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  • ESG: Transforming Asset Management and Fund Distribution

    Includes Credits Recorded On: 06/02/2021

    Environmental, social, and governance (ESG) investing is a leading driver of change within the asset management industry. Join our panel of industry experts for distribution and product insights into one of the fastest growing segments of the fund industry. Our program is designed to provide value to Nicsa members with an up-to-the-minute assessment of opportunities available for asset managers and fund providers.

    Environmental, social, and governance (ESG) investing is a leading driver of change within the asset management industry. Join our panel of industry experts for distribution and product insights into one of the fastest growing segments of the fund industry. Our program is designed to provide value to Nicsa members with an up-to-the-minute assessment of opportunities available for asset managers and fund providers.

    Learning objectives:

    • Responsible investment product trends
    • Active management strategies
    • Model portfolio solutions
    • ESG asset flows
    • Institutional and retail demand metrics
    • Emerging regulatory considerations

    Who should attend: Asset Management executives, including distribution, marketing, product development and regulatory.



    This program is sponsored by:

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    CPE INFORMATION:
    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1
    CPE Field of Study: Specialized Knowledge
    Program Level: Basic
    Delivery Method: Group-Internet Based
    Advanced Preparation: None


    CANCELLATIONS AND REFUNDS:
    Due to this program being offered free of charge, there will be no refunds issued.

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Jag Alexeyev (Moderator)

    Head of ESG Insights

    Broadridge

    Jag provides distribution insights on ESG to clients of Broadridge to help expand their solutions and drive business growth. He has been a consultant and advisor to asset management executives for more than 25 years, supporting business development and product innovation.

    Specializing in ESG, he founded Impactvesting LLC, a consultancy on sustainable investments. Formerly he was senior managing director and head of global research at Strategic Insight (now part of Institutional Shareholder Services), delivering business intelligence solutions to fund industry clients across Europe, Asia-Pacific, and North America.

    Jag has authored thought leadership studies on global asset management for organizations such as Brown Brothers Harriman, SEI Investments, the Association of the Luxembourg Fund Industry, and the European Fund and Asset Management Association. He has a Bachelor’s degree from Harvard and a Master’s from the London School of Economics.

    Stefania Di Bartolomeo

    Founder & CEO

    Physis Investment

    Stefania founded Physis with the vision to disrupt the financial system and empower investors to measure and track the impact of their investments. As CEO, Stefania has developed Physis from an idea to a comprehensive data-hub and wealth management platform. She is a skilled portfolio manager with extensive global experience. She was the youngest impact investing fund manager in Europe and has published two books on sustainable finance. Stefania is a university lecturer and board member.

    Anthony Eames

    Director, Responsible Investment Strategy

    Calvert Research and Management

    Anthony Eames is a vice president and director of responsible investment strategy for Calvert Research and Management, a wholly owned subsidiary of Eaton Vance Management specializing in responsible and sustainable investing across global capital markets. He is responsible for the suite of strategies focused on responsible investing, encompassing actively and passively managed U.S. and international equity strategies, fixed-income strategies and asset allocation funds. Anthony is responsible for client communications and insights on investment strategy and portfolio positioning. He joined Calvert Research and Management in 2016 when Eaton Vance acquired the business assets of Calvert Investment Management, forming Calvert Research and Management.

    Anthony began his career in the investment management industry in 1995 with Calvert Investment Management. Over the years, he held various roles including senior vice president and national sales manager, ultimately leading Calvert’s business development and client service efforts ahead of
    Eaton Vance’s acquisition of Calvert’s business assets. He has been affiliated with the Eaton Vance organization since 2016.

    Anthony is a director of US SIF: The Forum for Sustainable and Responsible investment, the leading industry voice advancing sustainable investing across all asset classes. He is also a director of the Calvert Institute for Responsible Investing, which seeks to understand how investors can address major global challenges to drive positive impact.

    Anthony earned a B.A. from Wittenberg University. He holds the Accredited Investment Fiduciary and Accredited Asset Management Specialist designations, and FINRA Series 7, 24 and 63 licenses.

    Chad Spitler

    Founder & CEO

    Third Economy

    Chad launched Third Economy in 2018 in response to growing investor interest in his areas of expertise, sustainable and responsible investing. Chad spent four years prior as Partner, Head of Sustainability Advisory, and Chief Operating Officer (COO) at PJT CamberView. He spent 15 years prior to that at BlackRock, where he last held the role of Managing Director and COO for the Corporate Governance & Responsible Investment team. In that role, he led the team responsible for analysis of Environmental, Social, and Governance (ESG) factors within the firm’s investment processes globally across the asset classes of public equity (including proxy voting), fixed income, real estate, and private equity. Prior to BlackRock, Chad was a Senior Market Research Analyst with the Franklin Templeton Group.

    Chad is a member of the finance working group of the San Francisco Bay Conservation and Development Commission (SFBCDC), the California state regulatory agency that manages San Francisco Bay, and a member of the Dean’s External Advisory Board at the University of Michigan’s School for the Environment and Sustainability.

    He received an M.A. degree from the University of Colorado, and a B.S. degree in Natural Resource Management from the University of Michigan.

    Jayme Colosimo

    Head of Business Advisory Services and Head of ESG, Citi

    Citi

    Jayme Colosimo is the Head of ESG, North America, and is the Head of North America for Citi’s Business Advisory Services team, a thought leadership and global coverage strategic advisory group providing consulting, content, and insights to the C-Suite of Citi’s top 100 Global Markets clients on the innovation, regulatory, and technology trends impacting the investment management industry.

    Prior to joining Citi in 2018, Jayme served as a Senior Economist and Strategic Advisor to White House and senior U.S. policy makers on global macroeconomic, geopolitical, and international banking issues. She managed intelligence analysts focused on national security issues, developing an expertise in alternative data and analytics, cybersecurity, and financial applications of emerging technologies. She was awarded a Presidential Daily Briefing Commendation and two Meritorious Unit Citations during her service. Earlier in her career, Jayme led a team of Relationship Officers in Zions Bank Private Services and separately served as the chief financial analyst to the CFO of Zions Bank.

    Jayme holds a Professional Certificate in Data Science from the University of California, Berkeley and completed sponsored Executive Education at The John F. Kennedy School of Government at Harvard University. She holds a certification in Advanced Editing from the Poynter Institute School of Journalism and in 2020, graduated from a year-long certificate program in Data Visualization from Parsons School of Design. She holds an M.B.A. with an emphasis in Organizational Behavior and a Bachelor of Arts in International Business from Westminster College in Salt Lake City, Utah.

    Jayme is an AA Certified Advanced Robotics Process Automation (RPA) Professional Developer, an American Marketing Association (AMA) Professional Certified Content Marketer, and holds Series 7 and Series 63 securities licenses.

  • Listen, Learn & Lead: Who We are: The AAPI Community

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with professionals from the AAPI Community about their personal journeys within the asset management industry including career growth opportunities, business relationships, entry into finance, and the hurdles along the way. Take away actionable guidance and tips that all business leaders - across all levels, racial identities and backgrounds - can leverage to address inequalities and prejudices in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce.

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. The May 26th installment will focus on the dynamics specific to the AAPI community in the asset management industry. Advocating for the advancement of AAPI individuals, addressing the model minority myth and the challenges that poses, and fostering sponsorship to create pathways for individuals at different stages of their careers. 

    Take away actionable guidance and tips that all business leaders - across all levels, racial identities and backgrounds - can leverage to address inequalities and prejudices in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce. 

    This program is sponsored by:


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    York Lo (Moderator)

    Head of Institutional and Retirement Product Development

    John Hancock

    Experienced asset management industry executive with proven track record of multi-billion dollar value creation for asset managers and investors and background in product development, manager selection and oversight, equity research, alternative investments and new business development in the US and Asia covering mutual funds, ETFs and private funds.

    Wayne Park

    SVP, Personal Financial Solutions

    American Century

    Wayne Park is senior vice president of Personal Financial Solutions for American Century Investments, a premier investment manager headquartered in Kansas City, Mo. Mr. Park oversees the business strategy and execution for American Century’s retail direct business and client operations, which serves more than 600,000 clients. He is based in the firm’s Kansas City office.

    Before joining American Century in 2020, Mr. Park served as head of individual investors and president of both T. Rowe Services, Inc. and T. Rowe Advisory Services, Inc.
    Previously, he served in multiple leadership positions with Vanguard, including market strategy for the high net worth segment, head of outbound marketing and head of participant services and participant education in its institutional retirement plan services division.

    Mr. Park holds a bachelor's degree in economics from State University of New York, Stony Brook, and an MBA from Pennsylvania State University. He also attended the Wharton School at the University of Pennsylvania's executive education in marketing program.

    Alice Fang

    President & CEO

    Northern Trust Global Advisors, Inc.

    Alice Fang is President & CEO of Northern Trust Global Advisors, Inc. and Head of Northern Trust Asset Management in Canada. She is responsible for the Canadian asset management operations and business strategy, and oversees the development and delivery of institutional investment management products and services and business development. She is Chair of the NT Global Advisors, Inc. board and sits on the Canadian Investment Oversight Committee.

    Prior to joining Northern Trust, Alice was Vice-President of Investment Solutions for a leading Canadian bank, where she oversaw over $85B in investments for high net worth investors, private clients and organizations. She was responsible for product and distribution strategy, investment oversight and ongoing client portfolio supervision. She was engaged in family office, asset management acquisitions and integration, was Chair of the Asset Mix Committee and sat on the Investment Committee.

    Alice is a tenured wealth and asset management professional, driving client experience and investment excellence across solutions development, oversight, distribution, client engagement and marketing and communications. She is a graduate of Trinity College, University of Toronto. Complementary to her professional life, she is an outdoor enthusiast. She is an avid runner and skier, with a traveling spirit that takes her to diverse places like Everest, Kilimanjaro or the temples in Koyasan. She loves music, is voracious reader and is currently writing a book.

  • Return to the Office - The Future of the Workforce

    Recorded On: 05/19/2021

    2020 changed the landscape of the workplace indefinitely. Join us for an open discussion around the evolution of policies and processes for returning to the 'new normal' in a post-pandemic environment. Attendees will hear from three different perspectives: HR, operations and client relations as they talk candidly about new challenges and opportunities as employees begin to return to the office.

    2020 changed the landscape of the workplace indefinitely. Join us for an open discussion around the evolution of policies and processes for returning to the 'new normal' in a post-pandemic environment. Attendees will hear from three different perspectives: HR, operations and client relations as they talk candidly about new challenges and opportunities as employees begin to return to the office.

    NEW FORMAT: At the conclusion of the panel, attendees will have the opportunity to take a deep dive into the three different perspectives via Zoom breakouts. The breakouts will be hosted by the respective panelist and attendees will be able to engage in meaningful dialogue by asking questions and sharing best practices. Attendees can sign up for the breakout of their choosing during the registration process. 


    Nicole Callies (Moderator)

    Director of Business Development

    Mars SalesFocus Solutions

    Nicole Callies leads SalesFocus Solutions’ business development efforts for the Midwest.  Nicole is responsible for generating new business as well as managing relationships with existing clients. She has 13 years of experience in the asset management industry.  Prior to joining SalesFocus Solutions, Nicole was responsible for sales & client service for US Bank Global Fund Services. Within this unique role, she has experience with working with small to large asset firms to help them use their data to grow their businesses using sales reporting systems.

    Heather Schwab

    Executive Vice President and Chief Human Resource Officer

    Ultimus Fund Solutions

    As Executive Vice President, Chief Human Resources Officer, Heather is responsible for all strategic and operational HR functions across all business lines. As a member of the executive management team, she works closely with the leadership group to align and strengthen the link between people and strategy.

    Prior to joining Ultimus, Heather gained extensive experience working in various positions of increasing responsibility at rapid growth portfolio companies in the IT, Apparel and HR specialty industries. This broad spectrum of past employment brings the perspectives and exposure necessary to facilitate developing leaders and empowering employees.

    Heather is a graduate of Miami University in Oxford, Ohio and holds her Senior Professional Human Resources certification. She is also a graduate of Leadership Cincinnati and is avidly involved in the community. In her personal time, Heather enjoys reading and spending time with her husband and three young children.

    Erika Ivanyi

    General Manager

    Capital Group | American Funds

    Erika Ivanyi is the Regional General Manager responsible for AFS Shareholder Services in San Antonio and Hampton Roads.  She has over 30 years of Operational, Service, Sales and Shared Services experience. Prior to joining Capital in 2006, Erika spent the greater part of her career in the financial services industry; both domestically and internationally.

    Paul DeSalvo

    Client Executive, Asset Managers Sales

    J.P. Morgan Securities Services

    Paul DeSalvo is a client executive in J.P. Morgan’s Corporate & Investment Bank focusing on Securities Services.  He is a sales lead within the asset management segment.  This team is responsible for building strategic partnerships with key clients across custody & fund services and prime services.

    Paul has been with J.P. Morgan since 2007.  Prior to this role he’s held various positions across Asset Management, Risk Management and Corporate Strategy. 

    Paul is a graduate of Fordham University in New York

  • The Future of Relationship Management in Asset Management

    Includes Credits Recorded On: 05/05/2021

    The events of the past year may have reshaped many ways in which asset managers interact with their clients and business partners. But changes in relationship management had already started pre-pandemic and the past year accelerated many trends. Clients continue to demand more custom solutions, advice driven relationships and simplicity. Asset managers have increasingly found ways to use technology to enhance and deepen relationships. Talent models for relationship managers have also evolved as have the way asset managers interact with clients. What is the future of relationship management and what trends will we see for the future and how to plan our resources to meet the changes?

    The events of the past year may have reshaped many ways in which asset managers interact with their clients and business partners. But changes in relationship management had already started pre-pandemic and the past year accelerated many trends.  Clients continue to demand more custom solutions, advice driven relationships and simplicity.     Asset managers have increasingly found ways to use technology to enhance and deepen relationships.   Talent models for relationship managers have also evolved as have the way asset managers interact with clients.   What is the future of relationship management and what trends will we see for the future and how to plan our resources to meet the changes?



    CPE INFORMATION: Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Specialized Knowledge 

    Program Level: Basic 

    Delivery Method: Group-Internet Based 

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Eileen Norton (Moderator)

    Vice President | Managed Accounts, Alternative Investments & Structured Product Solutions

    Charles Schwab

    Eileen Norton currently leads the Managed Accounts, Alternative Investments and Structured Products Platform team at Charles Schwab. The team is responsible for managing and developing Schwab's resources for investors and advisors to create a best-in-class experience for understanding and investing
    in these products. This team is also responsible for managing Schwab’s relationships with the third-party providers who offer these products through Schwab’s platforms and providing platform consulting.

    Prior to her current role, Eileen was Director of Investment Solutions at TD Ameritrade Institutional, Inc. where she was responsible for investment product functions and leading a team spanning Alternative Investments, ETFs, Mutual Funds, Managed Accounts and Model Portfolio Solutions, as well as Asset
    Manager Relationships. This team was responsible for product management and development surrounding these investment products.

    During her career, Eileen has held positions at well-known financial services companies including State Street, BZW Barclays Global Investors, Fidelity Investments, LPL Financial and Voya Financial. Her core experience includes Product Management and Development, Strategic Partnerships and Programs, and
    Technology Program and Project Management.

    Eileen earned her Bachelor of Science degree in Management from Northeastern University, Boston, Massachusetts. Eileen holds the Series 7 and 63 securities registrations. She also completed the Security Industry Institute certificate program at The Wharton School of the University of Pennsylvania. Eileen
    currently serves on the NICSA Board of Directors and the Money Management Institute (MMI) Board of Governors.

    John Pavese

    Managing Director, Head of Global Relationship Management

    New York Life Investment Management

    With more than 25 years of experience, Mr. Pavese brings an extensive background in relationship management to New York Life Investments. Most recently, he was Managing Director and head of Third-Party Relationship Management at Merrill Lynch. Prior to joining Merrill Lynch, Mr. Pavese was a Corporate Vice President and National Relationship Product Manager at UBS Financial Services with the Mutual Funds Consulting Services Group. Mr. Pavese received his Bachelor of Science degree from Kean College.

    Stacy Bernstein

    Head of Financial Intermediaries

    American Century

    Stacy Bernstein is the Head of Financial Intermediaries and Strategic Development for American Century Investments.

    With 25 years in the financial services industry, Stacy has a proven track record of building and managing strategic partnerships. She has demonstrated success in developing channel distribution, expanding market share and strategic positioning of investment products.

    Thomas Jones

    Head of Strategic Relations

    Columbia Threadneedle

    Mr. Jones is head of Strategic Relations for Columbia Threadneedle Investments. Thom leads the team responsible for business development including corporate enterprise relationships, National Accounts, Advisory Research as well as DCIO and sub-advisory retirement relationships. Thom also serves on several firm leadership committees including Product, Fiduciary, Managed Accounts and Strategy. He joined Columbia Threadneedle Investments in 2014.

    Previously, Mr. Jones was senior vice president, director of U.S. Business Development and Client Strategy for Pioneer Investments. He served on the firm’s U.S. Operating Committee, the Management Committee of Pioneer’s U.S. Distribution organization, was a leader of the Global Strategic Partnership group based in London, sat on the U.S. Product Development Committee and led the firm’s Alternative Investment Task Force. Prior to that, he was director of
    National Accounts at Deutsche Bank Asset Management where he was responsible for existing business and the
    implementation of new channel business lines including structured products and alternative Investments. Mr. Jones also served in several leadership roles within intermediary distribution as Managing Director of Putnam Investments and began his career as a Financial Advisor. He has been a member of the investment community since 1993. Mr. Jones received a Bachelor of Science Degree from the University of New Hampshire.

  • Democratization of Alternatives

    Includes Credits Recorded On: 04/28/2021

    Alternative investments continue to attract attention from investors around the globe. Join our panel of industry experts, sponsored by Ultimus Fund Solutions, as we take a deep dive into the global trends that are driving the alternatives market. Hear the latest insights on the variation of product structures and the evolving opportunities on the distribution landscape.

    Alternative investments continue to attract attention from investors around the globe. Join our panel of industry experts, sponsored by Ultimus Fund Solutions, as we take a deep dive into the global trends that are driving the alternatives market. Hear the latest insights on the variation of product structures and the evolving opportunities on the distribution landscape.

    Learning objectives:

    • Market trends
    • Product structure options 
    • Regulatory drivers
    • Distribution landscape

    Who should attend: Mutual fund sponsors; alternative asset managers; RIAs; ops, product, legal, and distribution executives; trustees; consultants

    This program is sponsored by:

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    CPE INFORMATION:
    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1
    CPE Field of Study: Specialized Knowledge
    Program Level: Basic
    Delivery Method: Group-Internet Based
    Advanced Preparation: None


    CANCELLATIONS AND REFUNDS:
    Due to this program being offered free of charge, there will be no refunds issued.

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Nick Darsch (Moderator)

    SVP, Business Development

    Ultimus Fund Solutions

    Nickolaus Darsch joined Ultimus in July 2019 as Senior Vice President, Business Development. In this position, he focuses on building strategic relationships with investment advisers to help support product, operations and asset growth. Nick is also responsible for contributing to firm growth strategies, market analysis and reporting as well as cultivating partnerships with centers of influence.

    Prior to Ultimus, Nick held multiple roles within SS&C Technologies (including predecessor firms DST Systems, ALPS and Boston Financial Data Services) in sales, strategic relationship management, product and research groups. In 2016, he was named a “Rising Star” in the Asset Management industry in by Fund Directions.

    Nick received B.S. from Bentley University in Economics and Finance and an MBA from the McCallum Graduate School of Business at Bentley University.

    Michael Stricker

    Managing Director

    FS Investments

    Mr. Stricker serves as Managing Director of Operations, providing guidance and direction for portfolio trade operations and client relations groups at FS Investments. Prior to joining FS Investments, Mr. Stricker was a Senior Vice President at Behringer Investments, leading the shareholder operations group. Prior to Behringer, Mr. Stricker held senior operations roles at both OppenheimerFunds and American International Group.  

    Mr. Stricker received his B.A. in Russian Language from James Madison University and his M.B.A. from Vanderbilt University.

    Michelle Morris

    Executive Director, Wealth Management Investment Solutions

    Morgan Stanley

    Richard Horowitz

    Partner

    Dechert

    Richard Horowitz has represented both registered investment companies, including open-end and closed-end funds, and private funds, such as hedge funds and private equity funds, for more than 20 years. He has particular experience with alternative strategy mutual funds, such as manager-of-manager funds, and closed-end funds of hedge funds and private equity funds.

    Mr. Horowitz is the co-head of Dechert’s Permanent Capital Practice and regularly advises alternative asset managers in their efforts to access permanent capital through Business Development Companies (BDCs) and closed-end funds. He has obtained SEC co-investment exemptive relief for many BDC and closed-end fund clients and regularly advises on complex co-investment issues. He obtained a unique no action letter permitting the first (and only) master/feeder BDC structure. He is a frequent speaker at conferences regarding developments and trends affecting BDCs and other alternative investment vehicles.

    Mr. Horowitz has advised some of the largest companies in the U.S. mutual fund industry, including Merrill Lynch, Morgan Stanley, and Dreyfus Family of Funds. He regularly advises mutual funds on the full range of Investment Company Act issues, including disclosure under the new summary prospectus, affiliation issues, funds, and other compliance issues. Over the years, he has worked on numerous fund merger transactions. He has obtained no action relief on behalf of clients on a variety of issues, including the ability of mutual fund wrap fee programs to charge deferred sales loads and ‘40 Act issues associated with a three-tier registered fund of hedge funds structure.

    Mr. Horowitz has organized and structured both domestic and offshore private funds. He regularly advises investment advisers on all aspects of regulatory and compliance issues under the Investment Advisers Act, including hedge fund best practices, codes of ethics, trade allocation issues, presentation of prior performance, and U.S. private placement marketing issues.

    Mr. Horowitz also advises various publicly traded permanent capital vehicles, such as REITs, on their ability to avoid coming within the definition of an investment company by relying on one or more exemptions under the Investment Company Act.

    Mr. Horowitz has been recognized by The Legal 500, which noted that “Richard Horowitz provides immediate advice and breeds confidence in his advice. He offers a very good combination of theory and practicality.”

  • Diversity Data: What is at stake? Business, Reputation and Talent

    Recorded On: 04/22/2021

    The effective collection of diversity data is not just a talent issue, it is also a critical business and reputation issue. The purpose of this virtual event is launch the ‘Holding up the mirror: diversity data in the investment, wealth management and savings industry’ report. Find out how to get ahead, and align diversity data at the core of your organization's purpose. This is an LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    The effective collection of diversity data is not just a talent issue, it is also a critical business and reputation issue. The purpose of this virtual event is launch the ‘Holding up the mirror: diversity data in the investment, wealth management and savings industry’ report. Find out how to get ahead, and align diversity data at the core of your organization's purpose. This is an LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    Learning Outcomes:
    1. An awareness of the industry’s diversity data challenges.
    2. An understanding of the current approaches to the collection of diversity data.
    3. An appreciation of the new need to connect the request for the data with the ‘why’.
    4. An awareness how the industry ecosystem can work together to drive the agenda.
    5. The role of the c-suite in role modeling and communicating with impact

    Who should attend: This webinar is primarily aimed at CEOs/ C-Suite and HR Leaders, but will be open to all.


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    Justine Phoenix (Moderator)

    VP, Distribution & Broker Dealer Engagement, Head of Diversity Project North America

    Nicsa

    Justine Phoenix is Head of Diversity Project North America and Vice President of Distribution & Broker Dealer Engagement at Nicsa. Justine joined Nicsa with over 30 years of experience in asset management and intermediary distribution in the areas of relationship and client management, business development and operations. In her current role, Justine is responsible for building and enhancing Nicsa programs that engage and support distribution and BD executives. Before joining Nicsa, she was Vice President, Senior Relationship Manager at Fidelity Investments. In this role, she was head of relationship management for Fidelity FundsNetwork® and was responsible for overseeing all functions related to managing relationships with over 600 asset managers. Prior to joining Fidelity Investments, Justine was Director of Operations for the Investment Company Institute (ICI). In her role, she was responsible for all activities associated with mutual fund operations and distribution, including the Transfer Agent Advisory Committee and the Broker Dealer Advisory Committee. She also held leadership roles at Massachusetts Financial Services and Boston Financial Data Services prior to joining the ICI.

    Matt Cameron

    Global Managing Director

    LGBT Great

    Matt is an experienced talent management, diversity and organisational development leader with extensive experience within the investment and savings industry. A proven track record in inspiring others, developing effective strategies, programme execution, managing diverse teams and building effective partnerships.

    Originally from Lancashire in northern England, he holds a BA (Hons) degree in Modern & Medieval History with Italian from the University of Birmingham and was the first in his family to go to university. Matt takes a key role in the development and delivery of LGBT Great’s programmes and is responsible for the organisation’s strategic direction. His vision for the investment and savings industry is to achieve LGBT+ equality and inclusion maturity to
    deliver on the expectations of employees, clients and investors. His team advises a broad range of global investment, savings and wealth management firm as well as, pension trusts, hedge funds, asset owners and investment consultancies.

    Matt is a member of the Diversity Project’s Steering Committee and was awarded the 2019 Diversity Champions Award for his work on ‘Role Modelship’ and contributions to the industry diversity and inclusion agenda. You can follow Matt and LGBT Great on Twitter: @MattJCam @LGBTGreat and LinkedIn.

    Katherine Savage

    Partner, Financial Services, People Advisory Services

    EY

    Katherine has significant experience in working with Boards and Executive Committees, bringing deep expertise of understanding evolving regulatory expectations. 20+ years of leading in HR in Financial Services, managing OD, transformation, regulatory alignment, reward and cost optimization.

    Selected experience demonstrating suitability for this Engagement

    -Creation of Talent & Reward Strategies, capability frameworks aligning to Work Reimagined

    -Lead on Workforce Economics modeling, large scale OD programmes, Terms and
    Conditions harmonizations and cost optimization programmes

    -Lead advisor supporting clients on the impact of regulatory changes on remuneration
    structures, HR processes and procedures, OD and delegation of accountabilities to align
    with SM&CR requirements

    -Running of culture audits, design of performance measurement based on behaviors and
    values. Shaping Employee Value Proposition design to maximize employee productivity
    and engagement

    -Diversity and Inclusion client lead – supporting adaption of people policies and
    design of initiatives

  • Research Report | Holding Up the Mirror: Diversity Data

    An LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    The effective collection of diversity data is not just a talent issue, it is also a critical business and reputation issue.  Download the ‘Holding Up the Mirror: Diversity Data in the Investment, Wealth Management and Savings Industry’ report and find out how to get ahead on aligning diversity data at the core of your organization's purpose. This is an LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    To watch the report launch and a breakdown of key report findings, visit https://learn.nicsa.org/webinars and access "Diversity Data: What is at Stake? Business, Reputation and Talent" under "On-Demand Webinars."

  • Decrypting the Hype: Cryptocurrency and Tokenized Assets

    Includes Credits Recorded On: 04/07/2021

    Industry buzz regarding Cryptocurrency and Tokenized Assets abounds. In this installment of the Reality Behind Buzzwords series, we will discuss the opportunities and challenges for the asset management and financial services industries. Expert panelists will explore issues around regulatory, risk, data security, and tax considerations. Join us to take a deeper dive into the implications for traditional asset servicers in terms of accounting, custody, record-keeping, safekeeping, and regulatory reporting. Discover the growth opportunities over the next 2-5 years, and explore what it means for related technologies such as distributed ledger, and the implications to financial services as we know them.

    Industry buzz regarding Cryptocurrency and Tokenized Assets abounds.  In this installment of the Reality Behind Buzzwords series, we will discuss the opportunities and challenges for the asset management and financial services industries. Expert panelists will explore issues around regulatory, risk, data security, and tax considerations. Join us to take a deeper dive into the implications for traditional asset servicers in terms of accounting, custody, record-keeping, safekeeping, and regulatory reporting. Discover the growth opportunities over the next 2-5 years, and explore what it means for related technologies such as distributed ledger, and the implications to financial services as we know them. 

    Learning objectives:

    • Regulatory landscape
    • Risk considerations
    • Related technologies (e.g. distributed ledger)
    • Potential impact to reconciliation, trading, collateral, and liquidity services



    CPE INFORMATION: Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Specialized Knowledge 

    Program Level: Basic 

    Delivery Method: Group-Internet Based 

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Andrew Beal (Moderator)

    Senior Manager, Blockchain Strategy Lead

    EY

    Andrew Beal is the West Coast Lead for EY’s Blockchain Practice, based in  San Francisco.

    Andrew has been a member of EY’s Blockchain Practice since it’s inception in 2016, and has worked with clients across financial services, healthcare, life sciences, real estate and manufacturing.

    Andrew also co-leads EY’s Digital Asset Research Center, a dedicated team of specialists that support virtual currency exchanges, custodians, protocol teams and decentralized finance projects on a wide range of governance, process, regulatory and technical matters.

    Prior to joining EY, Andrew was one of the first attorneys representing cryptocurrency companies. From 2012 – 2016, Andrew advised clients on a wide range of corporate and regulatory matters, including anti-money laundering and know-your-customer compliance, state money transmitter licensing, and some of the first Initial Coin Offerings (ICOs). His clients included leading global exchanges, protocol teams, and cryptocurrency payment processors.

    He is a frequent speaker on topics related to blockchain technology and cryptocurrency, and has presented to State and Federal regulators, state bar associations, and compliance organizations.

    Andrew is a licensed attorney in the State of California.

    Talia Klein

    Director, Custody Commercial Product Management

    BNY Mellon

    Talia Klein is a Director on the Custody Commercial Product Management team at BNY Mellon. She leads the firm’s efforts around the commercialization of custody and tokenization of digital assets. She joined BNY Mellon in October 2020 from Digital Asset Holdings, where she was a Product Manager supporting the fintech’s efforts in bringing blockchain and smart contract technology to some of the largest financial institutions in the world. She was responsible for leading the relationship with Broadridge to bring their Distributed Ledger Repo product to production. Prior to joining digital asset, Talia spent six years at J.P. Morgan in a variety of roles, most recently designing and developing the firm’s cross-line of business collateral eligibility service, the first cloud-based client-facing application within the Investment Bank’s Margin and Collateral Services. Talia holds a Bachelor of Arts in psychology from Barnard College at Columbia University and an MBA from Duke University’s Fuqua School of Business. She is proud to be named as an inventor on two pending patent applications.

    Rayne Steinberg

    Founder & CEO

    Arca

    Rayne Steinberg is Chief Executive Officer at Arca. In his role, Rayne leads the overall direction of the company and is responsible for securities structuring and risk management. Rayne has a 20-year history of financial and entrepreneurial success founding, overseeing and managing financial businesses.

    Prior to founding Arca, Rayne co-founded asset management company, WisdomTree. There, he was responsible for raising capital, creating intellectual property and building and overseeing the sales team responsible for raising $50 billion in ETF AUM. Rayne holds a Bachelor of Science Degree in Economics from the Wharton School of Business.

    Justin Chapman

    EVP Global Head of Market Advocacy & Innovation Research - Enterprise

    Northern Trust Company

    Greg Xethalis

    Partner

    Chapman and Cutler

    Greg Xethalis is a partner in Chapman's Corporate and Securities Department and a member of the firm's Investment Management Group. He represents clients in financial services and emerging technology matters.

    Greg counsels clients in the investment management, corporate, and digital asset/blockchain ecosystems. His representation of clients in the digital asset space has included registered and private fund sponsors, operators of digital asset trading, lending and custody platforms, bitcoin mining companies, clients developing tokenized platforms, and entrepreneurs and institutional clients experimenting with blockchain/DLT projects. He also counsels clients in developing ventures and building consortia to leverage blockchain technology in existing and new frameworks. Greg is a frequent speaker on developing regulatory issues relating to bitcoin, ethereum, and the adoption of distributed ledger technology.

    Greg also advises investment advisers and boards of exchange-traded fund (ETF) and mutual fund platforms in matters including fund formation, registration of shares with the Securities and Exchange Commission (SEC), and ongoing compliance matters. He represents sponsors of exchange-traded commodities (ETC) and advisers to private funds.

  • A Tech Transformation

    The COVID-19 pandemic has highlighted the potential of technology and why it could reshape the asset management landscape. With a spotlight on digital client interaction and resiliency, asset managers are adapting to the increasing importance of technology, but the industry has a way to go in terms of intervention and innovation. Northern Trust’s Dan Houlihan recently discussed this issue in an interview with Asset Servicing Times. Join us to hear Dan’s insights first hand as he shares his perspective with fellow Nicsa members, with Keith Slattery from JP Morgan.

    The COVID-19 pandemic has highlighted the potential of technology and why it could reshape the asset management landscape. With a spotlight on digital client interaction and resiliency, asset managers are adapting to the increasing importance of technology, but the industry has a way to go in terms of intervention and innovation. Northern Trust’s Dan Houlihan recently discussed this issue in an interview with Asset Servicing Times. Join us to hear Dan’s insights first hand as he shares his perspective with fellow Nicsa members, with Keith Slattery from JP Morgan.

    Learning objectives:

    • Improving inefficiencies in asset servicing
    • Current tech challenges facing asset managers
    • Integrating the investment lifecycle by streamlining processes
    • Increasing distribution through data analytics

    Who should attend: This program has broad applicability across business lines and management level.



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    Dan Houlihan

    Executive Vice President, Head of North America Asset Servicing

    Northern Trust Company

    Dan Houlihan is Executive Vice President and Head of Northern Trust Asset Servicing - Americas, a leading provider of custody, banking, fund
    administration, investor servicing and outsourced solutions across the front, middle and back office to both institutional asset owners and fund managers
    throughout the region. The broad client range includes fund management firms, large corporations, insurance companies, public funds and not-for- profit entities, including endowments, foundations and healthcare companies.

    Dan joined Northern Trust in 2008 as the Global Head of Product and Strategy for the Investment Operations Outsourcing business. He then spent eight years as Head of Global Fund Services in North America, responsible for servicing the region’s fund manager clients.

    Prior to joining Northern Trust, Dan spent 19 years in numerous leadership positions for investment management, technology, and services companies.
    Among these, he was President of Citisoft, Inc. where he was responsible for executing their North American strategy.

    Dan served as the immediate past Chairman of the Board for Nicsa and as a Director on the Advisors
    Investment Trust.

    Keith Slattery

    Managing Director, JP Morgan Chase

    Keith Slattery is managing director and global head of Client Service and Solutions for J.P. Morgan’s Securities Services business. His team is responsible for client onboarding and day-to-day service delivery across all products including custody, fund accounting and administration, agency lending and cash services.

    Previously, Keith was the global head of the Traditional Fund Accounting and Administration business.  In that role, he worked closely with partners from the product development, operations and technology teams to develop and deliver fund accounting and administration services for both asset managers and asset owners.       

    Prior to joining J.P. Morgan, Keith worked at State Street as a senior vice president in global services where he had responsibility for service delivery, new business development and product strategy for the fund administration business.  Preceding that, Keith worked at Investors Bank & Trust Company as senior director of mutual fund administration, after having developed the firm’s Investors University and global training and development programs. 

    Keith received a B.S. in management science, accounting and economics from Boston College and was a registered C.P.A. in the Commonwealth of Massachusetts for over 25 years.

    Jib Wilkinson (Moderator)

    Principal

    Deloitte

    Jib is a Principal in Deloitte Consulting’s Financial Services and Technology practice helping buy side and asset servicing clients in major business transformations including merger integration, technology strategy & implementation, operations improvement, and cost reduction.

    Jib focuses on the intersection of investment management, data, and technology. He has 20+ years of experience in information technology including19 years of experience dedicated to operations and technology for buy-side securities and investment management firms.

  • ETFs: Optimizing Your Product and Distribution Strategy

    Includes Credits Recorded On: 03/24/2021

    Join our panel of industry executives as they discuss ETF trends, and how to fully optimize your product and distribution strategy. The panel will review current trends in ETFs in terms of sales growth, demand and new product opportunities. We will discuss new products in the ETF space such as non-transparent and active ETFs and show how advisor and investor preferences are driving demand for ETFs.

    Join our panel of industry executives as they discuss ETF trends, and how to fully optimize your product and distribution strategy.  The panel will review current trends in ETFs in terms of sales growth, demand and new product opportunities. We will discuss new products in the ETF space such as non-transparent and active ETFs and show how advisor and investor preferences are driving demand for ETFs.

    Who should attend: sales, marketing, distribution, product, client service and relationship managers


    This program is sponsored by:

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    CPE INFORMATION:
    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1
    CPE Field of Study: Specialized Knowledge
    Program Level: Basic
    Delivery Method: Group-Internet Based
    Advanced Preparation: None


    CANCELLATIONS AND REFUNDS:
    Due to this program being offered free of charge, there will be no refunds issued.

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Matt Schiffman (Moderator)

    Principal - Distribution Insight

    Broadridge

    Matt has more than three decades of financial services industry experience in sales, marketing and financial product development. Matt and his co-founders of Atom Analytics joined Broadridge in July of 2018. At the firm, the team partners with clients to translate customer data into meaningful actions that improve business outcomes. Most recently, he served as Legg Mason’s first Global Head of Marketing where he was responsible for the global distribution group’s marketing strategy and execution, global brand development, thought leadership, practice management and e-business. He also oversaw the firm’s marketing to defined contribution, insurance and other platform and product manufacturers, led the learning and development team, was a member of the firm’s Operating Committee and served as a company spokesperson appearing on CNBC and in industry trade media. Previously Matt was head of retail distribution for the Americas at Legg Mason.

    Marc Zeitoun

    COO-North America Distribution/Head of Strategic Beta

    Columbia Threadneedle

    Jennifer Hoopes

    Senior Managing Director and General Counsel

    Foreside

    Ms. Hoopes is responsible for Foreside’s international business and product expansion to support Foreside’s non-U.S. clients. She regularly assists non-U.S. asset managers to navigate the U.S. and design successful approaches for entering the market. She also works with U.S. managers to help them understand the differences between U.S. and non-U.S. distribution and compliance matters. Sherecently returned from a posting in London where she opened Foreside’s first European office. Ms. Hoopes also serves as General Counsel for Foreside and is responsible for providing assessment, oversight and management of, and counsel on, all legal issues, risk exposure, and regulatory compliance for Foreside and its 24 subsidiaries, including 20 registered broker-dealers. Ms. Hoopes has particular expertise in the intersection of fund distribution and regulatory compliance obligations. Ms. Hoopes has served on multiple FINRA committees as both an elected and appointed member and presents regularly at conferences and on webinars on broker-dealer, fund and asset manager matters.

    Ed Rosenberg

    Senior Vice President, Head of ETFs

    American Century

    Ed Rosenberg is senior vice president and head of exchange traded funds for American Century Investments, a premier investment manager headquartered in Kansas City, Missouri. Before joining American Century Investments in 2017, Ed was a senior vice president and head of ETF capital markets and analytics at Northern Trust’s FlexShares. Previously, he was director and head of capital markets and analytics at Russell Investments. Prior to that, Ed was an ETF product manager at Vanguard.

    Ed holds a bachelor’s degree in business administration from Muhlenberg College, and a master's degree in business administration from Pennsylvania State University.

    Mark Donoghue

    Managing Director - Head of Global ETFs & SMA's

    Merrill Lynch Wealth Management