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  • A Tech Transformation

    Includes a Live Web Event on 03/31/2021 at 2:00 PM (EDT)

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join our panel of industry experts sponsored by Northern Trust as we explore how to leverage the power of data in 2021 and beyond.

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join our panel of industry experts sponsored by Northern Trust  as we explore how to leverage the power of data in 2021 and beyond.

    Learning objectives:

    • Trends in behavioral analytics, and investment analytics 
    • Driving meaningful improvements to investment strategies
    • Measuring “success” beyond traditional returns and attribution

    Who should attend: asset managers, asset owners, consultants, financial services media outlets


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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 currently serves as Chairman of the Board for the National Investment Company Service Association (NICSA) and as a Director on the Advisors
    Investment Trust.

    Keith Slattery

    Managing Director, JP Morgan Chase

  • ETFs: Optimizing Your Product and Distribution Strategy

    Includes Credits Includes a Live Web Event on 03/24/2021 at 2:00 PM (EDT)

    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: Personell/Human Resources
    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

  • Listen, Learn & Lead: Empowering and Sponsoring Women

    Includes a Live Web Event on 03/11/2021 at 2:00 PM (EST)

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. In acknowledgment of International Women's Day on March 8, this installment will focus on empowering and sponsoring women both within your organization and throughout the global asset management industry. Advocating for the advancement of women is crucial for improving gender balance and diversity in leadership teams, while sponsorship can create successful pathways for women at different stages in their careers.

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. In acknowledgment of International Women's Day on March 8, this installment will focus on empowering and sponsoring women both within your organization and throughout the global asset management industry. Advocating for the advancement of women is crucial for improving gender balance and diversity in leadership teams, while sponsorship can create successful pathways for women at different stages in their careers.

    The panel feature three great perspectives from senior industry executives. Attendees will also hear insights around what male leaders can do as allies and advocates.

    This program is sponsored by:


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    Christine Tucker

    Chief Customer Experience Officer

    Pacific Life

    Christine leads Pacific Life’s client experience strategy unifying cross-functional teams to create a holistic, client-obsessed experience to support long-term corporate and business divisions’ strategic goals. She is responsible for building end-to-end client experience strategy for scale and efficiency while championing the voice of the customer as one company. Further, she leads and aligns innovation efforts, enterprise customer insights and customer journeys to bring new solutions and experiences to market more efficiently. Christine joined Pacific Life in 2008 and has over 30 years’ experience within the retirement and financial services industry. She has held a variety of leadership roles in annuity and retirement product development, marketing and sales.

    Active in several diversity, equity and inclusion initiatives within the financial services industry, Christine serves on Pacific Life’s enterprise DEI Council and co-chairs the Women @ PL connections group. A third generation Southern California native, Christine and her husband live in Long Beach, California.

    Shannon Hobbs

    SVP and Chief Human Resource Officer

    American Century

    Shannon Hobbs is senior vice president and Chief Human Resources (HR) Officer for American Century Investments®.

    Hobbs, who joined American Century Investments in 2020, leads the Human Resources team as it partners with company leaders to develop strong workplace practices designed to contribute to the success of the global asset management firm's clients, employees, owners and communities. She oversees diversity, equity and inclusion; recruiting; talent management; learning and development; rewards; HR data and analytics; and community investments. She also serves on the company's Management Committee, the senior leadership team responsible for establishing and executing strategic priorities.

    Prior to joining the company, Hobbs served in HR leadership roles for 10 years at JPMorgan Chase, most recently as a managing director and head of talent. In that position, she developed a global talent strategy to ensure a reliable and capable flow of skilled professionals at all levels of the firm. She also was responsible for global talent management and learning and development for the company's 250,000 employees including overseeing performance assessments, succession planning, career development and employee and leadership development. During her time at JPMorgan Chase, Hobbs also served as head of human resources for the commercial bank division, HR lead for investor services within the corporate and investment bank, head of learning and development for JPMorgan corporate and interim head of HR for the bank's operations in France. Earlier in her career, Hobbs held senior HR positions at Smith Barney and Morgan Stanley.

    Hobbs earned a master's degree in organizational development from Golden State University and a bachelor's degree in political science from the University of South Carolina.

    Donna Wilson

    Head of Investment Due Diligence

    Invesco

    Donna Chapman Wilson is the Head of Investment Due Diligence for Invesco’s US Wealth Management Platform. She leads a team that works to bring the investment strengths of Invesco to research teams at our wealth management clients. Ms. Chapman Wilson has more than 20 years’ experience as a leader and role model within Invesco’s investment organization. She joined Invesco in 1997 as a product specialist for the fundamental growth equity teams before moving to a client portfolio manager role for Invesco Quantitative Strategies (IQS) in 1999. She was a member of IQS’s management team, with responsibility for strategic planning and direction, and led the US Client Portfolio Management team until 2016, when she was promoted to portfolio manager for the IQS US retail funds.
    Prior to joining Invesco, she held positions with J.P. Morgan, General Motors Asset Management, Mercer Investment Consulting and the Federal Reserve Board of Governors. Ms. Chapman Wilson earned an MBA in finance from the Wharton School of the University of Pennsylvania and a BA degree in economics from Hampton University. She is a member of the Board of Directors of the Women’s Bond Club of New York and a founding member of the Invesco Women’s Network.

  • FinReg Outlook 2021

    Includes a Live Web Event on 03/10/2021 at 10:00 AM (EST)

    Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2021, including updates and action plans from regulatory experts. This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the year ahead.

    Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2021, including updates and action plans from regulatory experts. This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the year ahead. 

    Learning objectives:

    ·       Understanding of the EU legislative timeline

    ·       The European agenda for 2021: SFRD and sustainable finance, AIFMD/UCITS review, ELTIFs, fund liquidity risk and liquidity management tools, MMFs, UK/EU cross-marketing after Brexit

    ·       Assessing how asset managers can prepare for regulatory implementation


    Sponsored by:


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    Lize Griffiths (Moderator)

    Partner

    Deloitte

    In her role as Real Estate sector leader for Deloitte Luxembourg and DCE, Lize has the primary responsibility for the real estate services across our audit, tax and consulting functions and driving related business initiatives and activities. She has over 20 years’ experience with a focus on the real estate investment fund sector which includes regulated and unregulated direct real estate funds, property companies and real estate debt funds.

    Claude Niedner

    Partner

    Arendt & Medernach

    Claude Niedner is a founding partner of Arendt & Medernach and a member of the firms strategy board. He specialises in investment funds and works in the UCITS, hedge funds and real estate areas. He has been a member of the Luxembourg Bar since 1993. He is chairman of the Alternative Investments Committee of the Association of the Luxembourg Fund Industry (ALFI). Claude is chairman of the AIFMD working group of ALFI and has liaised intensively with the public bodies participating in the negotiation process of the directive. Claude is a regular speaker at international conferences on investment funds related topics. He was a lecturer in financial law at the Université Robert Schuman de Strasbourg (France). Prior to joining the Luxembourg Bar, Claude Niedner worked in the capital markets department of a major Luxembourg bank. Claude Niedner holds a Masters degree in law from the Université Robert Schuman de Strasbourg (France) as well as a Masters degree in business administration from the Hautes Etudes Commerciales (HEC), Paris (France).

    Olivia Moessneer

    Partner

    Elvinger Hoss

    Olivia Moessner’s practice concentrates on collective asset management and investment funds.

    Olivia advises a number of investment fund promoters and other financial institutions in relation to the set-up and structuring of their Luxembourg investment fund operations. Her practice encompasses a broad range of investment funds (UCITS, UCIs, SIFs and RAIFs) implementing various investments strategies including hedge fund strategies. 

    Member of numerous working groups of ALFI (Association of the Luxembourg Fund Industry) on various key European topics such as UCITS eligible assets, SFTR, ETFs, MIFID, PRIIPs, ELTIFs, money market funds and pension funds.

    Member of the Luxembourg Bar since 2001.

    Olivier Carre

    Partner

    PwC

    Financial Services Leader of PwC Luxembourg, joined the firm in 2003 after 5 years of experience in Audit and Consulting.

    Olivier started his career as a Financial Services Consultant and became a Partner in 2009, leading the Regulatory Advisory team since then. He was the PwC Luxembourg Banking Industry Leader from 2014 to 2017 and is member of the Global Asset & Wealth Management Leadership Team.

    Olivier has gained a broad experience in the financial services industry, especially in the investment fund and asset servicing industries, leading international engagements for Asset Managers, Wealth Managers and Financial Institutions focusing on operational change, strategic advice and regulatory compliance.

    Olivier holds a Master’s degree in Finance and Tax Law and a Master’s degree in Management and Economics Sciences from HEC-University of Liège.

    Sandra Crowl

    Stewardship Director

    Carmignac

    Sandra Crowl is Stewardship Director. Sandra joined Carmignac in 2007. She started her career at Bankers Trust Australia in 1987. In 1991, she transferred to the Paris office to manage the Foreign Exchange team. In 1993, she moved to London office where she was appointed Managing Director for the European Foreign Exchange team. In 2003, she shifted to the fund management industry joining the new hedge fund seeding firm New Alpha Advisers, a subsidiary of the alternative funds boutique ADI.  Sandra holds a Bachelor’s degree in Economics and French from the University of Melbourne. She is also a Chartered Alternative Investment Analyst (CAIA).

  • 2021 Transfer Agent Compliance Guide

    ​Nicsa, in partnership with Donnelley Financial Solutions (DFIN), has published the Transfer Agent Compliance Guide to help keep our membership up to date on the current compliance standards as they relate to the transfer agent function.

    The Transfer Agent Compliance Guide has been prepared to assist investment companies and their various service providers by providing a comprehensive, educational resource of current compliance updates and standards as they relate to the transfer agent function within the asset management industry.

  • Fraud Prevention in High Risk Environments

    Includes Credits Recorded On: 02/10/2021

    Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats.

    Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats. 

    Learning Objectives

    a.       Phishing and malware attacks 

    b.       Cybersecurity

    c.       Unemployment claims Fraud

    d.       COVID Vaccine Fraud

    e.       Call Center/Phony investors

    Who should attend: Compliance and Risk Management professionals, operations and other fund and investor services leaders.


    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.

    Marty Griffin (Moderator)

    VP, Operations

    Northeast Retirement Services

    Martin Griffin brings more than 25 years of financial services operations and distribution management expertise, working with organizations across operations, product development, finance and strategy to grow their business. Mr. Griffin oversees operations at Global Trust Company / NRS. Mr. Griffin over his career has had progressive responsibilities working in operations management at global asset management firms and global banks.

    Prior to joining NRS, Mr. Griffin held a number of leadership positions in operations, and business development. Most recently he was Vice President at State Street Bank & Trust with the Institutional Transfer Agent working with varied alternative investment managers. Prior to State Street he was Vice President at Amundi Pioneer Investments, initially overseeing Sales Operations and then focused on Business Development on the national level focusing on strategic partnerships. Earlier in his career Mr. Griffin’s roles included Director of Broker Dealer Services at BNY Mellon Asset Servicing, and varied operational roles at MFS Investment Management.

    Tony D'Elia

    Senior Director

    SS&C Technologies

    Tony D’Elia is a Senior Director in SS&C’s Global Investor and Distribution Solutions’ Regulatory Compliance Group and is currently leading Fraud Risk Management efforts. Tony joined SS&C in July 2020.

    Previous to joining SS&C, Tony was a Vice President and Director of Compliance within AllianceBernstein L.P.'s (“AB”) Legal and Compliance Department in New York, N.Y. His responsibilities included overseeing and ensuring that AllianceBernstein Investor Services, Inc. (“ABIS”), transfer agent for the AB family of mutual funds, and AB’s Managed Account/Wrap Fee Program comply with applicable regulations. Tony was also the Anti-Money Laundering Compliance Officer of AB’s domestic open-end mutual funds, AllianceBernstein Investments, Inc., the Funds principal underwriter, and ABIS. Tony also served as the Funds’ and Managed Accounts Privacy Officer. Amongst other compliance functions, Tony was involved in the firm’s e- mail surveillance program, led the firm’s Financial Crimes Control Oversight Sub-Committee participated on Information Security Risk Oversight Sub-Committee.

    Chuck Gallant

    Director

    BNY Mellon

    Chuck Gallant serves as a Director in our Asset Servicing Digital Solutions team. With over 30 years of experience in investment servicing technology and product development, he is responsible for managing the advanced digital capabilities for many of our strategic product offerings, including our web / mobile self-service technologies, fraud prevention, process optimization and automation, and data analytics tools. Chuck has served as Chief Information and Technology Officer in former roles and has held numerous strategic business and technology positions in the areas of digital transformation, portal development, data analytics and delivery, business process automation, and other customer-facing technologies. 

    Chuck earned his Bachelor of Science degree in Business Administration & Management Information Systems from the University of Massachusetts at Lowell and holds a Master’s degree in Computer Information Systems from Boston University. Chuck is also a co-chair for the NICSA Technology and Innovation Committee.

    Simon Marchand, CFE

    Chief Fraud Prevention Officer

    Nuance

    Simon Marchand is the chief fraud prevention officer of Nuance’s security and biometrics business unit.

    Certified Fraud Examiner, Simon has extensive expertise in fraud prevention, detection and management - as well as in authentication and identity - in both the banking and telecom industries, with more than 10 years of experience in the field. Prior to Nuance, Simon held key fraud prevention positions at Montreal-based Laurentian Bank, at Bell Canada, and at Québec’s Order of Chartered Administrators, where he managed its professional inspection program.

    As chief fraud prevention officer, he works closely with Nuance clients to design biometric-based fraud prevention and authentication strategies that disrupt criminals while reducing effort and friction for legitimate customers. He regularly shares his expertise in various conferences and with associations around the world and he speaks on the risks fraud and the ethical use of biometrics in the media.

  • Investment Data Science: A World Outside of Spreadsheets

    Includes Credits Recorded On: 01/27/2021

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join Nicsa and Northern Trust as we explore how to leverage the power of data in 2021 and beyond.

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join Nicsa and Northern Trust as we explore how to leverage the power of data in 2021 and beyond.

    Learning objectives:

    • Trends in behavioral analytics, and investment analytics 
    • Driving meaningful improvements to investment strategies
    • Measuring “success” beyond traditional returns and attribution

    Who should attend: asset managers, asset owners, consultants, financial services media outlets


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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.


    Marc Mallett

    Senior Vice President - Director of Strategy, Americas Asset Servicing

    Northern Trust Corporation

    Marc Mallett is the Director of Strategy for Asset Servicing, Americas at Northern Trust.   Marc has more than 20 years of experience in financial services consulting, technology and operations.  He has held key roles at Fidelity Investments, Citisoft and most recently SimCorp, where he led Sales and Product Management for North America.

    Greg McCall

    President & CFO

    Equity Data Science

    Greg co-founded Equity Data Science in 2017 and serves as the company’s President and CFO.  Greg has spent 27 years as a fundamental investor and
    was an early member of two, billion dollar-plus funds, including WestWay Capital, a pioneering technology fund focused on disruptive change. He was
    also a portfolio manager at Sage Asset Management and the founder of Rock Crest Capital, an investment firm based in Connecticut.

  • Mutual Fund Modernization and Liquidity Risk Management

    Mutual fund sponsors and their service providers are reevaluating their operating models to support compliance with the SEC?s Mutual Fund Modernization reporting requirements and Liquidity Rule. This discussion explores the challenges that fund sponsors and administrators are facing, as well as insights on how they are responding to each of these emerging regulatory requirements.

    Mutual fund sponsors and their service providers are reevaluating their operating models to support compliance with the SEC's Mutual Fund Modernization reporting requirements and Liquidity Rule. This discussion explores the challenges that fund sponsors and administrators are facing, as well as insights on how they are responding to each of these emerging regulatory requirements. 

    Learning Objectives: Obtain perspective on recent developments that could potentially impact each regulatory requirement Discuss how fund sponsors and administrators are preparing Broadly identify challenges in preparing for the new Modernization Forms and Rule 22e-4 and how the industry is solving for these challenges Learn about emerging practices to comply and gain perspective on industry readiness.

  • Leveraging Efficiencies Within the Mutual Fund Supply Chain Ecosystem

    Fund companies, distributors, BDs, and TAs explore the pitfalls and opportunities that exist to enhance counterparty efficiencies. A panel of stakeholders unearth the most significant pain points of the communication process and the risks/costs associated with them. A forward-looking discuss will focus on leveraging resources to ensure transparency within the mutual fund supply chain.

    Fund companies, distributors, BDs, and TAs explore the pitfalls and opportunities that exist to enhance counterparty efficiencies. A panel of stakeholders unearth the most significant pain points of the communication process and the risks/costs associated with them. A forward-looking discuss will focus on leveraging resources to ensure transparency within the mutual fund supply chain. 

    Learning Objectives: The current state of the fund communications landscape and the risks/costs that are inherent in it. Explore pain points from the fund, distributor and administrator perspectives. Chart the course for the future - what does efficient counterparty communication look like throughout the mutual fund supply chain?

  • Investing in Chinese Capital Markets

    ​China has become the second-largest economy worldwide. The country?s equity market ranks second, and its fixed income market ranks third among world markets.

    China has become the second-largest economy worldwide. The country?s equity market ranks second, and its fixed income market ranks third among world markets. What are the options for investment funds and institutional investors to access these markets? Will they further open to foreign investors? Join us for an educational discussion around the Dos and Don'ts? of accessing the Chinese capital markets. Participants will benefit from a timely, in-depth look into the following topics: Direct and indirect investment channels QFII and RQFII Stock Connect Bond Connect China's Interbank Bond Market (CIBM) MSCI inclusion