SEC Fiduciary Rule Proposal – The Finer Points

SEC Fiduciary Rule Proposal – The Finer Points

Author: NICSA On April 18, 2018, the Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations intended to enhance the retail investor experience and provide greater transparency regarding investors’ relationships with advisers and broker-dealers. NICSA members took a close look at the proposal during a recent #WebinarWednesday discussion moderated…

The European Fund Landscape: Implications for Global Distribution

The European Fund Landscape: Implications for Global Distribution

NICSA members examined the mutual fund industry from a European perspective during a recent breakout session at NICSA’s Strategic Leadership Forum. Moderated by Lisa Shea, Senior Vice President, Global Fund Services at Northern Trust, the panel featured experts from ALFI (Association of the Luxembourg Fund Industry), KNEIP and PwC “In the aftermath of the financial…

NICSA: 8400 Westpark Drive, 2nd Floor McLean, VA 22102 • Tel: 508.485.1500 • Fax: 508.485.1560