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.

The 800-pound gorilla | Floating NAV creates operational challenges for MMFs

The 800-pound gorilla | Floating NAV creates operational challenges for MMFs

A recent NICSA webinar, speakers from EY, BNY Mellon, Boston Financial Data Services, Deutsche Asset & Wealth Management, and EY Global Services summarized the changes they foresee for MMFs.

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.

What’s ahead? Liquid alts!

What’s ahead? Liquid alts!

Among industry trends highlighted in a recent NICSA webinar featuring Lee Kowarski, partner at kasina, and Avi Nachmany, director of research at Strategic Insight, is a persistent trend toward product innovation in liquid alternatives. Webinar participants identified these new products as among the most likely to affect asset management operations in 2014.

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!

Proper oversight ensures the best outcome

Proper oversight ensures the best outcome

This guest post was submitted by Citi which sponsored a panel at the 2014 NICSA Strategic Leadership Forum entitled “Best Practices Around Transparency into (the Operations of) Your Mutual Fund Service Provider.”

Survival of the fittest | 5 challenges fund platforms face today

Survival of the fittest | 5 challenges fund platforms face today

This guest post was submitted by SunGard which sponsored a panel at the 2014 NICSA Strategic Leadership Forum entitled “Survival of the Fittest: Adapting Your Service Platform in a Rapidly Evolving, Multi-Product, Global Fund World.”

Fearless Forecast | What’s ahead for the fund industry in 2014?

Fearless Forecast | What’s ahead for the fund industry in 2014?
Two well-known industry experts offered their “fearless forecast” in a recent webinar.  Lee Kowarski, partner at kasina, and Avi Nachmany, director of research at Strategic Insight, discussed the industry trends most likely to endure in 2014.

One size does not fit alts: Is your firm ready to introduce alternatives?

One size does not fit alts: Is your firm ready to introduce alternatives?

Last month, NICSA held a webinar addressing the operations implications for alternatives investments. Participants from Ernst & Young, PIMCO and BNY Mellon discussed the key operational considerations for entering the alternatives investment space.

Take a look at some steps to evaluating a firm’s readiness to introduce alternatives.

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