Disrupted or Just Diverted?

Disrupted or Just Diverted?
By Jim Fitzpatrick President, NICSA On a recent business trip, as my flight was being diverted, I began to think that it felt much the same as our current journey as financial professionals. I’ve been in the business a long time, and I’ve been on many a “diverted” journey along the way, but non so dramatic as the shift in direction we all may be about to take in 2017.

Building Bridges | Connecting Hearts, Minds and Wallets

Building Bridges | Connecting Hearts, Minds and Wallets
NICSA 2015 General Membership Meeting Keynote Speaker Darby Hobbs provides a preview of her session on: Global Trends in Social Innovation and Impact to Sustainable Living: "The investment management business has come a long way in terms of branding and marketplace engagement in today’s interconnected world. But, according to Darby Hobbs, founder and president of SOCIAL3, a disconnect remains. For individuals, that disconnect exists between understanding their value drivers—what matters most in their lives—and how to map that to their investment strategy."

Science, not Art | Regulation and Technology in the Post-Crisis World

Science, not Art | Regulation and Technology in the Post-Crisis World
NICSA 2015 General Membership Meeting Keynote Speaker Robert Mathisen provides a preview of his session on: Embracing Transformational Change: Turning Uncertainty into Opportunity: "...BNY Mellon is often a first call for regulators working through complexconcepts. This constant contact has helped the firm embrace regulation as an opportunity. Mathisen will share insights from those exchanges along with the benefits of an open dialogue with regulatory agencies."

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.

Getting to “YES” on social media: 8 tips for developing a social media policy

Getting to “YES” on social media: 8 tips for developing a social media policy

At a NICSA webinar held later last month, expert panelists from Ropes & Gray, Boston Financial and Xerox, discussed the status of the current regulatory environment for social media use and how financial services companies can experiment while keeping risks to a minimum.

Take a look at these 8 tips for  adopting and overseeing a social media policy for your organization.

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.

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