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  • AI in Operations: Boosting Productivity for Wealth & Asset Management Firms
    Includes Credits Includes a Live Web Event on 02/05/2025 at 1:00 PM (EST)

    Join us for an engaging webinar to explore the transformative impact of AI in enhancing productivity and streamlining operations within the wealth and asset management industry. Featuring real-world case studies and insights from industry leaders, attendees will discover practical strategies for leveraging AI to improve decision-making, client engagement, and operational efficiency. The discussion will also address key aspects of AI governance and ethics, providing actionable advice for overcoming implementation challenges and achieving sustainable success.

    This webinar delves into the transformative power of AI in the wealth and asset management industry, focusing on its ability to improve productivity and streamline operations. Featuring insights from industry leaders, this session highlights real-world applications of AI and showcases how these firms have successfully leveraged the technology to enhance decision-making and client engagement.

    The discussion will also address critical considerations for AI governance and ethics, offering practical advice on overcoming common implementation challenges. Attendees will gain actionable insights on developing and deploying AI programs effectively, ensuring sustainable success in today’s competitive landscape.


    Learning Outcomes:

    • Gain a clear understanding of how AI is being used to transform operations in wealth and asset management firms.
    • Learn from real-world case studies on AI implementation, including strategies that improve productivity and client engagement.
    • Identify common challenges in AI adoption and discover practical solutions for overcoming these obstacles.
    • Explore critical aspects of AI governance and ethical considerations for sustainable and responsible implementation.
    • Walk away with actionable steps to design and implement a successful AI program that aligns with their organizational goals.


    Target Audience:

    This webinar is specifically designed for professionals in the asset and wealth management industry who have pressing questions about effectively leveraging AI. Whether you're interested in exploring real-world AI use cases, understanding the key components of a successful AI project, or learning the essential steps for launching AI-driven initiatives, this session will provide the expert insights and actionable strategies you need.

    • Asset and Wealth Management Professionals
    • Investment Managers and Analysts
    • Compliance and Risk Management Professionals
    • IT and Technology Leaders in Financial Services
    • Business Strategists and Decision Makers
    • Anyone interested in leveraging AI for business growth and efficiency


    This program is sponsored by:

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    CPE Credits Redeemable with NASBA

    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: Information Technology 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Technical Investment Management

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Joseph Lo

    Head of Enterprise Platforms, Broadridge

    Joseph Lo, Head of Enterprise Platforms at Broadridge, leads the firm’s platform and innovation initiatives. A technologist by trade with a background in software engineering, Joseph advances Broadridge’s global software platforms to accelerate transformation in corporate governance, capital markets, as well as wealth and investment management.

    Joseph is a co-creator of BondGPT, the fixed income industry’s first generative AI platform that reduces hours of manual work into a matter of minutes, and unlocks trillions of dollars of liquidity in the process. He also holds a patent for a machine learning algorithm. Joseph leads Broadridge’s initiative to rapidly scale the use of generative AI capabilities internally and externally.

    Joseph brings two decades of software and product development experience at financial technology companies to create innovative technology-based solutions to solve client challenges in financial services. He also serves as Broadridge’s Global Co-Chair of Lead for Next, an employee resource group where early career professionals can thrive professionally and build bridges across generational divides

  • AI Webinar Series
    1 new product(s) added recently

    Join Nicsa for a comprehensive webinar series that explores how AI is revolutionizing the financial services industry, from foundational concepts like AI and generative AI to practical applications in product distribution, investment strategies, portfolio management, and legal considerations. Gain valuable insights into the latest AI trends, real-world applications, and strategic approaches essential for success in an evolving financial landscape.

    This webinar series is designed to provide our community with a comprehensive understanding of how AI is transforming the financial services industry. It will cover a range of topics, starting with an introduction to AI and generative AI, followed by sessions on practical applications in product and distribution, AI in investment strategies and portfolio management, legal and regulatory considerations, and more. Attendees will gain insights into the latest AI trends, practical applications, and strategic considerations necessary to thrive in a rapidly evolving financial landscape.

  • An Intro to Irish and Luxembourg Investment Platforms for US Asset Managers
    Includes Credits Includes a Live Web Event on 01/29/2025 at 1:00 PM (EST)

    Join us for an insightful webinar designed specifically for US Asset Managers exploring opportunities in the European market.

    This webinar is tailored for US Asset Managers who want to have a better understanding of the fund-raising opportunities that European investment platforms provide, or considering investing through or in Europe for the first time. Whether you’re new to European investment platforms or looking to deepen your understanding, this session will provide a comprehensive introduction to Europe’s two leading jurisdictions for investment funds: Ireland and Luxembourg.


    A panel of PwC experts will guide you through the essential regulatory, tax, and commercial considerations, offering practical insights into structuring investments, overcoming common challenges, and successfully operating on European platforms.


    Learning Outcomes: 

    By the end of this webinar, participants will:


    * Benefit from an insightful introduction to the two favored European jurisdictions for investment funds: Ireland and Luxembourg.

    * Gain an understanding of the most important pan-European considerations relevant to fund raising and ongoing platform operation.

    * Learn the key regulatory, tax, and operational considerations for fundraising and platform management in Europe.

    * Explore common investment structures and identify solutions to address challenges unique to the European market.

    * Receive practical insights into the nuances of each jurisdiction to effectively access and navigate European capital markets.


    This session equips US Asset Managers with the foundational tools and knowledge to confidently evaluate and enter Europe’s investment landscape.


    This program is sponsored by:

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    CPE Credits Redeemable with NASBA

    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: 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: 

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org.

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy.

    Declan Byrne (Moderator)

    Asset & Wealth Management Global Assurance Leader

    PwC

    Declan is the PwC’s Asset & Wealth Management Global Assurance leader based in Boston and serves on the NICSA International Committee. Declan works closely with his clients on issues such as complex valuations, internal controls, global best practices and financial reporting. Declan is an industry thought leader. Recent publications Declan has been responsible for include “Mutual Fund 2030 - Rising Expectations”, “Current developments for the Mutual Fund industry” and the “Mutual Fund Directors Governance Survey”. Globally he helped produce the recently published “AWM Revolutions 2024” paper. Has extensive global experience having worked in Dublin, New York, Tokyo and Boston.

    Laura McKeown

    International Tax Partner

    PwC Ireland Asset and Wealth Management

    Laura is an international tax partner in the PwC Ireland Asset and Wealth Management tax practice.

     Laura has a broad range of experience across the financial services sector and advises private equity funds, hedge funds, sovereign wealth funds and pension funds on international tax structuring projects. Laura regularly advises on the taxation implications of cross-border investment using all forms of Irish investment platforms including both regulated and unregulated fund and limited partnership structures. She also advises international clients on the tax efficiency of their corporate and management group structures.

     Laura is the PwC Ireland Financial Services tax policy leader. She is an active member of the Irish Debt Securitisation Association tax working group, the Irish Funds ELTIF working group and the Invest Europe Tax Committee.

    Laura is a qualified Chartered Accountant with the Institute of Chartered Accountants in Ireland and a member of the Irish Taxation Institute.

    Sean Reid

    Tax Director

    PwC

    Sean is the Tax Director leading PwC’s Irish Tax Desk in New York. Sean is on assignment from PwC Ireland where he works as an International Tax Director assisting clients on a broad range of international tax and related matters.

    Sean has significant experience advising US, Irish and other multinational companies across a wide variety of industries. Sean’s particular areas of expertise include international cross border structuring for inbound and outbound investment, large corporate reorganizations, international asset holding structures, treasury optimization and debt structuring.  

    Sean has experience working on M&A transactions and assisting clients navigate domestic and international tax changes.

    Sean holds a degree in Law and a postgraduate diploma in Accounting. Sean is an associate of the Institute of Chartered Accountants in Ireland and is a Chartered Tax Adviser and member of the Irish Tax Institute.

    Stéphane Rinkin

    Tax Partner

    PwC

    Stéphane is a Luxembourg tax partner currently seconded to PwC US where he is focusing on developing our key AWM clients globally around Managed services and CTC.

    Stéphane has led several Tax Managed Services engagements bringing technological solutions to clients (covering in particular accounting, tax reporting, corporate secretary and other regulatory reporting). Stéphane specialises in the design, development and delivery of business solutions with optimised tax approaches/strategies encompassing both local and international issues.

    He has been instrumental in building and delivering certain of our key service propositions in Luxembourg and EMEA to the Alternative Fund industry.

    Stéphane was previously also in charge of the VAT compliance department of PwC Luxembourg (where approximately 15,000 VAT returns are produced every year) and the PwC Luxembourg VAT leader for the Real Estate industry. He was also the innovation leader for PwC Luxembourg.

    Stéphane began his career at PwC Luxembourg in 2001. After years of gathering expertise, he moved to PwC Switzerland as leader of the Romandie Indirect Tax practice. He completed a three years term as Tax partner for EY China (Shanghai) before coming back to PwC Luxembourg in 2016, transforming the way the VAT compliance team operates, dramatically boosting its efficiency and profitability.

    He has a law degree and a LLM in tax law from University of Liège (Belgium) and is a certified tax expert in Luxembourg.

    Stephane regularly publishes articles and speaks at industry and tax seminars.

    Mathieu Scodellaro

    Principal - Head of Investment Funds Practice

    PwC Luxembourg

    Mathieu is the head of the Investment Funds Practice and specializes in issues concerning investment funds, fund managers and the various service providers. Over the last 20 vears,  Mathieu has assisted numerous international clients in the setting-up, (re)structuring and handling of their organization or projects. He regularly advises his clients on regulatory issues and in their relationships with the regulatory authorities.

    He has been involved in the creation of a large number of regulated and unregulated investment funds from plain vanilla UCITS to investment funds investing in illiquid assets (private equity, debt funds, real assets, insurance-linked assets…), with complex investment strategies or with innovative features. His involvement included the structuring of the products, the drafting of the offering documentation,  the negotiations with the service providers, potential investors and lenders, the communication with the regulator., etc.  He has assisted his clients in the development of their products and dealing with special events (restructuring, liquidation…) impacting their funds.

    He has also assisted a number of depositary banks and managers in their strategic or regulatory restructuring  and dealing with new regulations impacting their businesses or the funds they are servicing.

    With the increasing regulatory scrutiny, he has also assisted clients facing queries or investigations from the regulator.

  • The Virtues of Corporate Culture
    Includes Credits Recorded On: 12/12/2024

    Join Nicsa for an engaging Fireside Discussion where we’ll explore how to define corporate culture, protect it, and what it means to be a “culture carrier” within your organization.

    Corporate culture is one of the biggest perceived challenges in attracting and retaining top talent, according to Nicsa’s DEI Perception Study. But what truly defines the personality of an organization?

    Join us for an engaging Fireside Discussion where we’ll explore how to define corporate culture, protect it, and what it means to be a “culture carrier” within your organization.

    Nicsa is excited to bring together two thought leaders: Author and Professor Alan Kolp and Corporate Culture Expert Monica Smith. Together, they’ll offer a deep dive into the critical components of corporate culture and share strategies for positively influencing and safeguarding it.


    Learning Outcomes:
    • Gain a clear understanding of what corporate culture is and how it aligns with an organization’s core values.
    • Explore the foundational traits of corporate culture and how these evolve over time.
    • Learn actionable strategies to enhance and safeguard a company’s culture, ensuring it remains aligned with its values and goals.
    • Discover how generational shifts impact corporate culture and how to manage these dynamics effectively.
    • Learn how culture can foster deeper employee engagement and commitment to an organization’s mission.
    • Understand your role in fostering a positive corporate culture, emphasizing personal responsibility and accountability in shaping and maintaining it.


    This program is sponsored by Diversity Project North America's Next Practices Committee:

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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: Personnel/Human Resources – Non-technical 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Leadership Programs

    Program Format: Live Webinar 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Monica M Smith

    CEO and Founder

    Tradewinds Career Consulting

    After 30 years of leading diverse, multicultural teams across financial services firms in Boston, Bangalore, and New York, I founded Tradewinds Career Consulting to help organizations unlock the power of purpose-driven leadership in their organizations, domestic and global.


    During my last 12 years in corporate financial services, I focused on international leadership roles, managing global delivery, establishing new multi-national businesses and governance models, forging multi-national strategic partnerships, and contracting joint ventures.


    I navigated my career by building high-performing teams, igniting shared vision and purpose to drive innovation, deliver exceptional customer stewardship, and solve complex global challenges. My greatest career satisfaction has been sharing my experience and expertise to help international teams and colleagues achieve global initiatives. Creating Tradewinds Career Consulting enables me to draw on my deep and varied expertise to deliver bespoke consulting, advisory services, and coaching, addressing precisely the skillsets our clients want to elevate.

    Alan Kolp

    Faculty in Residence

    Baldwin Wallace University

    Alan is Faculty in Residence and former holder of the Baldwin Wallace Chair in Faith & Life and Professor of Religion at Baldwin Wallace University.  He earned degrees from Guilford College, Harvard Divinity School, and a Ph.D. from Harvard University.  Alan’s latest book, Better Humans, Better Performance, co-authored with Peter Rea and James Stoller, appeared in 2023. This was preceded by Exception to the Rule.
    Alan and Peter also wrote Integrity is a Growth Market and teamed with Pierre Everaert to write Igniting Innovation With Integrity

    Much of the work Alan does now focuses on the global aspects of business and human interaction.  Specifically, he is interested how human beings live life so they are making money and meaning.  This interest spans a diversity of cultures.  The classical virtues provide the fundamentals.  He is particularly interested in how these virtues come to play an active role in our lives and communities today.

    Before coming to Baldwin-Wallace University in 2000, Alan taught at Earlham College and Earlham School of Religion in Richmond, IN.  

    He spent a year in Germany on a Fulbright and has taught in England.  He has  been a visiting scholar at the Graduate Theological Union, University of California at Berkeley and at Kellogg College, Oxford University.  

    Rosa Licea-Mailloux (Moderator)

    Head of Compliance Americas; Chief Compliance Officer - MFS Funds

    MFS Investment Management

    Rosa Licea‐Mailloux is a vice president and head of compliance, Americas, at MFS Investment Management® (MFS®). She is also the chief compliance officer of the MFS Funds. In this role, she oversees all aspects of compliance for MFS investment products distributed throughout the Americas, collaborating with various groups across MFS to ensure all regulatory requirements are met and adhered to across the firm's various distribution channels.

    Rosa joined MFS in 2018 as a director of corporate compliance and was named to her current role in 2022. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis
    Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments.

    Rosa earned Bachelor of Arts degrees in biology and economics from Boston University, a Juris Doctor degree from the Northeastern University School of Law, and an MBA from UNC Kenan-Flagler Business School. She is an adjunct professor of financial sector compliance at New England Law | Boston.

  • Post-Election Insights: Impact on Global Policies, Markets, and Regulations
    Includes Credits Recorded On: 12/05/2024

    Join Nicsa for an interactive webinar as we analyze the election’s impact and explore potential outcomes in key areas affecting financial services.. This session will provide valuable insights on how asset and wealth managers can anticipate and adapt to policy shifts under the new administration, enabling them to make informed decisions and position their organizations for resilience in a changing environment.

    With the recent election behind us, the asset and wealth management industry is preparing to navigate potential changes across global policies, financial markets, and regulatory landscapes. Join us for an in-depth discussion led by experts, as we analyze the election’s impact and explore potential outcomes in key areas affecting financial services.

    This session will provide valuable insights on how asset and wealth managers can anticipate and adapt to policy shifts under the new administration, enabling them to make informed decisions and position their organizations for resilience in a changing environment.


    Learning Outcomes:
    - Gain a better understanding of how election results may shape U.S. and global financial regulations, compliance requirements, and policy priorities.
    - Explore the potential impact of policy shifts on financial markets, including specific asset classes and regions.
    - Learn strategies to proactively address regulatory and economic changes in the asset and wealth management industry.
    - Understand how to align investment strategies and portfolio management with evolving global policies and risk landscapes.


    Target Audience:
    - Asset and Wealth Managers
    - Investment Advisors and Analysts
    - Compliance and Regulatory Professionals
    - Financial Planners and Tax Advisors
    - IT and Technology Leaders in Financial Services
    - Business Strategists and Decision Makers
    - Professionals interested in understanding political changes and their effects on financial strategy


    This program is sponsored by the Invesco Ltd.

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    CPE Credits Redeemable with NASBA

    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 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Government Regulations: Compliance and Legal Implications

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Jennifer Flitton

    Head of US Government Affairs, Invesco

    Jennifer Flitton is Head of US Government Affairs at Invesco. In this role, she works to drive Invesco's advocacy initiatives with policymakers and regulators, ensuring the firm is an influential part of the Washington conversation and solidifying Invesco's seat at the table. Ms. Flitton also leverages her expertise to provide timely political and policy insights to clients and portfolio managers.

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

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

    Rachel Stanley Nguyen

    Assistant Vice President | Federal Government Relations

    Principal Financial Group

    Rachel seeks to advance the company's advocacy efforts before Members of Congress and the executive branch. Relying on her extensive expertise, she provides support for the company's tax and retirement savings initiatives and issues.
    Prior to joining the company in 2015, Rachel served as a legislative director and tax counsel for Congressman Ron Kind. For several years she had a broad tax law practice at a regional law firm in Central New York. She also worked at Bloomberg BNA in Washington, DC.
    Rachel earned a bachelor's degree in English and German from Whitman College, a Juris Doctor (JD) cum laude from Syracuse University College of Law, and a Master of Law (LLM) in taxation from top-ranked New York University. She is a member of several industry organizations including the American Benefits Council, the American Council of Life Insurers, Business Roundtable, Investment Company Institute, and Securities Industry and Financial Markets Association.
    She lives in the DC suburbs with her husband and 3 young children.

    Michael Dembro

    Lead Investment Strategist

    MFS Investment Management

    Michael Dembro is a lead strategist of investment solutions at MFS Investment Management® (MFS®). In this role, he plays a key role in translating the challenges and opportunities facing advisors and intermediaries into insights and sales ideas and coordinating the curation and delivery of thought leadership, with the ultimate goal of creating product opportunities. Mike joined MFS in 2024 in his current role. Prior to joining the firm, he worked for nine years as a portfolio consultant at Natixis Global Asset Management and, most recently, for three years as chief investment officer at Professional Planning Group. Mike earned a Bachelor of Science degree in Economics from Brandeis University. He also earned a Master of Science in Finance degree and a Master of Business Administration degree from Boston College

    Anne Hebard-Duduch (Moderator)

    Relationship Executive, Retirement Solutions

    SS&C Technologies, Inc.

    Anne is responsible for building strategic relationships and managing the consultant engagement program for our suite of solutions supporting the retirement eco system. In this role, Anne is passionate about identifying and delivering solutions that help our clients close the US retirement savings gap. 

    With over 30 years in financial servicing, Anne has extensive experience in all aspects of asset management and retirement servicing functions, including: relationship management, operations management, transition oversight, sales and marketing, and product development. Prior to joining SS&C, Anne led product development at Boston Financial, providing innovative, market-driven solutions. This resulted in several new business lines, including: a digital strategy offering, a financial intermediary oversight solution, and an expanded suite of compliance solutions.

    Anne is a board member of Expect Miracles Foundation, committee co-chair of the National Investment Company Service Association (NICSA), a member of SPARK’s Financial Literacy Committee, a member of UMass Women Beacons program and an active participant of industry conferences. Anne holds a BS from the University of Massachusetts and an Executive Diploma in Strategic Direction and Leadership; Certified Management Institute, United Kingdom.

  • Exploring the Recent Amendments to Regulation S-P
    Includes Credits Recorded On: 11/21/2024

    Join Nicsa for an interactive webinar exploring the recent amendments to Regulation S-P. This session will dive into the key rule revisions, offering practical tips for implementation. Additionally, attendees will learn about the critical role of incident management and how these regulatory changes impact service providers.

    This webinar will explore the recent amendments to Regulation S-P, focusing on the rule revisions and providing practical tips for implementation. The session will also cover the critical role of incident management and the impact these regulations have on service providers.


    Learning Objectives:

    Participants will gain a comprehensive understanding of the changes to Regulation S-P and the necessary policies and procedures to implement before the effective dates.


    Target Audience:

    - Compliance Officers
    - Operations Leaders
    - Service Providers and Third-Party Vendors
    - Legal Professionals
    - IT Security and Risk Management Teams
    - Training & Education Professionals


    This program is hosted by the Nicsa Compliance and Risk Management Committee 

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    CPE Credits Redeemable with NASBA

    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 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Governance and Regulations - Applicable Regulations, Compliance, and Legal Implications. 

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Stefanie Kutch

    Director of Regulatory Compliance

    SS&C

    Stefanie Kutch is the Director of Regulatory Compliance for SS&C's Global Investor and Distribution Solutions, US. Ms. Kutch joined SS&C (formerly known as DST Systems, Inc.) in 1997 after earning a Bachelor of Business Administration degree from the University of Missouri-Kansas City.  Ms. Kutch has spent her entire career developing extensive knowledge of the financial services industry, including transfer agency and regulatory compliance initiatives related to '40 Act funds.  

    Eric Russo

    Regional Data Protection Officer

    Franklin Templeton Investments

    Eric is an attorney whose role at Franklin Templeton is as a Data Protection Officer in their Global Privacy Office. Eric's main focus is privacy issues in the Americas region, including state and federal privacy laws and regulations.

    Kenn Kern

    Executive Director, Legal and Compliance

    Morgan Stanley

    Kenn Kern is as an Executive Director on Morgan Stanley’s Tech & Data Legal team.  In this role, Kenn advises the Investment Management Division on a wide range of data security and privacy matters.

    Prior to joining Morgan Stanley, Kenn was a member of the Manhattan District Attorney’s Office where he served as Deputy Chief of the Cybercrime and Identity Theft Bureau, Special Assistant for International Relations, and Chief Information Officer. Kenn coordinated the New York City Cyber Critical Services and Infrastructure (NYC CCSI) project, an initiative focused on sharing real-time cyber threat intelligence, holding joint cybersecurity trainings, and deploying technical assistance across all of New York City’s sectors. Kenn is the recipient of the Robert M. Morgenthau Award from the District Attorney’s Association of New York State.

    Kenn received his Juris Doctorate from the University of Texas School of Law and a Master of Arts in Government from Georgetown University. Kenn began his legal career at the International Criminal Tribunal for the Former Yugoslavia (ICTY) as a legal intern on the Slobodan Milošević trial, before serving as a federal judicial clerk in the Eastern District of Texas.

    Kim Cookman (Pascalau)

    Sr. Director Compliance, CCO Office

    SS&C GIDS US

    Kim Cookman is Sr. Director in the CCO Office for SS&C’s Global Investor and Distribution Solutions Division (GIDS) US. With over 26 years in the financial services industry, she holds extensive knowledge of transfer agent compliance and oversight, applicable federal, and state regulations. Kim has broad experience leading the execution of regulatory changes and controls in an operational environment, combined with fund board level communications.

    Stephanie Tyler (Moderator)

    Manager, US Transfer Agent Global Risk & Control Compliance

    Franklin Templeton Investor Services, LLC

    Stephanie Tyler has worked at Franklin Templeton for 29 years where she leads a team focused on transfer agent regulatory compliance oversight and risk management. She is an active member on many industry committees and currently serves as the chair of the nicsa Risk and Compliance Committee. She held previous roles in project and system management focused on transfer agent technology.

  • Ask Me Anything: Your AI Questions Answered by an AI Expert
    Includes Credits Recorded On: 11/19/2024

    Join this interactive webinar for an exclusive opportunity to engage directly with an AI expert and explore real-world challenges of AI implementation in the asset and wealth management industry. Through a live Q&A format, attendees can ask their most pressing AI-related questions and receive expert advice, practical insights, and actionable strategies to maximize AI’s potential within their organizations. The session will also cover AI use cases, what makes a successful AI project, and key steps for initiating AI-driven initiatives.

    Join this interactive webinar for an exclusive opportunity to engage directly with an AI expert and explore real-world challenges of AI implementation in the asset and wealth management industry. Through a live Q&A format, attendees can ask their most pressing AI-related questions and receive expert advice, practical insights, and actionable strategies to maximize AI’s potential within their organizations. The session will also cover AI use cases, what makes a successful AI project, and key steps for initiating AI-driven initiatives.


    Learning Outcomes:

    • Gain expert insights on real-world AI implementation challenges within asset and wealth management.
    • Understand actionable steps to maximize AI's potential across various organizational functions.
    • Learn best practices for identifying and launching successful AI projects.
    • Explore AI use cases in investment strategies, client engagement, and operational efficiency.
    • Receive practical advice on overcoming common barriers to AI adoption and integration.


    Target Audience:

    This webinar is specifically designed for professionals in the asset and wealth management industry who have pressing questions about effectively leveraging AI. Whether you're interested in exploring real-world AI use cases, understanding the key components of a successful AI project, or learning the essential steps for launching AI-driven initiatives, this session will provide the expert insights and actionable strategies you need.

    • Asset and Wealth Management Professionals
    • Investment Managers and Analysts
    • Compliance and Risk Management Professionals
    • IT and Technology Leaders in Financial Services
    • Business Strategists and Decision Makers
    • Anyone interested in leveraging AI for business growth and efficiency


    This program is co-hosted by the Nicsa Next Gen Committee.

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    CPE Credits Redeemable with NASBA

    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: Information Technology – Technical

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Building Your Business

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Tod McKenna

    Global Head of Data Science and Artificial Intelligence, Citi Securities Services

    Tod is a Director out of the Boston office. He is the Global Head of Data Science and Artificial Intelligence for the Data, Digital, and Innovation team within Securities Services. Tod joined Citi in 2022.

    Prior to Citi, Tod spent three years with Alpha Financial Markets Consulting where he was a client director responsible for the public and private market strategy, design, and implementation of transformative change for some of North America’s largest Asset Managers and Asset Owners. In addition, Tod was the North America head of the ESG and Responsible Investing Practice.

    Before joining Alpha, he was the Chief Operating Officer of Prudential’s Portfolio Management Group in London, where he oversaw technology, operations, and data for the £180b multi-asset manager. Prior to that, at NN IP, he was a Senior Quant, Head of Portfolio Analytics, and member of the Quant Leadership Team.

    Marissa Huertas-Crespo (Moderator)

    Assistant Vice President - Citi Securities Services

    Marissa is responsible for business development and client management within the Asset Owner and Asset Manager segments across Custody, Fund Services, and Execution Services.

    Marissa was awarded the Nicsa Rising Star Award in 2024 and is an active member of Nicsa's Next-Gen Committee. She is also a One Young World Ambassador, which allowed her to travel to Northern Ireland to meet with other representatives from 190 countries around the world to discuss solutions to the United Nation's Development Goals from her perspective in financial services.

    Marissa holds a B.A. in Economics with a concentration in finance as well as a B.A. in Political Science from Lafayette College.

  • CSSF Circular 24/856 – New Guidance on Regulated Funds and Investor Protection
    Includes Credits Recorded On: 10/03/2024

    Join Nicsa for a webinar exploring the newly issued CSSF Circular 24/856, which replaces the longstanding CSSF Circular 02/77. Learn about the key changes, their impact on the asset management industry, especially for alternative investment funds in Europe and beyond, and the relevance of these updates for US fund professionals.

    For more than two decades, CSSF Circular 02/77 was the reference guidance for investment fund professionals on non-compliance with investment rules and significant NAV errors. The Commission de Surveillance du Secteur Financier (CSSF, the Luxembourg supervisory authority of the financial sector), has now revamped its rules and issued CSSF Circular 24/856. What has changed and what does this mean for the asset management industry – particularly for alternative investment funds – in Europe and beyond? What is the relevance of the new guidance for US fund professionals?



    Learning Outcomes 

    - Identify the key changes introduced by CSSF Circular 24/856: Participants will learn about the significant revisions introduced in CSSF Circular 24/856 compared to the previous guidance (CSSF Circular 02/77) and their implications for investment fund professionals.

    - Understand how the circular seeks to enhance investor protection: What procedures should be followed in the event of a NAV calculation error, non-compliance with investment rules and other errors?

    - Analyze how NAV errors and investment compliance breaches need to be handled in private assets funds/alternative investment funds: What are the particular challenges?

    - Learn how to comply with the new guidance in practice: By the end of the webinar, participants will be equipped with practical knowledge to ensure compliance with the new guidance and enhance investor protection strategies within their organizations.


    Target audience

    Professionals within the global asset management and investment fund industry, including in the private assets space, focused on Fund and Investment Compliance, Fund Accounting, Risk Management, Portfolio Management, Operations, and Legal


    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 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Applicable Regulations - Compliance and Legal Implications

    Program Format: Live Webinar 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Prasanta Mandal (Moderator)

    Director, Deloitte Luxembourg

    Prasanta Mandal is a Director in the Alternatives Investments Consulting department of Deloitte Luxembourg. He has over 13+ years of experience in the Financial Services industry with career spanning both Capital Markets in Singapore and investment funds in Luxembourg. His primary areas of expertise are risk and regulatory advisory, investment and operational due diligence, service provider selection, Target Operating Model, operational strategy and efficiency, outsourcing strategy and product development. He has supported several asset managers in a range of topics from strategy to operational execution.

    Francois Ralet

    Head of Management Company

    Wellington

    Francois is the Head of Wellington Luxembourg SARL, the European Management Company of the Wellington Group which manages about 70 UCITS and 10 AIFs in Ireland and Luxembourg. Francois is also the Conducting Officer in charge of Risk Management and joined Wellington in October 2018. Before joining Wellington, Francois was Senior Manager at PwC Luxembourg within the risk department of the advisory practice, responsible for risk management.

    Maria Samuelsson von Oldenskiöld

    Managing Director, Head of Client Services (Fund Operations)

    EQT

    Maria Samuelsson von Oldenskiöld joined EQT in May 2022. Prior to joining EQT, Maria worked as a Global Head of Financial Reporting at Partners Group as well as many other positions at the company. She has also worked as a controller at Ashland and Manager at PricewaterhouseCoopers. Maria has over 20 years of experience within finance and as a manager all over the world.

    Maria holds a Master’s degree in Finance and Business Administration from Göteborgs University and she is also a Fellow of Certified Chartered Accountants, ACCA.

  • Introduction to AI: Its Progression from Predictive to Generative AI
    Includes Credits Recorded On: 09/26/2024

    Join Nicsa for an interactive webinar that introduces Artificial Intelligence (AI) and its evolution into Generative AI, highlighting its transformative potential in the asset management industry. This session will provide a foundational understanding of AI terminology, explore the drivers behind AI adoption, discuss real-world use cases, and address the risks and strategic steps needed for successful AI implementation.

    Given the rapid adoption and buzz around AI and Generative AI across the industry, Nicsa is delighted to present the first webinar in the series. This interactive session offers a high-level introduction to Artificial Intelligence (AI) and its evolution into Generative AI (GenAI), with a focus on the transformative potential within the asset management industry. Also covered will be a high-level overview of its applicability and impact for the industry. Illustrative demos will complement the discussion.


    Learning Objectives:

    - Refresh or gain a common understanding of AI-related terminology to provide a solid foundation.

    - Investigate drivers behind the rapid adoption of AI and explore the hype vs. reality.

    - Gain insights into the current state of AI adoption and identify real-world use cases within the asset management industry.

    - Recognize high-level risks associated with AI implementation and explore mitigation strategies.

    - Outline strategic steps to start the AI journey or ramp-up/scale efforts if already underway.


    Target Audience:

    This is geared towards providing a broad overview of AI and its impact on the asset management industry. It is intended to be introductory in nature. Applicable to participants from all parts of the enterprise. Depending on where you are along the AI journey, some foundational elements may serve as review material. The Q&A session may offer additional insights.


    This program is co-hosted by the Nicsa Data Analytics Committee in collaboration with Nicsa Technology & Digital Innovation Committee 

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    CPE Credits Redeemable with NASBA

    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: Information Technology – Technical

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Building Your Business

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org


    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

    Sanjay Balu (Moderator)

    VP Enterprise Applications Architecture

    MFS Investment Management

    Sanjay Balu is a seasoned Strategy, Architecture, Solutions Delivery, and Operations executive with 25+ years in the Financial Services and Retail industries. His experience spans senior customer-facing global business, and IT roles for Fortune 500 and Technology consulting companies. He currently heads Enterprise Applications Architecture, Project Operations and Analytics, and Strategic Partner Management for the Global Technology and Investment Operations Group of MFS Investment Management. In this role he focuses on Technology Strategy, Enterprise Architecture, Operational Planning, and Delivery Partnerships. Prior to that, Sanjay spent over 13 years at Avery Dennison in various roles and was most recently the Global Director for Customer-Facing Digital Solutions. In various roles, he has hired, mentored, and led very large global technical, functional, and operational teams in the US, Asia, and EMEA.  Prior to that, Sanjay spent time in the consulting industry with Sapient, implementing solutions for major clients in Financial Services.

    Michael Sands

    Senior Manager, Strategy & Consulting - Capital Markets

    Accenture

    Mike is a leader within Accenture’s Strategy & Consulting practice specializing in capital markets. He works across the industry to drive strategic and transformational change for his clients. He has partnered with some of the largest asset managers, wealth managers, investment banks, and service providers globally. His work includes operational transformation, digital & data strategy, technology modernization, and innovation immersion. Mike also serves as the GenAI Lead for Accenture’s asset management industry practice and has been quoted in multiple publications on the use of GenAI across capital markets. 

    Prior to joining Accenture, Mike worked at Federated Investors where he was responsible for the financial modeling of new products, proposed fund concepts, and corporate endeavors. He holds a Bachelor of Science degree in Finance from the Smeal College of Business at Penn State University.

    Ashish G. Garg

    Banking AI & Gen AI Innovation Lead

    Accenture

    Ashish is a leader in Accenture's Banking and Capital Markets Data and AI practice. With a strong focus on innovation, Ashish leverages AI and GenAI to develop cutting-edge solutions. As a trained data scientist, Ashish brings 20 years of consulting experience, during which he has successfully built and implemented transformative programs across the customer lifecycle, driving revenue, enhancing productivity, and managing risk. Ashish is also a speaker at conferences, delivering keynotes on the impact and applications of AI. Ashish holds both a bachelor's and master's engineering degree in Mathematics and Computing from IIT Delhi.

  • The Pulse on Tailored Shareholder Reports Implementation: Impacts and Outlooks
    Includes Credits Recorded On: 09/19/2024

    Join us for a compelling webinar as we unpack the diverse experiences of creating Tailored Shareholder Reports through the lenses of fund administrators, fund companies and service providers.

    Join us for a compelling webinar as we unpack the diverse experiences of creating Tailored Shareholder Reports through the lenses of fund administrators, fund companies and service providers.

    We will discuss:

    • How increased report volumes were handled effectively

    • Effects on resources and operational workflows

    • Implications of future regulatory reporting changes


    Gain a thorough understanding of post-implementation priorities and engage in insightful conversations alongside NICSA members, sharing best practices and actionable advice.


    Learning Outcomes:

    • Key success factors that led to smooth implementations

    • Innovative data management strategies

    • Best practices used to create TSRs via automation

    • Expert tips to improve iXBRL tagging and timely filing


    This program is sponsored by:

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    CPE Credits Redeemable with NASBA

    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: Information Technology – Technical

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Applicable Regulations: Compliance and Legal Implications

    Program Format: Live Webinar 


    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org.

    Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy.

    Michael Donowitz (Moderator)

    Vice President of Regulatory Affairs, Broadridge

    Broadridge

    Mike Donowitz joined Broadridge Financial Solutions in 2018.  He heads Broadridge’s Washington DC Office and is responsible for government relations, regulatory affairs, and works on the firm’s broker dealer, mutual fund and public company investor communications initiatives, including digital capabilities.  

    Prior to joining Broadridge, Mr. Donowitz worked in the legal department at Fidelity Investments as Vice President and Associate General Counsel.  He advised on broker dealer sales practice issues, including market timing, late trading, breakpoint pricing, disclosure of revenue sharing arrangement and related ‘shelf space’ issues.  He supported broker dealer back office operations and responded to regulatory inquires and exams.  He also provided advice and guidance on all aspects of mutual fund distribution for one of the largest third party fund supermarkets and was lead counsel on a number of large outsourcing projects. 

    Mr. Donowitz is a graduate of Tufts University and earned a Juris Doctorate from New England School of Law.  

    Anu Patil

    Vice President, Vendor Management Oversight

    J.P. Morgan Asset Management

    Anu Patil, CPA joined J.P. Morgan Asset Management in October of 2014 and has been part of many teams within U.S. Business Platform such as Accounting Policy, Financial Reporting, and Regulatory & Business Controls. Currently, she is the Vendor Oversight Manager, where she is responsible for the oversight and relationship management of the key vendors that provide services to the Funds, including the regulatory report print and distribution process.

    Prior to joining J.P. Morgan, Anu began her career at Ernst & Young as a financial services auditor for approximately five years on Mutual Funds, ETFs, and Private Equity clients.

    Anu received her Masters in Accounting and B.S. in Corporate Finance and Accounting from Bentley University.

    Harsh Choudhary

    Head of Product Management, Regulatory Communications

    Broadridge

    Harsh Choudhary is an experienced Product Leader who is currently serving as the Head of Product Management, Regulatory Communications at Broadridge.

    With five years of experience at Broadridge, Harsh has been a valuable member of the team, leveraging his expertise in financial services to develop innovative solutions for the company's clients. Prior to joining Broadridge, Harsh held several leadership positions in various organizations focused on financial services. He has worked as a Chief Product Officer and Chief Technology Officer, where he gained valuable insights into the workings of the industry and developed a keen understanding of the needs of financial services clients.

    Throughout his career, Harsh has demonstrated a passion for innovation and a commitment to delivering superior results. He has a strong track record of developing and launching successful products that meet the evolving needs of clients.

    Amy M. Fothergill

    Vice President, Asset Servicing Product Developer

    State Street

    Amy Fothergill is a Vice-President in State Street’s Asset Servicing Product division, focused on the Financial and Regulatory Reporting Product. For the last 6 years Amy has been responsible for development work of new and existing financial and regulatory reporting products for the Asset Manager and Asset Owners segments. 

    Amy began her career here at State Street in Fund Administration in 2001 where she has spent most of her career. She focused on operations, conversions, and new business for both Financial Reporting, Compliance and Treasury Services within Fund Administration. 

    Amy received a Bachelor of Science in Accounting from Bentley University.