Next-Generation Proxy Voting

Next-Generation Proxy Voting

As the industry continues to evolve through rapid advancements in technology, so do the tools funds can use to improve the accuracy, transparency, and efficiency of the proxy voting and solicitation system. “While mail — both hard copy and email — and phone calls are still important tools in engaging fund shareholders, we’re always striving…

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…

Rethinking Product Development

Rethinking Product Development

“With the traditional, actively-managed 40 Act fund gradually losing market share, asset managers need to modernize their product development process to seriously consider emerging trends in retail, or advisor-sold, investment products,” said Loren Fox, Director of Research at Ignites, during a recent #WebinarWednesday session on product development. The discussion, which featured insights from FIS, MFS, and Wells…

The Bottom Line: Exploring the Benefits of Wellness in the Workplace

The Bottom Line: Exploring the Benefits of Wellness in the Workplace

The human element will become a critical asset in the workplace of the future, said David Atkinson, People and Organization Director at PwC, during a recent #WebinarWednesday on  employee wellness. Atkinson moderated the event, which featured a panel of forward-thinking experts from Franklin Templeton Investments, Invesco, and MFS Investment Management. The session allowed attendees to…

Innovation in Sustainable Finance

Innovation in Sustainable Finance

If you’re wondering what effects population growth has had on the environment, take a look at side-by-side photos of Alaska’s Muir Glacier taken in 1914 and 2014. The snapshots provide alarming visual evidence that the dense ice has retreated significantly over the last century. Hakan Lucius, Head of Corporate Responsibility at European Investment Bank, displayed these…

Converting Data Analytics into Business Strategy

Converting Data Analytics into Business Strategy

On Oct. 24, #WebinarWednesday enthusiasts tuned in for part three of a comprehensive discussion on data analytics. The conversation picked up where NICSA’s webinar, “Adding Value with Modeling techniques,” left off. Ryan Dargis, Senior Vice President of Northern Trust, set the stage. “Today’s session follows on our earlier data-focused webinars and will concentrate on what…

Trends on the Advisor Landscape

Trends on the Advisor Landscape

Author: NICSA Asset managers gained valuable insight on how to capture advisors’ attention and leave a lasting impression during a recent #WebinarWednesday presentation on the topic. Meredith Lloyd Rice, Vice President at Cogent Reports, Market Strategies International, moderated the session. “I’ll be sharing highlights from two of our syndicated research products: our Advisor Brandscape® and our…

Recognizing Social Engineering: How to Build “Guardians of the Enterprise”

Recognizing Social Engineering:  How to Build “Guardians of the Enterprise”

Author: NICSA One out of every 2,500 calls into financial call centers is a fraud call.1This staggering statistic is part of a growing and evolving trend in the asset management industry. Fraudsters are on the rise, and their methods of exploitation are becoming increasingly sophisticated. “I cannot think of another topic that has captivated our…

NICSA: 8400 Westpark Drive, 2nd Floor McLean, VA 22102 • Tel: 508.485.1500 • Fax: 508.485.1560