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,…

Preparing for the Next-Gen Client Base

Affluent millennials — defined as individuals born from 1982 to 2000 who have $100,000 or more in investible assets — are a nascent but quickly expanding population, and learning how to successfully engage them is of increasing importance to asset management firms. According to a recent study by Cogent Reports, more than a third of…

TAX & REPORTING UPDATE: AVOIDING FUND REPORTING TRAPS

NICSA members gleaned valuable insights from a recent #WebinarWednesday primer on the 2019 tax legislation and reporting landscape. The discussion, which featured professionals from State Street and EY, provided an in-depth look at changes that will significantly impact asset managers. LAG Rule and Partnership Withholding Maria Murphy, Principal, Tax Services at Ernst & Young LLP, kicked…

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…

A Look At NICSA’s 2019 Strategic Leadership Forum Speaker Line-Up

NICSA’s Strategic Leadership Forum will take place April 3-5, 2019 at the Sawgrass Marriott Golf Resort and Spa in Ponte Vedra Beach, FL. Here, thought leaders within the asset management industry will convene to discuss the top issues facing today’s asset management industry. Here’s a sneak peek at the innovative firms taking the stage at…

Sharpen Your Perception with Amy Herman at NICSA’s SLF

For nearly fifteen years, Amy Herman has provided training to top officers in the US military, law enforcement, medicine, education and numerous other industries. Now, Amy Herman offers her unique guidance to the asset management industry! NICSA members will have the opportunity to hear her unique perspective at the Strategic Leadership Forum at the Sawgrass…

Morgan Stanley’s Carla Harris to Keynote at the NICSA SLF in April

NICSA members will have the opportunity to hear the unique perspective of an industry powerhouse in an intimate setting during the Strategic Leadership Forum at the Sawgrass Marriott Golf Resort and Spa in Ponte Vedra Beach, FL this April. Carla Harris is the Vice Chairman, Managing Director and Senior Client Advisorat Morgan Stanley. Carla will…

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

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

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…

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