Member Survey: Prepping For Dealer/Custodian Resignations

Is your firm prepared for an increase in dealer/custodian resignations? As the DOL rule effective date looms closer, the industry as a whole is bracing for what many expect to be an increase in volume of “orphaned accounts.” Dealer and custodian resignations raise a number of potential issues and challenges for mutual fund complexes and their service providers.

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.

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 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.

Leadership Empowerment Through Diversity & Inclusion

Diversity among financial services boards and executive committees is on the rise. And the benefits are clear. Different perspectives promote smarter decisions and advocate for a better customer experience by reaching demographically diverse markets.

GMM 2016 – Tackling Transformational Change Head-On!

NICSA’s annual General Membership Meeting—an event that connects the global investment management industry in order to develop and advance leading practices—took place earlier this week at the Revere Hotel in the heart of Boston.

Protecting Financial Assets of the Elderly: Understanding the Connecticut Mandatory Training Law

Laws governing the mutual fund industry and its relationship with shareholders are predominately federal regulations; however, some state-issued mandates need to be considered.  While the industry has been highly focused on new federal fiduciary rules related to Investors and their retirement savings, fund managers and service providers must also be mindful of Connecticut’s Mandatory Elderly Abuse Training Law established earlier this year, for one.

From A to Z: Decoding common financial terms

Skip the alphabet soup and discover the real meaning of these investment terms By Jack Tierney, Head of Product Development, Management and Investment Research A former colleague of mine from New York City had a beautiful, multi-syllabic, Italian last name that began with “A” and ended with the “Z” sound.

NICSA Announces the Winners of the 2016 NOVA Awards

Investment Management Industry Leaders Honored for Excellence MCLEAN, VA – September 7, 2016 – NICSA and Money Management Executive are pleased to announce the winners of the 2016 NOVA Awards.

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.

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