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  • Listen, Learn & Lead: Part 2

    Includes a Live Web Event on 11/05/2020 at 2:00 PM (EST)

    Join us for a continued discussion about race in the global asset management industry.

    A Continued Dialogue on Authentic Allyship.

    Join us for an important discussion about race in the asset management industry. Hear from a range of generational perspectives about what it means to be a Black senior leader, mid-level manager, or new entrant in the industry. Take away actionable guidance and tips that all business leaders – across all levels, racial identities, and backgrounds – can leverage to address inequalities 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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    Kim Evans

    Senior Vice President, Northern Trust

    Kimberly Evans is a Senior Vice President at Northern Trust in Alternative Fund Services. She is the North America Head of Private Capital Administration — a fast growing segment for the firm. Prior to this role, she led the Governmental, Sovereign Wealth, and Taft Hartley/Union pension and treasury business, in the US, Central and South America, with over USD 880 billion in Assets Under Custody (AUC).

    In addition to her direct business responsibilities, Kim also has a track record for deep engagement in organizational initiatives that holistically drive the organization forward. This includes recently leading a major organizational alignment project, the operations and technology engagement program, and currently serving as the President of the Women In Leadership Business Resource Council (WIL BRC) at Northern Trust.

    With over 25 years of experience, Kim is a business transformation expert. Kim has developed, led, and executed business and change strategies for five financial services organizations, managed teams in six countries, and has implemented technical and organizational programs that have impacted over 27,000 financial services professionals throughout her career. She has also owned and operated businesses as an independent consultant and as a franchise owner. Kim’s core expertise includes creating and executing business strategy, developing and maximizing talent, and ultimately driving change and transformation to make organizations competitive, effective and efficient.

    Kim graduated from the University of Illinois at Urbana-Champaign with a Bachelor of Science in Psychology and has earned numerous business, leadership, and technical certifications throughout her career.

    Kim is a Chicago United 2019 Business Leader of Color honoree, a Leading Women’s Executive Alumni, and a three-time Chairman’s Award recipient. She was also recognized as a Leader in Philanthropy by the University of Chicago and currently serves on the board of the Chicago Public Education Fund (The Fund), which targets the development of principals within Chicago Public Schools (CPS).

    Ingrid Jacobs

    Vice President, Chief Diversity and Inclusion Officer, Eaton Vance

    Ingrid Jacobs is a vice president of Eaton Vance Management and chief diversity officer. She is responsible for leading efforts to attract, develop and retain a diverse workforce and to foster more inclusive work environments across the firm’s subsidiaries and affiliates. She joined Eaton Vance in 2018. Ingrid has a wealth of experience designing and implementing diversity and inclusion strategies at global corporations. Before joining Eaton Vance, she was head of corporate diversity and inclusion at Raytheon Corporation. Previously, she was global head of diversity and inclusion at Whirlpool Corporation and was associated with Fifth Third Bank, General Electric and Bank of America. Ingrid earned a B.S. in agricultural business from The Ohio State University and a master's degree in human resources development from Xavier University.

    Noel Samu

    Executive Director, J.P. Morgan

    Noel Samu is an Executive Director - Financial Reporting at J.P. Morgan Chase Bank, NA.  Based in Boston, MA, Noel is responsible for the financial statement and audit process for mutual fund clients of J.P. Morgan.  He has over 15 years of experience in the  Investment Fund industry, including financial statement, performance, regulatory and compliance reporting, talent management, audit, business analysis, change management, process optimization and automation. 

    In his current role, Noel has set out leverage technology and innovation to deliver scalability by helping to implement an automated end-to-end financial reporting solution enabling exception-based, straight though processing. Prior to his current role, Noel led the Alternative Investment Financial Reporting team at J.P. Morgan. He joined J.P. Morgan in their Bermuda office before moving to Boston to help setup the centralized financial reporting team.

    Before joining J.P. Morgan, Noel worked with KPMG in their Cayman Islands Alternative Investment practice as an audit manager supporting the audit, risk and business review process for Hedge Fund clients.

    Noel is a CFA Charterholder and a member of the Institute of Chartered Accountants and holds an undergraduate degree in Accounting from the University of South Africa. He was recently nominated for and selected as a winner of the 2019 NICSA NOVA award winner in the Emerging Leaders category.

    Noel enjoys traveling, music and watching and playing sport.  He is a firm believer in the power of mentorship to broaden horizons and has been involved in programs within and outside of J.P. Morgan. 

  • A Guide to LIBOR Transition

    Includes a Live Web Event on 11/04/2020 at 10:00 AM (EST)

    The transition from LIBOR is gathering pace. Preparedness inquiries from clients and vendors have increased. Regulatory requirements, market dynamics, and business implications have evolved. Join our panel of industry experts to help assess your firm’s transition readiness.

    The transition from LIBOR is gathering pace. Preparedness inquiries from clients and vendors have increased. Regulatory requirements, market dynamics, and business implications have evolved. Join our panel of industry experts to help assess your firm’s transition readiness. 

    Learning Objectives:

    • -Key dates
    • -Evaluating exposure
    • -Developing an effective program 
    • -Immediate v longer term actions

    Who should attend: Compliance

    Sponsored by:


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    Sean Tuffy (Moderator)

    Head of Market and Regulatory Intelligence, Citi

    Sean Tuffy is the Head of Market and Regulatory Intelligence for Securities Services. In this capacity, Sean leads a team responsible for analyzing and articulating the impact of the global market and regulatory developments of strategic interest to the asset management industry. Sean also serves as editor-in-chief of Citi Securities Services Insights, which is a website dedicated to providing institutional investors with insight on current market and regulatory developments affecting their businesses. 

    Based in Dublin, Sean has 20 years of experience in the cross-border fund industry. Sean joined Citi in 2017, prior to which he worked at Brown Brothers Harriman where he was the Head of Strategy for Europe and Asia. Additionally, Sean established and oversaw its Global Regulatory Intelligence discipline, including founding the well-respected “On The Regs” blog. 

    Sean is an active participant in key industry forums. He is a frequent speaker at conferences and appears regularly in the financial press discussing the impact of global regulatory developments on the asset management industry.

    Sean holds a Bachelor of Science in Business Administration from The University of Mary Washington.

    Xavier Zaegel

    Partner, Consulting - IM & Pere Leader, Deloitte

    Xavier is a partner within the advisory and consulting department and is the head of the Capital Markets practice in Luxembourg. As a market and credit risk specialist, he has been leading various assignments in the field of treasury, derivative valuation and structured product. He is a member of risk managers associations and numerous working groups on risk management and AIFM investment fund association. He is a Global Association of Risk Professionals certified financial risk manager.

    Ben Harrop

    Programme Manager LIBOR Transition, Schroders

    Ben’s early employment was in the Army; he commissioned in to the Parachute Regiment and a 16-year career in the Army saw multiple operational deployments, including tours of Iraq and Afghanistan, as well as Staff jobs in Strategy, Plans and Operations.

    In 2018, Ben embarked on his second career, moving in to Financial Services and joining Schroders, working within their Group Change department on multiple large strategic and technology programmes. He currently leads Schroders Global LIBOR transition programme as well as other
    regulatory change projects.

    Ben completed an MBA at Cranfield University in 2019 and is a former world record holder carrying 60lb in a marathon!

    Venetia Woo

    Principal Director - North American Regulatory Strategy Lead / Global LIBOR Transition Advisor, Accenture

    Venetia Woo is a Principal Director and a Global Libor Transition Lead Advisor for Accenture. In her role, she leads offering development and serves as client subject matter advisor on the practice’s LIBOR transition program, overseeing activities from assessment through execution. She participates in global initiatives such as ARRC’s Outreach & Communication and Operations & Infrastructure Working Groups. Venetia is also the Global Structural Reform Lead and NA Regulatory Strategy Lead is responsible for advising institutions and fintechs in regulatory legal entity structures and applications, formation/market entry, new regulations, and remediation matters.

  • Vendor Selection in the New Normal

    Includes Credits Includes a Live Web Event on 10/28/2020 at 3:00 PM (EDT)

    Join leaders from Ultimus and a panel of industry experts, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.

    Virtual Site Visit Due Diligence Best Practices 

    Join leaders from Ultimus and a panel of industry experts, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.

    Learning objectives:

    • Best practices for virtual site visits
    • Processes that can augment virtual interactions
    • Board considerations and fiduciary responsibilities 
    • How to move from review to implementation

    Who should attend:

    Industry professionals managing vendor selection and renewal processes, including fund sponsors, asset managers, board members, c-suite executives, and consulting firms.

    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.

    David James (Moderator)

    EVP, Chief Legal & Risk Officer, Ultimus Fund Solutions

    As Executive Vice President, Chief Legal and Risk Officer at Ultimus Fund Solutions, David is responsible for the legal aspects for the company’s operations, strategic initiatives and corporate activities. He oversees the Fund Administration and Compliance teams including the overall delivery of legal services to the company’s clients, contractual matters, product development, and support to the company’s executive management team.

    David has over 20 years of 1940 Act mutual fund legal experience. Prior to joining Ultimus Fund Solutions in 2018, David served as the head of the legal department at one of the industry’s largest service providers, leading a group of over 50 attorneys and paralegals that provided legal regulatory services to over 60 mutual fund complexes. David spent 15 years at this large service provider and prior to that role, he worked in the legal departments for Fidelity Investments and PNC Global Investment Servicing (US), Inc.

    David has served on the NICSA Legal and Regulatory Committee and was a major contributor to an industry publication entitled “Building Investor Confidence: A Guide for Mutual Fund Boards of Directors.” He has also served on industry panels for BoardIQ, Independent Directors Council of the ICI, NICSA, State Street and Boston Financial Data Services.

    David entered the financial services industry in 1997 after beginning his legal career as a trial attorney in Boston.

    David holds a law degree from Ohio Northern University Pettit College of Law (1995). He also holds a Bachelor of Science in Political Science from East Tennessee State University (1993). He is a member of the Massachusetts and New York Bars.

    Steve Yadegari

    EVP, Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC

    Steven A. Yadegari is an Executive VP, Chief Operating Officer and General Counsel of Cramer Rosenthal McGlynn, LLC, a registered investment adviser located in New York. Mr. Yadegari also serves as Chief Legal Officer and Chief Compliance Officer for the CRM Mutual Fund Trust and is a Director of the CRM UCITS PLC. Prior to joining CRM, Mr. Yadegari worked at K&L Gates and before that Proskauer. Mr. Yadegari also has served as Senior Counsel in the Office of the Chief Counsel, Division of Enforcement at U.S. Securities and Exchange Commission and as an Attorney-Adviser in the Division of Market Regulation. He is a frequent contributor to industry conferences and publications. Mr. Yadegari is an adjunct professor at Benjamin N. Cardozo School of Law and teaches in the areas of dispute resolution and negotiation. Mr. Yadegari is a Past President of the Association for Conflict Resolution of Greater
    New York, a not-for-profit organization, and is a Past President and former Chairman of the Old Westbury Hebrew Congregation. Mr. Yadegari has received a BA from Brandeis University and earned his JD from the Benjamin N. Cardozo School of Law. Mr. Yadegari has been awarded an honorary Master’s Degree from the CCO University, a division of the Regulatory Compliance Association for which he serves as an advisor and Senior Fellow.

    John Detweiler

    Managing Partner, ParkLexington Advisors, LLC

    John Detweiler is founder and Managing Partner of ParkLexington Advisors, a focused consulting firm for Investment and Fund Managers. For the past 10 years, John and the ParkLexington Team have helped some of the most recognized investment advisors as well as boutique asset managers optimize their operations, banking services and transactions by improving performance, service, scalability, institutional quality and data management all while significantly reducing costs.

    Prior to ParkLexington, John has held senior leadership roles at BlackRock, AllianceBernstein and Axa Financial. He serves on the Board of Trustees at Springside Chestnut Hill Academy as
    the Treasurer and heads the Assets and Investments Committees. John has a Master of Business Administration in Finance from the Stern College of Business at New York University and a Bachelor of Science in Business from the Smeal College of Business at The Pennsylvania State University.

    John lives in Philadelphia with his wife Gail, two teenage kids and a Westie.

    Andi Mullins

    Independent Trustee, Angel Oak Funds Trust; Valued Advisers Trust

    Andi is an independent trustee for the Valued Advisers Trust since 2013 and currently serves as the Chairperson of the board, as well as head of the board’s audit committee.  In 2019, Andi also joined the Angel Oak Family of Funds as an independent trustee.  As a compliance consultant since 2014, she serves as the Chief Compliance Officer for SWM Advisors in St. Petersburg, Florida.  Prior to her current positions, from 1990 until 2010, she served in several accounting and operations positions in the asset management businesses of Raymond James Financial.  In her final position, she was Chief Financial Officer for the Eagle Family of Funds (currently known as Carillon Family of Funds).  Andi holds B.S. degrees in accounting and finance from Florida State University, and is a Certified Public Accountant in Florida.

  • Modernizing Vendor Management and Strategic Partnership Models

    Includes Credits Recorded On: 10/21/2020

    Industry conversations regarding vendor governance continue to take a front seat as strategic partnership trends continue on an upward trajectory. To what extent are diversity and inclusion policies and metrics factored into due diligence processes? Learn what industry leaders are doing to ensure their vendor governance and oversight models are modernized, effort-efficient, and effective in 2021 and beyond. How has COVID19 impacted outsourcing trends and vendor oversight?

    Industry conversations regarding vendor governance continue to take a front seat as strategic partnership trends continue on an upward trajectory. To what extent are diversity and inclusion policies and metrics factored into due diligence processes? Learn what industry leaders are doing to ensure their vendor governance and oversight models are modernized, effort-efficient, and effective in 2021 and beyond. How has COVID19 impacted outsourcing trends and vendor oversight?

     

    Learning objectives:

    • -Incorporating D&I into vendor selection/management
    • -Hear recent supplier diversity survey takeaways
    • -Strategic outsourcing partnership trends
    • -The critical role of legal and compliance teams 

    Who should attend?

    Business-line managers with vendor management responsibilities, legal and compliance professionals, industry service firm executives


    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.

    Jennifer Hoopes (Moderator)

    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. She
    recently 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.

    Mrinalini Sud

    Senior Manager, EY

    Mrinalini is a Senior Manager within EY’s Financial Services Business Consulting practice with over 10 years of extensive experience serving financial services clients in both Americas and Asia. During this time, she has assisted several clients on large scale finance transformation projects spanning Vendor Management, Sourcing, Procurement and Accounts Payables functions. Through her work, Mrinalini routinely engages with Chief Financial Officers and Finance Executives on critical “top of the mind” finance management issues including the vendor management lifecycle. Her projects have included organizational strategy development, current state assessments, target operating model designs, business process reengineering efforts to drive cost efficiencies alongside risk management. She is a Six Sigma Green Belt certified professional who brings strong process excellence disciplines, such as lean, value stream mapping and process standardization to her projects. Prior to joining EY, Mrinalini worked with one of the largest global banks where she was instrumental in setting up their Global Procurement department. Mrinalini holds a Masters in Accounting degree from University of Virginia. She is a CPA, licensed from the state of Virginia and has been with EY since 2012.

    Mrinalini actively leads the development of EY’s thought leadership around vendor management issues amongst financial services clients. Most recently, she led the most comprehensive targeted study in the market on Sourcing, Procurement, Accounts Payable and T&E practices involving the top global banks and asset managers. The study also focused on Supplier Diversity program maturity, alignment, practices and issues across the Wealth and Asset Managers.

    Michael Radojevic

    Vice President and Director, Capital Group

    Michael Radojevic joined Capital Group in 2015 to lead the enterprise Strategic Sourcing and Procurement organization. Prior to Capital Group, Michael was Managing Director for Indirect Sourcing at United Airlines. He also spent 10 years with Ford Motor Company where he held various roles within the global procurement organization. He holds bachelor degrees from Michigan State University in both Supply Chain and Accounting. Michael lives in Southern California with his wife and two children.

  • Sales and Asset Forecasting: Modeling in an Evolving Global Economy

    Includes Credits

    Join Delta Data and a panel of industry experts for a deep dive into the challenges and opportunities related to market modeling programs.

    Join Delta Data and a panel of industry experts for a deep dive into the challenges and opportunities related to market modeling programs. From coordinating inputs, to tracking multiple base scenarios, to comparing outcomes versus models for ongoing forecasting improvement, learn how to streamline your sales and asset modeling efficiencies.

    Learning objectives:

    • Overview of the state of the industry
    • Evolution of economic modeling during periods of global unrest
    • Modeling scenarios from multiple macro-economic inputs
    • Best practices for modeling efficiencies

    Who should attend:

    Front office individuals involved in macro-economic, sales, and asset forecasting; middle office finance professionals managing and budgeting forecasting processes.


    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.

    Jason Davenport (Moderator)

    VP Sales, Delta Data

    Jason Davenport is VP of Sales at Delta Data.  His role consists of leading the strategic direction of our Asset Management suite of products. 

    Prior to joining Delta Data,  he spent over 13 years in delivering reporting and business intelligence solutions for one of the world’s largest credit card processing firms.  He also spent several years working at an analytics consulting firm, specializing in the financial industry.

    He received his Masters of Science in Predictive Analytics from Northwestern University and a Bachelor of Science in Information Systems from Brewton Parker College. In Jason’s spare time, he enjoys spending time with his family and playing golf. 

    Whitfield Athey

    CEO, Delta Data

    Innovative thought leader in Mutual Fund middle and back office technology with 20 years of experience as a technologist in the pooled investment industry. At Lehman Brothers, Athey was the chief architect of a cross-selling platform for managed strategies. During his tenure at Delta Data, he has transformed the company from a software provider to a core infrastructure service that connects the largest counterparties in the industry and is currently the vanguard for advanced, industry leading applications, including Artificial Intelligence and Machine Learning. Under his tenure, Delta Data was named one of the Top 40 Innovative Technology Companies in Georgia in 2013, 2016, and again in 2018. Delta Data products support over $2T in mutual fund assets. And our data services underpin over 9T in US pooled investment trading.

    Tyler Cloherty

    Senior Manager - Head of Knowledge Center, Casey Quirk, a Deloitte Business

    Tyler Cloherty is a senior manager with Casey Quirk, a Deloitte Business. Tyler advises global asset and wealth management firms worldwide. His areas of expertise include growth strategy, distribution design, investment organization assessment, product development, acquisition due diligence, and incentive alignment.

    As a leader of the firm’s Knowledge Center, Tyler manages thought leadership for the firm, leads proprietary research, and advises on client engagements. He conducts hundreds of interviews a year with C-suite professionals and professional investors throughout the industry.

    Prior to joining Casey Quirk, Tyler was an associate director and head of retail research at Cerulli Associates in Boston. Tyler also worked at Fidelity Investments within their institutional group, supporting both broker/dealers and registered investment advisors, and in wealth management at Citigroup Smith Barney.

    Tyler is a graduate of the University of Maryland and a Chartered Financial Analyst.

  • New Age Business Development

    Includes Credits Recorded On: 09/16/2020

    A look back at how business development has evolved over the past decade, and a focus on where it’s going.

    A look back at how business development has evolved over the past decade, and a focus on where it’s going. How different is “old school” from “new school”? What wins out: people skills or tech skills? Learn the commonalities between skill sets and what sets them apart. Both sides of the table come together to learn from each other about communication and networking techniques that work in the new digital age, as well as those that have stood the test of time. 

    Learning objectives:

    - Interpersonal skills vs. tech skills

    - Networking techniques in a virtual setting

    - Leveraging technology in client communications

    - Building firm loyalty among Next Gen employees 

    Who Should Attend: Millennial, Gen X, and Baby Boomer industry participants seeking to learn from different generational perspectives, Business Development and Sales teams


    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: Communications and Marketing

    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.

    Karym Murphy (Moderator)

    Managing Director, Horizon8

    Managing Director of Horizon8 based in North America, she is responsible for leading the company’s global business.

    Karym has over 30 years of experience in financial services, specializing in new business development and marketing communications. She spent 14 years with State Street Corporation in the mutual fund and pension administration businesses. She was instrumental in establishing a global corporate communications group for State Street. Before joining State Street, Karym worked at Fidelity Investments, and Boston Financial Data Services as Chief of Staff to the company’s President and CEO.

    Karym is a Co-Chair of NICSA’s Technology Committee, a leading Mutual Fund Industry Association.

    Lana Bergstein

    Vice President, Dimensional Fund Advisors

    Lana is an industry leader with over 25 years of experience working in financial industry. Lana joined Dimensional in February of 2008 and as a senior member of Dimensional Global Client Group Operations team, she manages the day-to-day operations of the firm’s global client group, from business and product development to client service. Her primary responsibilities include managing the on-boarding process for new Institutional clients globally.

    In her role, she interfaces with senior executives of the firm as well as all relevant Dimensional personnel in legal, compliance, operations, portfolio management and trading departments. She helps collaborate with Dimensional’s global offices in order to help the firm achieve the best operational andclient service experience for our clients.

    Prior to joining Dimensional in 2008, Lana spent 8 years as a Managing Director of Operations and Chief Compliance Officer at Loring Ward Inc., where she was responsible for managing the needs of high net worth clients, primarily sports and entertainment celebrities.

    Lana graduated from the University of California, Los Angeles with a BS in International Economics. She holds Series 7, 63, and 24 securities licenses.

    Steve Grande

    Senior Sales Executive, FIS Transfer Agency, Asset Management & Alternatives Business, FIS

    Steve Grande is a senior sales executive for the FIS Transfer Agency business at FIS. Steve is responsible for growing FIS' transfer agency presence across North America and helps his Asset Management clients to increase efficiency while maintaining data integrity. Steve has more than 25 years’ experience in the industry – both as an asset management practitioner performing client servicing and operational roles, and as a business development executive where he was responsible for positioning investment servicing solutions on behalf of several fintech firms.

     

    Matt Franey

    Co-Founder & CEO, CoveredBridge, LLC

    Matt began his career in financial services as a lowly intern on a sell-side equities trading desk on Wall Street, where he specialized in getting coffee, making copies, and picking up lunch. In the 15 years hence, he held various roles at such firms as Ernst & Young, Morgan Stanley, and FIS. Most recently, Matt directed business development for Celera Systems LLC, a leading provider of technology and data solutions to asset managers, broker-dealers, and insurance companies, leading a substantial growth effort in their data management platform, SalesStation.

    Somewhere in all of that he spent a year at a Merrill Lynch branch office in Midtown Manhattan and quickly came to the realization there had to be a better way. Ever since, he’s been obsessed with making life easier for investors and believes that they should not have to understand his bio in order to receive good financial advice.

    Matt has a B.S. and M.S. from Lehigh University with a focus on Accounting, Finance, and Information Analysis.

  • ESG Investments: A Supply and Demand Outlook

    Includes Credits Recorded On: 09/02/2020

    Get up-to-date market updates from both the demand and supply side of the equation.

    Get up-to-date market updates from both the demand and supply side of the equation. Find out about the growing reputational, regulatory and fiduciary risk for misalignments in product management. Learn about the quickly evolving distribution landscape for ESG products such as pooled funds and SMA strategies.

    Learning Objectives:

    ·       ESG investment landscape outlook

    ·       Distribution trends for ESG products

    ·       Portfolio construction and research tools

    ·       Regulatory update on greenwashing, EU/ESMA NFRD rulemaking, potential SEC rulemaking, and DOL guidance

    Who should attend? Product development, distribution, investment management and compliance professionals  

    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.

    Dan Bender (Moderator)

    Managing Director, EY

    Dan is a Managing Director in EY Business Consulting specializing in wealth and asset management (WAM).  He has over 29 years of combined consulting and financial services industry experience advising large banks, investment management firms, fund sponsors and wealth management platforms on matters relating to regulatory, fiduciary and operations risk.  Dan leads EY’s WAM Enterprise Governance Risk and Controls service offering.

    Prior to EY, Dan advised global asset managers, fund sponsors and wealth management organizations on matters relating to operations and regulatory risk at KPMG LLP and Navigant Consulting, Inc..  Prior to Navigant Consulting, Inc., Dan spent 14 years in industry and held several asset servicing and operations risk at Brown Brothers Harriman & Co. and JP Morgan Chase Investor Services.

    Scott Reddel

    Managing Director, Capital Markets, Accenture

    Scott is a managing director in Accenture’s Capital Markets practice, responsible for all Wealth Management transformation business. He brings 15 years of experience working with banking, wealth asset management and private equity firms advising on wealth strategy, M&A, new business launch and transformation agendas. Scott serves as the client account lead for several wealth management and investment banking clients and heads partnership engagement with the wealthtech and innovation ecosystem. Based in New York, Scott holds a B.A. in Mathematics from Butler University and an MBA from NYU.

    Marcus Hooper

    Director, BNY Mellon

    Marcus Hooper joined BNY Mellon Data and Analytics Solutions as Product Manager for the Data and Analytics team in January 2020. Marcus has worked in capital markets and broader financial services for over 30 years, and his expertise includes launching capital markets businesses, as well as managing and improving operational divisions of financial services firms.

    Marcus’ extensive experience covers a range of business types and activities—from wholesale broking via prime services and alternative investment to regulation, systems management, and many other areas. Throughout his career, Marcus has worked in the fields of market design and microstructure, electronic trading, financial markets regulation, transaction cost analysis, and the deployment of advanced and new technologies in capital markets. Presently, Marcus is working on projects involving the deployment of machine learning systems.

    Prior to joining BNY Mellon, Marcus provided strategic management and technical consulting services to investment banks, asset managers, capital markets systems vendors, stock exchanges and trading venues. In addition, by demonstrating actionable insights from machine learning models and uniting capabilities from Microsoft Azure, Kortical, and GFT, Marcus led the 2019 winning team of the inaugural Schroders Distribution Datathon.

    Prior to his consulting work, Marcus was the Chief Executive Officer of the European division of Aritas Financial, an investment firm offering algorithmic and electronic trading services. Marcus established Aritas from the ground up as one of the very first pan-European MiFID compliant MTFs (Multilateral Trading Facility). In addition, he has worked on projects undertaken by The European Commission, The UK Treasury, The FCA, The Investment Managers’ Association, The British Banking Association, The European Securities and Markets Authority and The London Stock Exchange. Marcus has authored papers on financial markets behaviour and has contributed to a number of books about financial markets. As a regular speaker at industry conferences, Marcus is a firm believer in improving the public’s knowledge and understanding of capital markets. Marcus is honoured to have lectured at executive MBA programs in the UK and US and was a nominated speaker for the US Association of Investment Management and Research regulatory education program.

    Kumaran Ram

    Executive Director, J.P. Morgan

    Kumaran Ram is an Executive Director in the Corporate & Investment Bank division of J.P. Morgan, and the product lead in the US for the J.P. Morgan Emerging Market bond indices (EMBI®) which are widely followed in the industry. 

    With over 15 years of experience in the financial services industry, Kumaran is a trusted advisor for J.P. Morgan’s institutional clients in the field of fixed income indices and emerging markets debt.

    Since joining the team in 2008, Kumaran has focused on product strategy and client engagement, and is responsible for development of ETFs and innovative factor-based indices. 

    Kumaran previously worked at Morgan Stanley in Equity program trading and algorithmic strategies, and holds a Master's degree in Computer Science from Stony Brook University.

  • Regulatory Roundtable: New Rules & Existing Regulations Impacting Asset Managers

    Includes Credits Recorded On: 08/26/2020

    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.

    Program objectives:

    Learn what new regulations are coming in the next several months, including the SEC proposed new rule on shareholder reports and annual prospectus delivery

    Highlight and simplify recent and upcoming regulations, such as:    

      - Modernizing Fund Reports and Disclosures

      - Closed-end Fund and BDC Rules Impacting Registration, Communications and
    Offerings

      - Status of Rule 30e-3 – now, 2021 and in the future

      - Closed-end Funds and BDC – Offerings, Prospectus and Reports to Shareholders

      - Variable Insurance Products – SEC Rule 498A

    Hear tips and strategies to navigate these regulations and how to strategize for them.


    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.

    Frank Maresca (Moderator)

    VP, Broadridge

    Financial Services and Investment Management Professional with 40 years’ experience in U.S. registered investment companies, asset management and asset servicing industries.

     
    Since 2018, Vice President Mutual Fund & Retirement Solutions Product Management
    and brings a results driven funds management executive with deep industry experience
    driving strategy and product innovation for solutions to the mutual fund and retirement
    marketplace.
     
    Previously, at AST Fund Solutions, LLC from 2012 through 2017 as an Executive Vice
    President creating and heading the fund administration group, as well as overseeing
    business development of all services provided to closed-end funds and business
    development companies. Prior to that, he had established and headed Ultimus Fund
    Solutions, LLC’s New York office during the period March 2009 until February 2012;
    with responsibilities over their entire closed-end fund administration business.
     
    Nearly 17 years as President and Chief Executive Officer of Bear Stearns Funds
    Management Inc. responsible for new business development, client services and
    relationship management and held several senior level positions within Bear Stearns
    including Senior Managing Director and Treasurer of their mutual fund complex.
     
    Previous positions included senior fund finance positions and fund treasurer for fund
    complexes and closed-end funds. Mr. Maresca began his professional career in 1980 at
    Price Waterhouse.

    A graduate of Hofstra University with a B.B.A. degree in Public Accounting and is a
    CPA (inactive). Currently, serving on the Fund Administration Committee at Nicsa.
    Previously served both as a member of the Closed-end Fund Committee and Accounting
    and Treasurer Committees of the Investment Company Institute.

    Chelsea Childs

    Associate, Ropes & Gray

    Chelsea is an associate at Ropes & Gray LLP. Chelsea represents investment management industry clients in a wide variety of regulatory, compliance, and transactional aspects of their businesses. She assists private funds, registered funds and their sponsors with fund structuring and formation, fund  reorganizations, negotiation of service provider agreements, and ongoing operational and compliance matters. Chelsea also has extensive experience advising boards of U.S. registered funds on governance and fiduciary oversight matters. Prior to joining Ropes & Gray in 2019, Chelsea was an associate at another large international law firm where her clients included U.S. registered investment companies, investment advisers, and independent board members.

    Venice Monagan

    Counsel, Putnam Investments

    Venice Monagan, Counsel, works at Putnam Investments in its Legal and Compliance department.  Her current role focuses on mutual fund regulatory matters and general corporate legal matters.  Venice is a member of Putnam’s Diversity Advisory Council and is active in the Women of Putnam group.  Prior to joining Putnam Investments, Venice worked at Ropes & Gray in its Investment Management practice.  Venice obtained a J.D. from Harvard Law School and an A.B. from Princeton University.  She is admitted to the Massachusetts Bar. 

  • Listen, Learn & Lead.

    Recorded On: 08/13/2020

    Join us for an important discussion about race in the global asset management industry.

    A Dialogue on Authentic Allyship.

    Join us for an important discussion about race in the asset management industry. Hear from a range of generational perspectives about what it means to be a Black senior leader, mid-level manager, or new entrant in the industry. Take away actionable guidance and tips that all business leaders – across all levels, racial identities, and backgrounds – can leverage to address inequalities in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce.

    “What needs to change?”

    “What can I do?” 

     The answer to these difficult questions starts with being a part of the conversation. 


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    Jason Tyler

    CFO, Northern Trust

    Jason Tyler is Executive Vice President and Chief Financial Officer of Northern Trust, a leading provider of wealth management, asset servicing, asset management and banking to corporations, institutions, affluent families and individuals. He is a member of the corporation’s Management Group.

    Jason’s previous roles at Northern Trust include Global Head of Corporate Strategy, Global Head of the Institutional Group in the Asset
    Management business, and Chief Financial Officer for Wealth Management.

    Jason joined Northern Trust from Ariel Investments, where he was Director of Research Operations and a member of the firm’s Investment Committee. Prior to his time at Ariel, he served in various leadership roles in Corporate Finance and Banking at American National Bank/Bank One.
    Jason earned an MBA from the University of Chicago Booth School of Business and an AB from Princeton University. He is a director of TreeHouse Foods (NYSE:THS), the University of Chicago Laboratory Schools, Advance Illinois, Northwestern Memorial HealthCare Foundation, and the Joffrey Ballet where he formerly served as Chairman. Jason is a past contributor and guest market expert on Bloomberg TV, Bloomberg radio, ABC News, PBS, and Fox Business.

    India Gary-Martin

    Principal, Leadership for Life

    India Martin is a 25-year veteran of financial services and a member of the Forbes Coaches Council. She has held several global C-Suite roles including expatriate assignments in London, Frankfurt, Tokyo and Hong Kong. In her final role at JPMorgan, India was Managing Director & Global Chief Operating Officer for Investment Banking Technology and Operations where she had multi-billion-dollar budgetary management responsibility for 15,000 staff in more than 40 global locations.

    India is a globally recognized leadership expert and executive coach with a clientele of Fortune 100 and C-Suite executives from around the world.
    Formerly an adjunct professor of Corporate Education at Temple University in Japan, she is a well-known keynote and panel speaker. India is on
    the coaching faculty at Georgetown University for the Executive Master's in Leadership program and is also on the coaching faculty of the New York
    City Bar Association's Leadership Institute. She is the National Association Of Female Executives 2019/2020 Entrepreneur of The Year,

    During her time in Europe, India was named one of the 50 top businesswomen in Europe and Top 100 Black executives in the UK. India is the President Emeritus of City Women's Network, a professional body for senior women in corporate, third sector and entrepreneurial industries where she spearheaded and developed the methodology for the "Corporate Board Readiness Program”. For this work, she has been featured in publications such as Forbes, Marketing Week, Computer Weekly and Harpers Bazaar.

    Leveraging her corporate experience, India is a masterful strategist, supporting leaders to transform operating frameworks, build high performing teams and navigate the complexities of corporate culture. She is a sough-after diversity, equity and inclusion practitioner helping organizations to develop and implement racial equity strategies but also complex DE&I strategies more widely. India is a published writer, speaks fluent French and
    functional Japanese. She attended Spelman College and London Business school.

    Maurice Tsuro

    Director, BlackRock

    Maurice Tsuro is a director on BlackRock’s Global Accounting and Product Services team. In his role, he drives strategic development initiatives on the alternatives platform and oversees Fund Administration for Long Term Private Capital and Energy & Power Infrastructure funds under BlackRock Alternative Investors.
    Prior to joining the organization in 2017, Maurice was a member of the Private Equity Group at SS&C Technologies Inc. focused on fund administration, financial and regulatory reporting for several clients. Maurice’s other experience prior to SS&C Technologies Inc. includes RSM US LLP where he was an auditor in the Financial Services Group, and Ernst & Young LLP where he began his career in 2001 and completed his articles of clerkship.
    Maurice holds a Bachelor of Science degree in Accounting from the University of South Africa.

    Steven Duncan (Moderator)

    Senior Relationship Executive, BNY Mellon

    Steve Duncan is a BNY Mellon Senior Relationship Executive within the Banks, Broker Dealers and Advisors segment of the Asset Servicing division. He is responsible for supporting premier financial institutions with a focus on driving a consistent global client experience and delivering a comprehensive set of BNY Mellon solutions. Steve is an advocate for the client’s long-term strategy and responsible for ensuring all aspects of the relationship are strengthened.

    Steve has more than 26 years in the financial services industry supporting several types of clients: including asset managers; asset owners; alternative investment managers; insurance and non-for-profit entities. Before assuming his current role, Steve was a Senior Vice President and Global Head of Loan Services, Structured Trust & Analytics at State Street Bank and Trust. He led a team of over 500 individuals within centers
    of excellence focused on back and middle office, alternative investments and infrastructure debt mandates. These operational service centers were strategically located across the globe and provided practical “follow the sun” servicing solutions to support complex client requirements.

    Prior to this role, Steve was an integral part of the State Street’s Relationship Management team within Investor Services. He led a team of individuals where the focus was to advocate for the client in all aspects of the relationship including product development, ancillary services, legal, technology and overall client satisfaction. Steve also served as Senior Director of Client Management at Investors Bank and Trust (USA). He also held the role of Senior Manager - Mutual Fund Operations at Lord, Abbett & Co. (USA). Steve started his career in 1993 with Investors Bank and Trust (Canada) and held multiple roles in operations and client service. Steve holds Bachelor of Business Administration from Wilfrid Laurier University, Waterloo Ontario Canada.

  • The Advisor Landscape: 2020 and Beyond

    Includes Credits Recorded On: 07/29/2020

    Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors.

    Get the latest insight into the 2020 advisor landscape. Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors. Join Cogent for up-to-the-minute thought leadership on advisor preferences and insightful guidance on how to strengthen partnerships. 

    Learning  Objectives:

    ·       Current trends in model portfolios

    ·       Technical (investment-focused) vs. non-technical (client-focused) advisors

    ·       Trends in products and asset classes

    ·      Strategies for effective advisor engagement 

    Who Should Attend: Marketing, Communications, Product & Distribution professionals

    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.

    Meredith Lloyd Rice (Moderator)

    Vice President, Cogent Syndicated, a division of Escalent

    Meredith leads the firm’s syndicated research and evidence-based consulting focused on the financial advisor market and is the lead author of the Advisor Brandscape® report. Meredith has been with Cogent Syndicated (now part of Escalent) for more than 12 years. She has a total of 20 years’ experience managing research initiatives in the wealth management industry on both the client and supplier side. Prior to joining Escalent, Meredith worked for Chatham Partners, State Street, Charles Schwab and Synovate (now Ipsos).  Her opinion is sought in industry publications including Ignites, FundFire, Investment News, RIA Biz, Barron’s, and Financial Advisor.