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:

Welcome to the Wild West | Mutual fund regulation update

Welcome to the Wild West | Mutual fund regulation update

At the West Coast Regional meeting held in Los Angeles earlier this month, Mike Downer, Senior Vice President, Secretary and Chief Legal Officer
, Capital Research and Management Company, addressed the current regulatory environment for mutual funds in light of changes in the way funds are distributed. Here is a summary of his insights.

Looking at alternatives | The great convergence

Looking at alternatives | The great convergence
Mutual funds are mutual funds — and hedge funds are hedge funds – and never the twain shall meet? Not! Speakers at recent NICSA conferences in Los Angeles and Philadelphia highlighted the steadily increasing convergence between the two fund types.

7 hot topics in European funds . . . in translation

7 hot topics in European funds . . . in translation
Reading about trends in the European mutual funds can give us industry professionals here in the U.S. a bit of a through-the-looking glass feeling. Our counterparts on the other side of the Atlantic seem to be talking about the same things we are — sort of.

Rominger’s view from 9 weeks in

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.

Spring has sprung at NICSA

Spring has sprung at NICSA
Mark your calendars for these upcoming spring-summer NICSA events, and watch our conferences page for program and registration details. April 21 West Coast Regional Meeting Offices of The Capital Group, Los Angeles April 27 FATCA:  Why You Should Care Webinar May 10 Luncheon Presentation and Book Signing Featuring MFS’ Robert C.

Paul Haaga to speak at NICSA West Coast Meeting on April 21 in L.A.

Paul Haaga to speak at NICSA West Coast Meeting on April 21 in L.A.
Join us on April 21st in L.A. for NICSA’s West Coast Regional Meeting. Paul Haaga Our keynote speaker will be Paul Haaga, who is the Chairman of the Board of Capital Research and Management which manages the American Funds.

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