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.

Investment Management Technology: Buzz Words or Big Change?

By Dan Houlihan, Executive Vice President & Head of Global Fund Services, Northern Trust The investment management industry has always been drawn to buzz words.     Today, we are continually inundated by terms like robo, big data, cloud, cyber and the digital revolution.    

Brexit: Threats and Opportunities From a Leap into the Unknown

Author: Hermann Beythan, Partner, Head of the Investment Management Group, Linklaters Luxembourg The vote by the United Kingdom in favor of leaving the European Union on June 23 represents a step into the unknown not only for the UK but the remaining members of the EU.

Applications Now Being Accepted for the Blackwell Scholarship

The NICSA / William T. Blackwell Scholarship Fund recognizes outstanding students of the NICSA family with financial and social support for postsecondary education. The program is designed to support students pursuing degrees in the global investment management industry during their junior and senior years of college.  

Swing Pricing: What You Need to Know

On Sept. 22, 2015, swing pricing gained attention in U.S. markets when the Securities and Exchange Commission (SEC) proposed to permit its use as an anti-dilution mechanism for mutual funds.

Money Market Reform – the Future of the Prime Money Market Fund

After 6 years of discussion and deliberations the Securities and Exchange Commission issued final regulations in July 2014 consisting of 869 pages of rules and requirements aimed at reducing risk and protecting investors in money market funds, which become effective in October 2016.

NICSA Annual Conference | Review in Photos

Industry Panel | Regulatory and Compliance NICSA’s 34th annual conference, the Strategic Leadership Forum, was held January 31 – February 2 in Hollywood, Florida. The event featured: three keynote speakers, including retired four-star General John Allen, Russ Koesterich, from BlackRock, and Ken Schmidt, the former director of communications at Harley Davidson; two industry panels; and twelve breakout sessions.

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