DOL: Soft Launch Kicks In

DOL: Soft Launch Kicks In
Author: Jim Fitzpatrick, President, NICSA Today, the DOL fiduciary rule officially goes into effect – partially!. This ends weeks of speculation as to whether the Department of Labor would again delay its implementation.

NICSA SLF: Warm Up With Some Heated Discussion

NICSA SLF: Warm Up With Some Heated Discussion
DOL rule implementation, unfolding political change, and an army of emerging technologies are sure to make 2017 one for the books. NICSA’s Strategic Leadership Forum couldn’t come at a better time.

Building on Sand

Building on Sand
By Dan Houlihan, Chairman of the Board, NICSA Executive Vice President, Corporate & Institutional Services, Northern Trust Since our last gathering at the NICSA GMM in September, some big changes have taken place.

Disrupted or Just Diverted?

Disrupted or Just Diverted?
By Jim Fitzpatrick President, NICSA On a recent business trip, as my flight was being diverted, I began to think that it felt much the same as our current journey as financial professionals. I’ve been in the business a long time, and I’ve been on many a “diverted” journey along the way, but non so dramatic as the shift in direction we all may be about to take in 2017.

Change is Happening. Now.

Change is Happening. Now.
The DOL fiduciary ruling is fundamentally altering the financial industry. Are you prepared? There’s an urgent need for business strategy development in this ever-fluid environment. Be sure to have your game plan in place before the final ruling takes effect.

NICSA’s MWRM 2016: Preparing for What’s Next

NICSA’s MWRM 2016: Preparing for What’s Next
NICSA’s Midwest Regional Meeting (MWRM) took place in Chicago on October 20. In an informal setting conducive to idea sharing and collaboration, several industry experts shared their views on “What’s Next” for the rapidly changing financial industry.

NICSA’s GMM is Coming to Boston

NICSA’s GMM is Coming to Boston
Beyond the Basics Learn how industry leaders are putting plans into practice at the 2016 GMM  We know your time is valuable. That’s why NICSA has set out to make the most of this year’s General Membership Meeting (GMM), taking place September 19-20, with content that is meant to inform and inspire, and that includes actionable items for you to take back to your home teams.

Implementing Money Market Reform | 4 Areas of Focus

Implementing Money Market Reform | 4 Areas of Focus
While the most significant provisions of the SEC’s package of changes to money market regulation won’t take effect for 18 months, the investment industry is already moving full steam ahead on implementation. Last month, at a client forum to discuss the industry’s progress on implementing money market reform, executives from BNY Mellon reviewed 4 areas that are currently getting attention.

Quick Take | The Intersection of Lost Property and Omnibus

Quick Take | The Intersection of Lost Property and Omnibus
At the NICSA Strategic Leadership Forum in February, in a breakout session on “‘Who’s in Control? -- The New Escheatment Challenges Surfacing Between Mutual Funds and Brokers,” representatives from four financial services firms and session sponsor Keane talked about escheatment in an omnibus environment. Here’s the quick take from that session.

Quick Take | Blame It on Kansas: The History of Blue Sky

Quick Take | Blame It on Kansas: The History of Blue Sky
At the NICSA Strategic Leadership Forum in February, in a breakout session on “Forecast: Clouds Making Way for Blue Sky,” representatives from American Beacon Advisors, Deloitte & Touche, the Investment Company Institute, Putnam Investments and session sponsor Boston Financial Data Services talked about how asset managers can ensure efficient, cost-effective and compliant Blue Sky administration. Here’s the quick take from that session.

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