Adventures in plumbing

When we think about planning for business continuity, we tend to think first about natural disasters such as hurricanes or earthquakes — but the problems that cause an office to close are equally likely to be man-made.

SEC to pick up 12b-1 discussion this summer

SEC Commissioner Elisse B. Walter announced today that the SEC will return to the issue of 12b-1 reform “in force” this summer, after the 1-year anniversary in July of the passage of the Dodd-Frank legislation.

Rominger’s view from 9 weeks in

Eileen Rominger spoke today about her first 9 weeks as the SEC’s Director of the Division of Investment Management. She made her comments at the Mutual Fund Directors Forum 2011 Policy Conference, held in Washington DC.

How to get ahead in the fund business

How does a firm move into the upper echelons of the mutual fund industry? Conventional wisdom will tell you that it has to have top-ranked investment performance, combined with an extensive distribution network.

Velociraptors make appearance at NICSA West Coast Meeting

Highlights from NICSA’s West Coast Regional meeting, held Thursday, April 21, at the offices of the Capital Group in Los Angeles, California: “A lot of the velociraptors are interested in becoming T. 

The problem with FATCA

The Foreign Account Tax Compliance Act was designed to raise $100 billion in revenue for the U.S. Treasury by clamping down on offshore tax cheats. But the cost of compliance has already been raising hackles around the world.

From savers to spenders

After three decades of talking to baby boomers about saving, the financial industry is now turning its attention to spending. It’s a matter of demographics. As more and more boomers reach retirement age, they’re increasingly tapping into the IRA and 401(k) assets that they’ve so carefully accumulated — and many of them are worried that those nest eggs won’t be sufficient to carry them through retirement.

It’s National Retirement Planning Week | Did you know?

NICSA is proud to be part of a coalition of organizations supporting National Retirement Planning Week®.  We have posted material and resources to our website, and we hope you’ll have a chance to check them out at http://www.nicsa.org/default.asp?contentID=295.

Pozen and Hamacher on UCITS in Financial Times today April 13

In an op-ed co-authored by Theresa Hamacher of NICSA, Robert Pozen discusses why European UCITS funds are outgunning their rivals in the United States. Read more here (registration required).

The 8 challenges of pay to play | Learn more in L.A. on April 21

NICSA members are telling us that one of the most challenging directives to come along recently is SEC Rule 206(4)-5. This new regulation  — better known as “pay to play” — makes it very difficult for employees of investment advisers to both make contributions to political candidates and manage money for the governmental entity that they are elected to.

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