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  • Includes Credits Includes a Live Web Event on 12/15/2021 at 11:00 AM (EST)

    Asset managers around the globe are embarking on ambitious and comprehensive strategies for addressing the transition to a sustainable economy.

    Asset managers around the globe are embarking on ambitious and comprehensive strategies for addressing the transition to a sustainable economy. Nicsa member firms that are marketing ESG funds to European investors are encouraged to tune in to this program, hosted by ALFI, addressing the scope of the Sustainable Finance Disclosure Regulation (SFDR) and Taxonomy Regulation. Industry experts will discuss:

    ·  Key milestones in 2022

    ·  Impact on the fund legal documentation

    ·  Organizational requirements for asset managers and management companies

    ·  Likely impact on annual reports from 1 January 2022

    ·  ESG data exchange between asset managers and distributors

    ·  Draft SFDR templates and draft RTS on taxonomy-aligned disclosures

    Sponsored by:


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    Marc-André Bechet (Moderator)

    Deputy Director General

    ALFI

    Marc-André Bechet is Deputy Director General of ALFI, the Association of the Luxembourg Fund Industry. He joined the association in September 2014. Before joining ALFI, Marc-André Bechet was Head of the Investment Funds Services at Banque Degroof Luxembourg, responsible for fund administration and custody. He was also a member of Banque Degroof’s Management Board. Prior to joining Banque Degroof, Marc-André Bechet worked for 18 years at RBC Investor Services Bank S.A. in Luxembourg, where he held various senior positions including Head of Custody and Network Management, and Head of Business Development and Relationship Management, Legal and Compliance. Mr. Bechet holds a Master’s degree in Business Administration from the University of Ottawa (Canada) and a Master's degree in Finance from the French business school ESCP in Paris. He speaks English, French, German and Luxembourgish.

    Denise Voss

    Chairwoman

    LuxFLAG

    Denise Voss is a Non-Executive Director of investment funds and has worked in the financial industry in Luxembourg since 1990, including 25 years with Franklin Templeton, where she was a Conducting Officer and member of the board of the Luxembourg management company. She obtained a BA in psychology from Tufts University, as well as a MSc in accountancy from Bentley University. Ms Voss is currently Chairwoman of LuxFLAG, an independent agency created in Luxembourg in 2006 to support the financing of sustainable development. She is also Chairwoman of the EFAMA Investor Education Platform, was Chairwoman of ALFI from 2015-2019, a member of the ALFI board of directors from 2007-2019 and is currently a member of the ALFI Strategic Board.

    Nathalie Dogniez

    Partner

    PwC

    Nathalie Dogniez is a Partner at PwC Luxembourg where she leads the ESG Team of the European AWM practice. She has been servicing the asset management industry since 1989 and has developed regulatory expertise over topics such as UCITS, AIFMD and Money Market Funds Regulation as well as on ESG matters. She is involved in ALFI, contributing to many working groups including the regulatory board, and (co)‑chairing working groups such as UCITS eligible assets, AIFMD reporting and MMF Regulation. She is also member of the European Asset Management association (“EFAMA”) Standing Committee on Stewardship, Market Integrity, and ESG. She is a member of the ESG eligibility committee of LuxFLAG (the Luxembourg Fund Labelling Agency). She is a regular speaker at asset management conferences, on regulatory, compliance, governance and responsible investing matters. 

    Anika Ratzmann

    Conducting Officer/Head of Legal & Compliance

    Crestbridge

    Thomas Göricke

    Counsel

    Elvinger Hoss Prussen

    Thomas Göricke is a Counsel with Elvinger Hoss where he focuses on collective asset management and investment funds, advising clients (including management companies and AIFMs) on the set-up and structuring of their Luxembourg investment fund operations as well as on regulatory matters, with a particular focus on sustainable finance. He is part of the firm’s ESG task force and actively participates in various fund association working groups on ESG.

  • Includes a Live Web Event on 12/08/2021 at 2:00 PM (EST)

    Unclaimed property professionals deal with strict and complex compliance and reporting requirements. Join our webinar of industry experts, who will discuss timely themes and industry trends.

    Unclaimed property professionals deal with strict and complex compliance and reporting requirements. Join our webinar of industry experts, who will discuss timely themes and industry trends including:

    • Legislative and regulatory matters
    • Audit trends
    • Policy and procedure best practices

    Dana Terry (Moderator)

    Unclaimed Property Consulting Director

    Georgeson

    LeeAnn Dionne

    Regulatory Compliance Manager, Abandoned Property Administration

    SS&C Technologies

    In her role at SS&C, LeeAnn is responsible for the daily operations of the Abandoned Property Administration service. This includes overseeing the reporting and remittance of abandoned property to the various states and territories for approximately 200 clients.

    LeeAnn’s strengths, developed over her 34 years of mutual fund transfer agency experience, lie in client relationship management, operations, and state abandoned property rules. Prior to joining SS&C, she held a similar position with both DST and Boston Financial Data Services, where she also managed their Abandoned Property Group for 22 years, 10 of which were at the officer level.

    LeeAnn is a member of the Unclaimed Property Professional Organization, is the Co-Chair of the NICSA Abandoned Property Committee and actively participates in the DST Escheatment Advisory Group and the ICI Abandoned Property Task Force.

    Heather Gabell

    Senior Manager, Compliance

    MarketSphere Unclaimed Property Specialists

    Heather spearheads the monitoring of legislative and regulatory activity, litigation, and state-specific reporting changes relevant to unclaimed property. Utilizing her expertise, she is specifically focused on interpreting, tracking, and communicating changes to our internal practice teams and clients to ensure compliance in all reporting jurisdictions. In addition to providing guidance and support on legislative and regulatory activity related to privacy and data security, Heather also creates and maintains state-by-state documentation related to compliance obligations such as dormancy periods, due diligence, penalties and interest, record retention, and audit-related requirements. She further contributes by penning blog posts, hosting webinars, and is an active member of several trade organizations. Heather holds a law degree from Villanova University School of Law.

    Heidi Lastoria

    Regulatory Monitoring Specialist

    MFS

    Heidi Lastoria is a Regulatory Monitoring Specialist at MFS Investment Management and the company’s Unclaimed Property subject matter expert. Heidi has been in the Mutual Fund industry for over 20 years. She started her career in a dedicated IRA operations team with Federated Investors before managing an Operations team with MFS Investment Management. 

    In 2008, Heidi transitioned to her current role, which includes managing the lost shareholder and escheatment processes for MFS Investment Management. Since taking on this role, Heidi has become knowledgeable of SEC Rule 17Ad-17, RUUPA, and various state statutes relating to unclaimed property. She has been actively involved in responding to several state unclaimed property audits. Heidi is a regular contributor in several unclaimed property industry groups. She earned her Bachelor of Science in Business Management from the University of Phoenix in 2006.

  • Includes Credits Recorded On: 12/01/2021

    As European tax reclaims, ECJ recoveries and IRS obligations evolve, funds and ETFs are challenged with navigating this complex landscape. During this webinar PwC, Invesco, First Eagle and Broadridge will discuss how asset managers are gearing up for these challenges and what to expect in 2022.

    As European tax reclaims, ECJ recoveries and IRS obligations evolve, funds and ETFs are challenged with navigating this complex landscape.  During this webinar PwC, Invesco, First Eagle and Broadridge will discuss how asset managers are gearing up for these challenges and what to expect in 2022.


    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: Regulatory Ethics
    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 info@nicsa.org 

    Fred Kosanovic (Moderator)

    Vice President of Sales

    Access Data - a Broadridge Company

    Fred has over 20 years of experience in the financial technology industry. He is currently the head of Access Data sales for Broadridge. Fred seeks to elevate and strengthen long-term business partnerships with our clients. As a result, he has taken a client-first strategy with the goal of becoming a strategic partner and a go-to-resource to help clients overcome business challenges and issues.

    Constantinos Magdalenos

    Director, International Tax, Financial Services

    PwC

    Joe Malone

    SVP, Head of Fund Administration

    First Eagle Funds

    Joseph Malone is Senior Vice President of First Eagle Investment Management, LLC, Head of Fund Administration and CFO for First Eagle Funds located in New York. First Eagle Investment Management is an independent firm that manages assets for institutional and individual clients.

    Joseph has responsibility for fund administration functions including financial reporting, oversight of service providers, valuation, tax, and other regulatory matters. He has over 32 years of experience in the financial services industry covering mutual funds, hedge funds, UCITS, and private equity funds, as well as a member on several industry committees.

    Mike McMaster

    Global Head of Tax

    Invesco

    Mike McMaster is Global Head of Fund Tax and a member of the Office of the Fund CFO Americas. He also serves as Vice President and Chief Tax Officer for Invesco Funds and Assistant Treasurer for Invesco Exchange-Traded Funds. Mr. McMaster is responsible for Invesco’s Global Fund Tax Reporting and Distribution departments.

    Mr. McMaster joined Invesco in 2020. Prior to joining the firm, he was senior vice president — managing director of tax services at US Bank Global Fund Services (GFS) where he developed an initial team of seven tax professionals into a team of 52 responsible for full tax consulting and federal and state tax return preparation services for over 800+ mutual funds, ETFs, MLP Corps, and 400+ non-registered hedge, private equity, PFIC, and master-feeder offshore investment structures. He also conducted tax-technical client webinars and performed internal staff training. Additionally, Mr. McMaster was the lead project coordinator within GFS and other US Bank departments on several ongoing tax and custody technology update initiatives.

    Before that, he was a tax manager at PricewaterhouseCoopers, where he was responsible for client service relationships for multiple investment partnership groups and RIC clients, including US Bank GFS. He also held positions at KPMG and Northern Trust Corporation in Chicago. He has been in the industry since 1990.

    Mr. McMaster earned a BAS degree in economics and political science from Northwestern University, College of Arts and Sciences, an MBA from Loyola University Chicago, College of Business, and an MS in taxation from the University of Illinois. 

  • Includes Credits Recorded On: 11/03/2021

    This webinar features key insights and dialogue from Nicsa's annual DEI perception study. Subject matter experts behind the survey and the DEI space will take a deep dive into the eight key takeaways from the report and where we go from here.

    The asset management industry is on the clock to turn it’s commitment into meaningful, targeted actions that will advance the current landscape of diversity, equity, and inclusion (DEI).

    This webinar will feature key insights and dialogue from Nicsa's annual DEI perception study. Subject matter experts behind the survey and the DEI space will take a deep dive into the eight key takeaways from the report and where we go from here.

    The Study's key takeaways explore the following areas:

    1. Industry Response 

    2. Perception Differences 

    3. Business Integration 

    4. Priority at the Top 

    5. Middle Management 

    6. Increased Transparency 

    7. Training Evolution 

    8. Diverse Talent

    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.

    Thomas Arnold

    Partner, Leader in Asset Management Technology Consulting

    EY

    EY, Partner, Wealth & Asset Management Consulting

    Co-Chair NICSA Diversity Project

    Cassie McCarthy

    Manager, EY’s Wealth and Asset Management Consulting Practice

    EY

    Cassie McCarthy is a Manager in EY’s Wealth and Asset Management consulting practice, where she works with leading global asset management firms on large-scale transformations aimed at navigating an evolving industry landscape. She helps asset managers enact strategic and sustainable change through harnessing the power of innovation, improving alpha generation, and enhancing diversity, equity, and inclusion. Cassie is also co-chair of the Nicsa Diversity Project North America Benchmarking Committee.

    Erica Seremeta

    Director of US & Canada DEI Client Engagement

    BlackRock

    Erica Doray Seremeta, CIMA®,is the Director of Global Sales for Diversity, Equity & Inclusion (DEI) within Human Resources. She is responsible for developing and driving DEI client engagement strategy and alignment globally. Her interactions involve client engagements across both retail and institutional audiences. Within the DEI team, she partners with the global DEI Steering Committee, DEI champions, HR peers and business leaders to design and deliver standard DEI client materials throughout the firm.

    Previously, Ms. Seremeta was a Relationship Manager within the Aladdin Product Group Client and Sales Solutions team, where she was responsible for driving the unification strategy and adoption of enablement technology in partnership with the Client Experience Platform for BlackRock's Institutional Client Business.

    Ms. Seremeta's service with the firm dates back to 1998, including her years with Merrill Lynch Investment Managers (MLIM), which merged with BlackRock in 2006. In 2008, she formed BlackRock's Advisor Services Group, which handles inbound financial professional inquiries and supports BlackRock’s USWA sales desk. Her previous roles at MLIM include Regional Sales Desk Manager, Investment Management Associate and Syndicate Equity Coordinator. Ms. Seremeta began her career in Defined Assets Funds at Merrill Lynch as a hybrid wholesaler.

    Ms. Seremeta earned a BBA degree in finance and an MBA degree in finance from Rider University in 1998 and 2003, respectively. She is also a Certified Investment Management Analyst (CIMA). Ms. Seremeta is an active board member and office lead of BlackRock's OUT & Allies network. She has been a featured speaker at numerous events including Out & Equal's annual summit, Open Finance of New York City and BlackRock’s Women’s Initiative Network. In addition, she serves as a keynote speaker for BlackRock’s LGBTQ+ client program

  • Recorded On: 09/22/2021

    As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with Latinx professionals in the asset management industry in recognition of Hispanic Heritage month. This panel will discuss creating mutually beneficial partnerships with third party organizations. We will look at how these relationships were established and how they factor into the process for firms to source compelling, diverse candidates from the Latinx community. Speakers will stress the business case for developing these important partnerships to create a more diverse pipeline of employees and improving retention rates within the indusustry

    As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with Latinx professionals in the asset management industry in recognition of Hispanic Heritage month. This panel will discuss creating mutually beneficial partnerships with third party organizations.  We will look at how these relationships were established and how they factor into the process for firms to source compelling, diverse candidates from the Latinx community. Speakers will stress the business case for developing these important partnerships to create a more diverse pipeline of employees and improving retention rates within the industry. The panel will consist of the leadership from ALPFA, a talent acquisition/HR professional and employee business resource group perspective.

    This program is sponsored by:


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    Mabel Rius

    Head of Human Resources, US and Americas

    HSBC

    Mabel Rius is Head of Human Resources, US and Americas.

    She joined HSBC in 2010 as HR Director for Argentina and shortly thereafter assumed responsibility for learning, recruitment and
    organizational development for Latin America. In 2013, she became head of Human Resources for Latin America, and earlier this year she added oversight of Canada as well.

    Mabel is a member of Women Corporate Directors and Idea Diversity Network. Prior to joining HSBC, Ms Rius was appointed Vice President of HR for The Clorox Company, where she served as both a generalist and specialist beginning in 1997. In March 2000, she was transferred to headquarters in Oakland, California, where she assumed management positions in compensation, labor relation, diversity and inclusion, mergers and acquisitions and development.
    Previously, she served as HR Manager for Chrysler Argentina.

    Ms Rius has a BS in Labor Relations from the Universidad de la Marina Mercante en Argentina and a Master’s degree in Human Resources from the Universidad del Salvador and the State University of New York.

    Damian Rivera

    CEO

    ALPFA

    Damian Rivera serves as ALPFA’s CEO, leading one of the largest and oldest Latinx membership associations in the country. He has served in this role since September 2018. Damian bridges the non-profit and corporate sectors bringing together management experience with authenticity, a drive to impact the lives of every person he meets and a passion for service to others.

    Prior to ALPFA, Damian Rivera was a Managing Director in Accenture’s Resources Utilities practice for 21 years where he started his career as a coder in their Technology Practice. While at Accenture, Damian focused on Customer Care Transformation work for utilities including helping clients with strategically pivoting to digital capabilities as they look to improve customer engagement. Damian has performed Digital Transformation Strategy and Implementation, Customer Information System builds, Utility Customer Analytics as well as Customer Care operations work. Through these engagements he worked on all project phases including Strategy Development, System Implementation, Business Process Definition as well as Operations.

    Damian holds a Bachelor’s of Science in Chemical and Biochemical Engineering from Rutgers University – College of Engineering and MBA from Columbia University specializing in Social Entrepreneurship. Damian’s focus on social entrepreneurship would come as no surprise to people who
    know him. In addition to his client roles he served as Accenture’s Managing Director responsible for North American Hispanic American Employee Resource Group from 2011 - 2017. In this role he led the strategic direction across the US engaging in internal career progression as well as local market activities focused on improving the local community in which the ERG is based. Damian also served as the Office Diversity Advocate for Metro New York, which focuses on improving employee engagement across all of Accenture’s Metro New York based resources.

    In addition to his diversity work during his tenure with Accenture, Damian serves on the AICPA’s National Commission on Diversity & Inclusion championing and influencing greater diversity, inclusion and equity in the areas of recruitment, certification and advancement throughout the accounting profession. From 2014-2020, Damian served on the National Board of Directors of Per Scholas, whose mission is to “Break the cycle of poverty by providing technology education, access, training and job placement services for people in underserved communities”. In 2019, Damian was also selected to serve on the Young Alumni Board of Columbia Business School. Damian has spoken at a number of corporate events and national non-profit conferences on a variety topics ranging from executive leadership to D&I to the role of technology in business.

    In 2018, Damian was recognized by Latino Leaders Magazine, as a member of their Top 101 Most Influential Latinos list. He has been profiled by LATINO Magazine and interviewed for a 2019 news segment on Cheddar. In addition to his non-profit and diversity work, Damian is an angel investor having invested in tech start-ups with a social purpose mission. Damian is married to his high school sweetheart Idanis, and has 2 children, Damian
    Francisco and Ilanis. When not working, Damian enjoys watching his son run track, and watching his daughter’s artistic talents in photography. Damian also enjoys triathlons, having completed the NYC Triathlon 10 years in a row, and completed a charity bike ride from Toronto to Niagara Falls.

    Alex Rivera

    Senior Manager, Learning & Development

    Invesco

    Alex is a Learning & Development partner at Invesco based out of New York. For over 4 years, she has prepared leaders, teams, and individuals to thrive in an ever-changing environment through a range of L&D opportunities, including team effectiveness sessions and coaching. She has driven several new firmwide initiatives, including Invesco’s Engagement Pulse Survey to give all employees a voice.

    Alex is passionate about Diversity and Inclusion on both a personal and professional level. In her role, she aims to maximize employee engagement by helping them better leverage their strengths, values, and experiences. She deeply values the importance of bringing one’s whole self to work and is hopeful that the newly formed ¡HOLA! business resource group will enable even more fellow colleagues to do so.

    Alex’s other varied experiences had a common thread: to help others realize their potential. She spent 4 years at NYU Langone Health System as an Organizational Development consultant helping teams unearth root causes of ongoing challenges and empowering them to bring solutions to life. She has been a youth advocate for at-risk teens in New York, an English teacher in Spain, and a counselor for an evidence-based pregnancy prevention program for Latino youth in Arizona.

    While her heart remains in Puerto Rico where she was born, she loves her multicultural and multi- generational Brooklyn home, which she enjoys with her husband, mother, and five-year-old twin daughters.

    Alex received her MA in Social-Organizational Psychology from Columbia University, and her BA in Psychology from the University of Rochester.

  • Includes Credits Recorded On: 09/16/2021

    Amid an evolving regulatory environment, asset management industry professionals are focused on SEC Rule 18f-4, a modernized regulatory framework for the use of derivatives by funds​. Our panel of experts featu​ring IHS Markit, the SEC, and the Mutual Fund Directors Forum, will discuss the 5 big questions we’re hearing from Chief Risk Officers and Chief Compliance Officers and how they relate to your firm.

    Amid an evolving regulatory environment, asset management industry professionals are focused on SEC Rule 18f-4,a modernized regulatory framework for the use of derivatives by funds. Our panel of experts featuring IHS Markit, the SEC, and the Mutual Fund Directors Forum, will discuss the 5 big questions we’re hearing from Chief Risk Officers and Chief Compliance Officers and how they relate to your firm.

    Learning objectives:

    1)       What has changed and what is required by funds to comply on derivatives exposure?

    2)       Why have these rules been implemented?

    3)       What approaches to Value-at-Risk should be used?

    4)       How to prepare historical and hypothetical stress scenarios?

    5)       What Benchmarks and market data are needed?

    6)       What responsibilities fall to fund boards? 


    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: Regulatory Ethics
    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.

    Luke Armstrong (Moderator)

    Buy Side Risk Product Manager

    IHS Markit

    Mr Armstrong has a decade of experience in buy side risk management working at CQS and Bluebay Asset Management. As product manager, Luke is responsible for the design and build of FRA's next generation buy side risk management platform. Mr. Armstrong holds a BEng in Aerospace Engineering with first class honours from the University of Southampton.

    Brian Johnson

    Associate Director, Rulemaking Office

    United States Securities Exchange and Commission

    Brian McLaughlin Johnson is an Assistant Director in the Rulemaking Office in the SEC’s Division of Investment Management. Mr. Johnson heads the Division’s Investment Company Regulation Office, which is responsible for rulemaking activities under the Investment Company Act in the Division and provides advice on policy initiatives affecting the asset management industry.

    Before joining the SEC in 2010, Mr. Johnson was an associate at the Washington, D.C. offices of K&L Gates and WilmerHale. Mr. Johnson received his B.A. from the University of Delaware and his J.D. from the George Mason University School of Law.

    Carolyn McPhillips

    President

    Mutual Fund Directors Forum

    Carolyn McPhillips joined the Forum's staff in July 2005. In June 2020, Carolyn succeeded as President of MFDF. Immediately prior to joining the Forum, she lived in Naples, Italy. She was an associate in the Financial Services Group of Dechert LLP from 2000 to 2003. 

  • Includes Credits Recorded On: 09/15/2021

    Market turmoil has investment managers tracking and accounting for increased risks and has investors looking for timely portfolio updates. At the same time, firms are ramping up the use of data and analytics when making investment decisions. Our panel of industry experts will discuss how to strengthen your firm's measurement of investment performance, including ESG analysis, using data to make investment decisions and the impact of COVID-19.

    Market turmoil has investment managers tracking and accounting for increased risks and has investors looking for timely portfolio updates.  At the same time, firms are ramping up the use of data and analytics when making investment decisions.  Our panel of industry experts will discuss how to strengthen your firm's measurement of investment performance, including ESG analysis, using data to make investment decisions and the impact of COVID-19. 

    Who Should Attend: Investment professionals, data and analytics teams.

    Sponsored by:


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    Ulf Herbig

    Head of Product

    Kneip

    Benjamin Gauthier

    Partner

    PwC

    Benjamin is Partner in the Regulatory & Compliance Advisory Services team of PwC Luxembourg.

    During these last 18 years, he supported professionals of the fund management industry (UCITS, UCITS like, Hedge funds, Real estate and Private Equity). His main areas of expertise and main achievements are connected to risk management, process review and improvement, set-up of management companies and selection/implementation of tools.

    He is now leading the Managed Services initiative of PwC Luxembourg. As part of that initiative, we offer end-to-end services —from data collection to delivery— covering a wide range of topics: risk monitoring, KIID, AIFMD reporting, accounting, institutional investor reporting, FATCA/CRS etc).

    Qualifications

    Master’s degree equivalent (Bac+5) in Business Administration from the IAG Université Catholique de Louvain (Belgium)

    FRM certificate (GARP)

    Susanne Schartz

    COO

    SEQVOIA

    Susanne Schartz is the COO of SEQVOIA, a Luxembourg FinTech developing innovative data management solutions for the Financial industry, where she leads the IT & Development, Customer Experience, and Legal & Compliance functions.

    SEQVOIA is an innovative company with a mission at the heart of the digital revolution: we strive to build technology that transforms the way our clients create and use data as an asset. Leveraging a strong track record in supporting the business processes of the market’s major firms, we aim to accelerate their transformation towards data-driven organizations. SEQVOIA specializes in digitalizing manual processes to successfully manage product lifecycle and integrate quality data into your product value chain. With built-in compliance checks and full audit trail guaranteeing clear ownership, asset managers achieve better data governance, operational streamlining, lower compliance risk and - most importantly – higher investment performance.

    Susanne has more than 20 years of experience in the Luxembourg asset management industry. During this time, she held different roles within operations and product. Throughout her career, she gathered extensive experience in defining and deploying technology within operational and regulatory contexts. Susanne is passionate about using data and technology to create business processes that allow analysis to drive performance.

    A German native, Susanne lives in Luxembourg and speaks German, English, French and some Luxembourgish. She lived in Canada, the UK and the US for her education and enjoys the inherently Global nature of life in Luxembourg.

    Laura Lutton

    Head of Asset Management Solutions

    Morningstar

    Laura Lutton is head of asset management solutions for Morningstar, Inc., where she leads sales- and product-development strategies for Morningstar’s asset manager client segment.

    Before assuming her current role in 2019, Lutton was the North American practice leader, manager research, for Morningstar Research Services LLC, a wholly owned subsidiary of Morningstar, Inc. There she directed the firm’s manager research analyst teams in the United States and Canada.

    Lutton was a leader on the Manager Research team for more than a decade, previously heading asset-class teams, as well as the firm’s parent research and ratings on mutual fund firms. She is also a founding member of Morningstar’s Women’s Initiative and currently serves as the group’s executive sponsor in the U.S.

    Lutton joined Morningstar in 1999 as an equity analyst and moved to the fund research team in 2001. Before joining Morningstar, Lutton was the Chicago bureau chief for American Banker.

    Lutton holds a bachelor’s degree in government and international studies from Colby College and a master’s degree from Northwestern University’s Medill School of Journalism.

    Chris Fisher

    Director

    BlackRock

  • Includes Credits Recorded On: 08/25/2021

    By highlighting a variety of regulatory changes impacting asset managers, the program will help firms prepare for new and existing regulations. This panel will feature a combination of fund experts, legal professionals and compliance and regulatory executives.

    By highlighting a variety of regulatory changes impacting asset managers, the program will help firms prepare for new and existing regulations. This panel will feature a combination of fund experts, legal professionals and compliance and regulatory executives.

    Learning Objectives:

    1. 30e-3 Update –
      1. Best practices and how this is evolving
      2. How has the industry responded (both funds and shareholders)? 
    2. Tailored Reports –
      1. Status of the proposal and what it means for the industry
      2. We haven’t heard much since the comment period was up in January – what is the general consensus on this?
      3. How do funds prepare?
    3. SEC  -
      1. General updates with the new administration


    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: Regulatory Ethics
    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.

    Kathleen Keenan (Moderator)

    Vice President - Product Management MFRS

    Broadridge

    Kathleen Keenan is Vice President of Product Management for Investor Communication Services (ICS) on behalf of the Mutual Fund Regulatory Communications Business. Kathleen joined Broadridge in 2021.

    Prior to Broadridge, Kathleen was Head of Product at GAGNONtax where she successfully helped to transform the company from a professional service to technology
    company by repurposing in-house technology for sale within a broader commercial market. Kathleen also served as Head of Product/Web Strategy at BISAM where she
    where she had responsibility for restructuring the product organization to enhance responsiveness, improve client relationships and grow market share. She had P&L
    responsibility for a multi-suite of SaaS offerings serving Performance Teams in Global Asset Management firms. Kathleen also spent a number of years leading product and service teams at both NASDAQ and Thomson Reuters.

    Kathleen holds a MBA from the University of Massachusetts and a Bachelor of Science from Ithaca College.

    Nathan Briggs

    Partner

    Ropes & Gray

    Nathan Briggs is a partner in the asset management group. Nathan’s practice focuses on advising registered investment companies, their independent directors, and investment advisers. Nathan works on a variety of matters regarding the establishment, registration, reorganization, and operation of retail and institutional investment products, including providing advice with respect to governance, regulatory and compliance issues of all kinds affecting investment management industry clients.

    Prior to working at the firm, Nathan interned at the Investment Adviser Association in Washington, DC where he assisted and worked with its members in a variety of lobbying and industry-related issues. Nathan holds a masters degree in international economic relations and has passed Level I of the Chartered Financial Analyst examination.

    Jay Herold

    Vice President and Sr. Counsel

    MFS

    Jay C. Herold is a vice president and senior counsel at MFS Investment Management® (MFS®). In his role, he is responsible for providing legal counsel in the areas of mutual fund distribution and broker/dealer regulation. He regularly advises key personnel on fund distributor and transfer agent issues for US registered investment companies and UCITS funds.

    Jay joined MFS in 2013. He previously spent nine years at Fidelity Investments serving in various roles, including most recently as senior legal counsel supporting Fidelity’s outside mutual fund distribution platform.

    Jay earned a Bachelor of Science degree from Emerson College and a Juris Doctor degree from St. Thomas University.

    Amanda Hollander Wagner

    Branch Chief, Division of Investment Management

    U.S. Securities and Exchange Commission

    Amanda Hollander Wagner serves as a Branch Chief in the Investment Company Regulation Office of the U.S. Securities and Exchange Commission’s Division of Investment Management. In this role, she develops regulatory policy recommendations for the Commission on a wide range of topics affecting registered investment companies and business development companies. She has served at the Commission since 2012. Prior to this time, Amanda was an associate in the investment management practice groups of two Washington, DC-area law firms. Amanda is a graduate of the Georgetown University Law Center and Princeton University.

  • Recorded On: 08/18/2021

    Demographic changes are having a big impact on how people save for retirement. Explore the shifting consumer landscape and its impact to retirement plans with our panel of industry experts as they take a deep dive into emerging trends such as improving accessibility, evolving legislation, and enhanced communications for holistic financial planning and wellness.

    Demographic changes are having a big impact on how people save for retirement. Explore the shifting consumer landscape and its impact to retirement plans with our panel of industry experts as they take a deep dive into emerging trends such as improving accessibility, evolving legislation, and enhanced communications for holistic financial planning and wellness. 

    Learning objectives:

    • MEPs/PEPs
    • Auto-enrollment, auto-IRAs
    • State RPs
    • SECURE Act

    Linda York (Moderator)

    Senior Vice President

    Cogent Syndicated, a division of Escalent

    Linda York is a Senior Vice President in the Financial Services industry group at Escalent, where she leads the Cogent Syndicated Research & Consulting practice. She has over 20 years of experience in financial services spanning responsibilities in finance, marketing and business strategy.

    Before joining Escalent, Linda was the Practice Director of Syndicated Research at Cogent Research, where she managed the product development and execution process for syndicated research projects and consulted with dozens of clients in the retail and institutional wealth management space. Prior to joining Cogent, Linda served at Upromise Investments, where she directed the strategic development, execution and measurement of 529 marketing initiatives for state clients and partners and Fidelity Investments, where she spent 11 years in a variety of strategic leadership roles including the Vice President of External Relations for the Fidelity Research Institute and Vice President and Market Manager with Fidelity Investments Tax-Exempt Services Company. Linda began her career in financial services with Travelers Insurance Company in the Financial Services and Group Pensions divisions.

    Linda holds an MBA in marketing from the University of Connecticut and a bachelor’s degree in mathematics from Mount Holyoke College.

    Jennifer Flitton

    Vice President of Federal Affairs

    Invesco

    Jennifer Flitton is Vice President of Federal Government Affairs with the US Government Affairs team. In this role, she works side by side with Andy Blocker, Head of US Government Affairs, with the goal of driving Invesco’s advocacy initiatives with policymakers and regulators, ensuring the firm is an influential part of the Washington conversation and solidifying Invesco’s seat at the table.

    Ms. Flitton joined Invesco in 2018 from the Securities Industry and Financial Markets Association (SIFMA). At SIFMA, she led lobbying initiatives on behalf of the asset management and broker dealer industries with a focus on asset management, wealth management and tax issues, including the 2017 tax reform bill and the Department of Labor’s fiduciary rule. Prior to joining SIFMA, Ms. Flitton spent 16 years on Capitol Hill, last serving as the deputy chief of staff and legislative director for Congressman Patrick McHenry, and as Congressman McHenry’s designee to the House Financial Services Committee’s Oversight and Investigations Subcommittee. She started her Capitol Hill career with former House Financial Services Committee Chairman Mike Oxley.

    Ms. Flitton earned a BA degree from Ashland University in 1999 and a master's degree in public policy from George Mason University in 2006.

    Bob Shaw

    Senior Director

    SS&C Retirement Solutions

    Bob is Senior Director of SS&C Retirement Solutions, where he is responsible for overseeing Product Strategy and Development across the firm’s broad array of front-and back-office technology and servicing solutions for the retirement business.  Bob has over 16 years of experience dedicated in the retirement business and has served in a multitude of roles within SS&C Retirement Solutions including various leadership roles in our back office administration and institutional client onboarding groups.  Bob has led large scale implementations of business on to SS&C’s platforms and works closely with our Sales group on business development opportunities.  These experiences and working with our broad array of clients, products, and services provide Bob unique insight and understanding of the marketplace.

    Bob has a Bachelor of Arts degree in Political Science and Justice Studies from the University of New Hampshire. 

    Drew Carrington

    Senior Vice President, Head of Institutional DC

    Franklin Templeton

    Drew Carrington is a senior vice president, and leads Franklin Templeton's defined contribution business within the U.S. institutional large market segment. His responsibilities include presenting the firm's capabilities to existing and prospective DC clients and their consultants, as well as understanding and communicating the complex, evolving regulatory landscape of DC plans.

    Prior to joining Franklin Templeton in 2013, he served as head of the Defined Contribution and Retirement Solutions Group at UBS Global Asset
    Management, focused on developing investment solutions for large DC plans, particularly in the target date and retirement income categories. He
    joined UBS in 2005, as a senior fixed income client portfolio manager for UBS, where he worked closely with their Asset-Liability Investment
    Solutions team to design and implement the fixed income and duration overlay portions of asset-liability management strategies. Before joining UBS,
    he was a principal at Mercer Investment Consulting, where he worked with both public and private DB and DC clients. He began his career in the
    financial services industry in 1988.

    Mr. Carrington is former chair of the Retirement Income Committee and current member of the Retirement Research Board of the Defined
    Contribution Institutional Investment Association (DCIIA), a nonprofit association dedicated to enhancing the retirement security of American workers.
    He is a frequent speaker at DC industry conferences on retirement income, diversification opportunities and risk mitigation. Mr. Carrington holds
    Chartered Financial Analyst (CFA) and Chartered Alternative Investment Analyst (CAIA) designations, is Series 7 and 63 licensed and holds a
    bachelor of arts from Harvard University.

  • A Time for Understanding is a program developed by founding members of Diversity Project North America. The program is intended to facilitate frank conversations and help bridge cultural divides inside and outside of the workplace. It is designed to include and to benefit all associates, regardless of race, gender, cultural or religious affiliation. The program can be customized and personalized for any firm wishing advance allyship among their employees.

    A Time for Understanding is a program developed by founding members of Diversity Project North America. The program is intended to facilitate frank conversations and help bridge cultural divides inside and outside of the workplace. It is designed to include and to benefit all associates, regardless of race, gender, cultural or religious affiliation. The program can be customized and personalized for any firm wishing advance allyship among their employees.