industry’s most important issues head on. Let NICSA help solidify your 2019 business planning.  Hear from all perspectives—asset management firms, broker dealers, and an extensive group of firms that include technology, law, and service firms that support the industry.  We’ve got a line-up of…

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