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…

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 Diversity Project North America

The Diversity Project North America

NICSA members enjoyed an update on one of the industry’s fastest-growing initiatives — the Diversity Project North America— during a recent #WebinarWednesday event.  Shaelyn Otikor, Senior Vice President, Global Strategy, Corporate & Institutional Services at Northern Trust, moderated the event, which also featured forward-thinking representatives from NICSA and Aon.  Jylanne Dunne, VP, Diversity Project North America at NICSA, kicked off the…

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….

Building Deeper Advisory Relationships with Data

Building Deeper Advisory Relationships with Data

If you’re looking to form stronger advisory relationships, try turning your existing client data into a winning asset. According to a report from Broadridge, asset managers should integrate data and analytics into their marketing strategies in an effort to acquire talent, forge deeper relationships, and encourage retention.  Tim Kresl, Principal, Broadridge Financial Solutions, Inc., told…

FinReg Outlook: Clouds on the Horizon?

FinReg Outlook: Clouds on the Horizon?

Compared with 2018, a year fraught with hefty regulations such as MiFID II and GDPR, the 2019 regulatory outlook may seem tame – but that certainly doesn’t mean asset managers should let their guards down. “There are a number of significant regulatory issues on the horizon that asset managers should be aware of,” Sean Tuffy,…

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