Industry Leaders Outlook: Product & Marketing Roundtable

Industry Leaders Outlook: Product & Marketing Roundtable

It’s no secret that the wealth and asset management industry is facing rapid evolution in terms of product development and marketing trends. As the industry continues to transform, Matt Fronczke, Director, Analytics & Consulting at SS&C Research, says future success lies in the asset manager’s ability to provide personalized investment solutions, which will require a paradigm…

The Intersection of ESG, Big Data, and Artificial Intelligence

The Intersection of ESG, Big Data, and Artificial Intelligence

Earlier this summer, NICSA hosted an outstanding panel on ESG in New York. Previously, in part 1 of this three-part series, we discussed how the panelists described learning about ESG as being akin to “Learning a New Language”, while in part 2, we learned about the ways in which institutional investors are thinking about ESG. …

Understanding Regulation Best Interest

Understanding Regulation Best Interest

In June, the SEC voted to adopt a package of rules and interpretations designed to increase the quality and transparency of retail investors’ relationships with financial professionals. These directives included the Regulation Best Interest (Reg BI) rule, the Form CRS Relationship Summary, and two distinct interpretations under the Investment Advisers Act of 1940. During a…

Trends in the Advisor Market

Trends in the Advisor Market

Asset managers and distributors are always looking to uncover strategies that strengthen partnerships with financial advisors — and NICSA members had a free opportunity to do so during a #WebinarWednesday event late last month. Meredith Lloyd Rice, Vice President at Cogent Syndicated, a division of Escalent, presented the webinar, in which she shared highlights from the…

The Institutional View of ESG

The Institutional View of ESG

In June, NICSA hosted a well-attended panel on ESG in New York. This event covered a great deal of ground, and in Part 1 of this three-part series, we discussed how the panelists described learning about ESG as being akin to “Learning a New Language.”  Rosetta Stone secured, the audience was then treated to discussion…

“Like Learning a New Language…” NICSA Presents a Rosetta Stone for Learning to Speak ESG

“Like Learning a New Language…” NICSA Presents a Rosetta Stone for Learning to Speak ESG

In June, NICSA held its latest event, focused on “ESG Essentials for Asset Managers & Advisors.” The discussion was robust and more than filled a two-hour window, led by moderator Hannah Glover, Managing Editor with Ignites, and featuring: John Farley, Vice President – Responsible Investment Strategy, Calvert Research & Management; Mark Hays, Vice President – Sustainable Investing, J.P….

New Challenges on the TA Compliance Landscape

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 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

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

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….

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