Panel Examines Unconscious Bias, Encourages ‘Building Bridges’

Panel Examines Unconscious Bias, Encourages ‘Building Bridges’

Author: Dervedia Thomas, Editor, Fund Action Date: July 2018 The asset management industry should take a closer look at unconscious bias and pay more attention to nuances within employee demographics to foster inclusion, industry pros said at a recent Fund Intelligence breakfast briefing. “Sometimes when we speak about women, we neglect women of color,” Shaunice Hawkins, principal at Evolutions…

MiFID II: Six Months Later

MiFID II: Six Months Later

Author: NICSA It’s been more than half a year since the Markets in Financial Instruments Directive (MiFID II) came into effect, and in that time, the legislation has fundamentally reshaped the financial landscape for EU firms, as well as non-EU firms that distribute products via affected intermediaries. “MiFID II has brought enormous complexity to asset…

SEC Fiduciary Rule Proposal – The Finer Points

SEC Fiduciary Rule Proposal – The Finer Points

Author: NICSA On April 18, 2018, the Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations intended to enhance the retail investor experience and provide greater transparency regarding investors’ relationships with advisers and broker-dealers. NICSA members took a close look at the proposal during a recent #WebinarWednesday discussion moderated…

Staying Ahead of Sanctions

Staying Ahead of Sanctions

Author: NICSA From OFAC sanctions on Russian oligarchs to the U.S.’s recent withdrawal from the Iran nuclear deal, changes in global politics are making regulatory compliance an increasing challenge for firms. According to Sam Sundera, Regional Manager, West Coast Americas at SIX,there are more than 4,500 sanctioned securities listed across all global exchanges with approximately…

JP Morgan’s Dr. David Kelly to Headline at NICSA GMM in October

JP Morgan’s Dr. David Kelly to Headline at NICSA GMM in October

Author: NICSA NICSA members will get a unique opportunity to hear investment ideas and business strategies from one of the industry’s most respected authorities on capital markets in an intimate setting at the General Membership Meeting in Boston, this October. Dr. David Kelly is the Chief Global Strategist and Head of the Global Market Insights…

The Alternative Investments Sector has the Wind in its Sails

The Alternative Investments Sector has the Wind in its Sails

Author: Camille Thomas, Director General, ALFI Date: June 2018 Driven by an environment of low interest rates and the quest for return and portfolio diversification, the alternative investments sector has the wind in its sails. With the aim to replicate the UCITS success story in the alternative investments area, Luxembourg has consistently expanded its range…

Pack Your Bag with Best Practices at the NICSA GMM

Pack Your Bag with Best Practices at the NICSA GMM

Author: NICSA NICSA will be back at the Royal Sonesta in Boston this fall! Join us for the annual General Membership Meeting from October 11-12 to address the top issues facing asset managers and financial service providers. Hear how firms across the industry are streamlining their businesses through enhanced data analytics, evolving resource allocation, and…

GDPR Is Here: Are You Ready?

GDPR Is Here: Are You Ready?

Author: NICSA The General Data Protect Regulation (GDPR), in effect on May 25, has impacted funds, distributors, administrators and depositaries that come in contract with personal data of EU citizens, regardless of where they are based. NICSA members received details about the regulation, industry obligations and other practical guidance during a recent #WebinarWednesday session moderated…

GDPR: How New EU Data Protection Rules Will Impact US Fund Managers

GDPR: How New EU Data Protection Rules Will Impact US Fund Managers

Author: Susanne Weismüller, Senior Legal Adviser, ALFI Date: April, 2018 In 2016, the European Union adopted a revised and reinforced data protection framework, called the General Data Protection Regulation. Looking at the regulation’s material scope, it will apply from 25 May 2018 to all types of businesses, including the financial services and investment funds sector. The…

Penetrating the RIA/Family Office Space

Penetrating the RIA/Family Office Space

Author: NICSA As fund managers increasingly turn to the unique RIA/family office market for growth opportunities, an effective distribution strategy becomes more important than ever. NICSA members were coached on how to successfully interact with key investment research teams — including Pacific Life, Independent Financial Partners, and Massey Quick Simon— during a recent #WebinarWednesday panel…

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