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

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.

Alts Ops | The 80s called — They want their processes back!

Alts Ops | The 80s called — They want their processes back!

At the recent NICSA GMM, one session was devoted to the operational implications of alternatives. The panel, comprised of representatives of DST Systems, ALPS Fund Services, Franklin Square Capital Partners and BNY Mellon, focused on transfer agency operations and the challenges brought by alternatives investments.

NICSA Industry News Digest | October 2014

NICSA Industry News Digest | October 2014

Here’s our recap of the stories that mattered to operations professionals in the investment industry last month.

Hot or Not? | 8 issues that keep compliance pros up at night

Hot or Not? | 8 issues that keep compliance pros up at night

At NICSA’s General Membership Meeting, held in Boston on September 11-12, representatives from Janus Capital Group, State Street and the Enforcement Division of the Securities and Exchange Commission compared notes about what’s hot -- and what’s not -- on their agendas. Here are the 8 issues that they collectively agreed were top priorities:

What is Gamification?

What is Gamification?

These gaming techniques and approaches are making their way into the corporate world. Today, businesses are finding new ways to use these techniques to motivate employee performance, drive business results, and generate a competitive advantage.

UCITS V | 6 steps to meet new depositary requirements

UCITS V | 6 steps to meet new depositary requirements

The EU’s new UCITS V directive will have a significant effect on money manager operations. Among most notable areas of change are new rules concerning liability, delegation and eligibility of entities that may act as depositaries. In a recent NICSA webinar sponsored by ALFI, experts from State Street and Foley & Lardner discussed what US fund managers need to do to comply with the new directive.

Blue Sky | 12 rules of the road to transfer agent control

Blue Sky | 12 rules of the road to transfer agent control

This sea change in the approach to Blue Sky is understandable given that the majority of required knowledge resides on the operational side. But, according to a trio of experts from Boston Financial, Alliance Bernstein, and PwC on a recent Broadridge-sponsored NICSA webinar, a successful transition requires special focus in 3 areas: governance, control and oversight.

NICSA Industry News Digest | April 2014

NICSA Industry News Digest | April 2014

Here’s our recap of the stories that mattered to operations professionals in the investment industry last month.

Test your knowledge | NICSA Transfer Agent Compliance Guide

Test your knowledge | NICSA Transfer Agent Compliance Guide

Test your transfer agent compliance knowledge. How familiar are you with the regulations governing transfer agent operations? Take this short quiz to find out!

NICSA benchmarking | Low balance accounts

NICSA benchmarking | Low balance accounts
This NICSA News guest blog feature was written and submitted by the NICSA Compliance and Risk Management Committee members Tony D’Elia, AllianceBernstein and Kevin Seymour, OFI Global.

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