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  • Includes Credits Includes a Live Web Event on 06/15/2022 at 2:00 PM (EDT)

    Interacting with advisors continues to evolve at a faster pace than ever. Broker teams, advisory groups, and the use of home office models have continued to distribute investment decisions across individuals at advisory firms. Advisors themselves are being bombarded by more communications than ever, and wholesalers need to find effective ways of engaging advisors. The panel will explore the growth of teams and models in the industry, the roles individuals take with advisory firms, the data needed to make and track sales, and how to have effective interactions with advisors.

    Interacting with advisors continues to evolve at a faster pace than ever. Broker teams, advisory groups, and the use of home office models have continued to distribute investment decisions across individuals at advisory firms. Advisors themselves are being bombarded by more communications than ever, and wholesalers need to find effective ways of engaging advisors. The panel will explore the growth of teams and models in the industry, the roles individuals take with advisory firms, the data needed to make and track sales, and how to have effective interactions with advisors.

    Join our expert panelists as they address the following questions:

    1. What is the impact of the changing advisory landscape on distribution activities?
    2. How have the roles within advisories changed the way that wholesalers interact?
    3. How has the growth of models impacted product distribution?
    4. How are people tracking broker teams, partnerships, and advisory groups?
    5. What is the impact of the changing advisory landscape on distribution activities?
    6. What data and tools are needed to be effective in the new landscape?

    William Finnegan (Moderator)

    Principal - Distribution Insight

    Broadridge


    Bill Finnegan has extensive financial services experience in leadership roles within marketing and sales.His more than 30-year career encompasses working in and across the asset management, retirement, insurance, and banking industries. Most recently, Bill was leading global marketing for Seismic software’s financial services business, the firm’s largest vertical.


    Before Seismic, Bill was the Chief Marketing Officer for AMG where he led the marketing efforts for a family of more than 100 funds and SMAs managed by more than 35 independent and autonomous sub-advisers. Prior to that, Bill was Senior Managing Director of Global Retail Marketing at MFS. There he was responsible for leading the marketing strategy, content marketing, digital marketing, and client engagement for MFS’ global retail marketing business, the firm’s largest.


    As a company spokesperson, Bill has been quoted extensively across consumer and industry publications regarding investor behavior and the application of technology and data to improve outcomes. At Broadridge, Bill is leveraging his integrated digital, data, and technology experiences to guide asset management clients as they apply software and data to improve client engagement.


    Bill earned a bachelor’s degree in finance and a minor in economics from the University of Massachusetts. He has held Series 7, Series 24, Series 51, and Series 63 securities licenses as well as state life insurance & annuity licenses.

    Todd Neese

    Global Head of Business Intelligence and Distribution Operations

    Janus Henderson Investors

    Trained in engineering, research, and psychology (B.S. in Psychology, Kansas State University), Todd Neese has worked at a psychiatric research and training hospital (coordinating treatment outcome studies), a variable annuity company (coordinating customer information management), a major research university (coordinating business intelligence for the Vice Provost for Research), an insurance and asset management company, Athene / Aviva / AmerUs (leading business intelligence, sales and marketing related reporting and analytics, and data governance), and for the most recent eight years at Janus Henderson Investors as the Global Head of Business Intelligence and Distribution Operations.  In each of these opportunities, he was responsible for building out and improving business intelligence capabilities.  The central theme of his career has been using information to drive better decision making.


    While at Janus Henderson for the past 8 years, Todd has been responsible for building the Business Intelligence and Distribution Operations function globally – transforming the focus from sales reporting of what has happened to suggesting what we could do to acquire more clients, to serve, grow and retain our existing clients, and to enable our sales, marketing, product, and investment teams to optimize their time and efforts by presenting the right idea to the right client at the right time.  His Teams focus on delivering Competitive and Market Intelligence, Data and Solution Driven Selling Opportunities, Outcomes Analyses, Distribution Enablement and Advanced Analytics, CRM Training and Support, AUM & Flows Processing and Reporting, and Sales Reporting.

     

  • Includes Credits Includes a Live Web Event on 06/08/2022 at 1:30 PM (EDT)

    Get best-practice insights on talent search and onboarding tactics that lead to diverse candidate slates. Hone your firm’s recruitment and retention strategies with expert guidance from our panelists.

    Get best-practice insights on talent search and onboarding tactics that lead to diverse candidate slates. Hone your firm’s recruitment and retention strategies with expert guidance from:

    1. Paul Newman, Co-Founder, ADFT. Global and domestic human resources expert with a focus on talent acquisition.
    2. Arthur Woods, Co-Founder, Mathison; Author. Social Entrepreneur, LGBTQ+ leader, writer & global keynote speaker; Creator of the first Equal Hiring Index
    3. George Wilbanks, Managing Partner, Wilbanks Partners. Executive search firm leader and organizational management expert.
    4. Beverly Love, Head of Search Operations, Wilbanks Partners. Executive search and organizational management expert.

    Learning Objectives:

    1. Understanding rules and regulations
    2. Updating job descriptions
    3. Expanding talent pipelines
    4. Implementing unbiased search processes
    5. Developing social media strategies
    6. Building external partnerships


    This program is sponsored by:

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    Paul Newman (Moderator)

    Co-Founder

    Association for Diversity in Financial Talent (ADFT)

    Paul has led global and domestic human resources teams in financial services and retail organizations for over 20 years. His years of work experience in human resources leadership encompasses roles in talent acquisition, total rewards, DE&I, college relations, and human resources management. He graduated with a BS in Economics and holds certifications from Cornell University and Yale University and is currently pursuing a MS in Human Resource Management.

    George Wilbanks

    Managing Partner

    Wilbanks Partners, LLC

    George Wilbanks spent over 20 years building the asset and wealth management practice at Russell Reynolds Associates to an industry leading position before founding Wilbanks Partners LLC in 2011. Earlier he had worked with a venture capital and family office business Agtek International, and then The Dreyfus Corporation in business development as Assistant to the Chairman. A graduate of Williams College with a degree in Political Philosophy, he subsequently earned his MBA in Marketing at New York University’s graduate school of business.

    Arthur Woods

    Co-Founder

    Mathison

    Arthur Woods is a social entrepreneur and LGBTQ+ leader, working at the intersection of equity, inclusion and technology. He was named to Forbes 30 Under 30 and 40 Under 40 by BEQ. He is the author of the national best-selling book, Hiring for Diversity; he is a global keynote speaker, having delivered 3 TEDx talks; and has contributed to Harvard Business Review, FastCompany and Forbes.

    He is the Co-Founder of Mathison, a venture-backed technology platform equipping employers with everything they need to manage their diversity hiring, analytics and training. He is the creator of the first Equal Hiring Index to assess and benchmark inclusive hiring practices. Arthur came from Google where he led operations for YouTube’s Education division and oversaw YouTube for Schools. Arthur previously co-founded Imperative, leading social learning platform; Out in Tech, the largest global LGBTQ technology community; and Social Impact 360, a collegiate social enterprise education program.

    Arthur studied at Georgetown University, Pontificia Universidad Católica de Chile and HBS online. He is a World Economic Forum Global Shaper, was a GCT Entrepreneur in Residence, a New York Venture Fellow, SAP.io Foundries Fellow and sits on the Advisory Boards of LIFT and Second Day.

    Beverly Love

    Head of Search Operations

    Wilbanks Partners, LLC

    Beverly Love previously worked with George at Russell Reynolds Associates in the asset and wealth management practice from 2008–2011 before joining Wilbanks Partners. Prior to that, she worked in the office of the Chief Economist of Morgan Stanley & Company for five years in project management and research. She earned a Masters from Southern Methodist University and an undergraduate degree from Abilene Christian University. She began her career in opera performance and is a jugendlich dramatischer soprano with an extensive repertory.

  • Includes Credits

    Hear about the digitization trends and use cases that have made Luxembourg the FinTech gateway to Europe.

    Hear about the digitization trends and use cases that have made Luxembourg the FinTech gateway to Europe. What‘s hot in digitization in the Grand Duchy today? What is the direction of travel in terms of digitizing the asset management sector? What solutions are there for oversight on delegates or data management? Join our panel of FinTech experts and learn why digitization is overdue. 



    This program is sponsored by:

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    Manon Loison (Moderator)

    Innovation Strategist

    Manon is an innovation strategist and a marketing professional with experience across the public and private sectors.
    She holds a double degree (Master II) in communication from Sciences Po Bordeaux and the Bordeaux-Montaigne University, France.
    She has created and developed the LHoFT brand for five years as part of the founding team of Luxembourg’s Fintech Hub, which is now recognized internationally as a leader in innovation. Since January 2022, she has been building a marketing and business consultancy with a strong focus on financial inclusion and financial literacy.

    Alastair Woodward

    Head of Product

    Next Gate Tech

    Alastair Woodward has 25+ years’ experience in the asset management industry. Until 2018, he was a Conducting Officer and the Head of Risk Management EMEA at Schroders, prior to which he held the same role at Aberdeen Asset Management. Alastair also worked as a Director in the Investment Management Advisory Practice at Deloitte and at JP Morgan Asset Management. In 2019, he took a career break to complete the Advanced Management Program and Entrepreneurship Development Program at the MIT Sloan School of Management before joining Next Gate Tech.

    Jonathan Prince

    Co-Founder, Sales & Partnerships

    Finologee

    Jonathan Prince is co-founder and CSO of Finologee, a FinTech & RegTech founded in 2017, and partner in charge of Sales & Marketing at Mpulse, a telecom routing and micropayments specialist, since 2010. The French-British national is a well-known figure in the Luxembourg FinTech industry, having contributed to Luxembourg’s digital scene over the past decade by founding and running a variety of companies and products and, in particular, by pioneering mobile payments in Luxembourg. He is also public speaker and host in various Finance and Technology conferences.

    Jonathan gained his first experience in the tech world by joining the Digital content specialist 123 Multimedia in 2001. He then founded TCG in 2007, an advisory firm active in the telecommunications and payments industry, before switching to the mobile advertising agency LD Mobile in Marseille, which is part of the Vivendi Group. In 2010, Jonathan moved to Luxembourg and joined Mpulse, the telecom messaging, routing and micro-payments specialist that his now-business partners Raoul Mulheims and Georges Berscheid had founded in 2006. Together with them, Jonathan embarked onto the next endeavour in 2012, namely, to build Luxembourg retail banks’ mobile payments product and infrastructure with Digicash. Digicash was acquired by Payconiq in 2017.

    Finologee is the latest venture he co-founded, designing an operating mutualised systems for bank compliance (PSD2 and CEDRS), mobile payments (Digicash & Mpulse), KYC lifecycle management (KYC Manager) and digital end-customer interaction for data retrieval, identification and e-signature, as well as secure open finance APIs for clients in 19 countries.

    Georges Bock

    Founder and CEO

    Investre

    Georges is the founder of Investre, an ESG-focused fintech start-up. Investre is building the world’s first app for buying and selling sustainable investment funds—the experience of investing should be so positive that first-time retail investors fall in love. He is Partner at Ilavska Vuillermoz Capital, a Luxembourg-based investment company specialised in fintechs. Georges is also a Non-Executive Board Director for Investify Tech, Governance.com and Exceet. Before immersing himself in the fintech and start-up scene, he served as Managing Partner at KPMG Luxembourg from 2012 to 2016. In all, he spent 27 years with KPMG, specializing in asset management, banking, taxation, and capital markets. He has served as board member for ALFI, ILA, and Fedil. He has also contributed to European professional associations, including EFAMA and the EU Commission Expert Groups. Above all else, Georges believes in the strength of people and teams. He aspires to be a worthy and inspiring motivator in each of his leadership roles.

    Marie Autuori

    Head of Client Success

    Governance.com

    Marie Autuori joined Governance.com in 2016 after graduating from a business school. Since then, she has worked in the Client Success Team, first as an implementation manager and now as a team leader. Marie has carried out numerous implementations of governance for depositaries and asset managers and helps clients to make the best of the platform by providing custom-made solutions to fit their needs. She is a functional Governance.com specialist and has particular expertise in project management, implementation management, business analysis, process analysis and structuring as well as depositary and asset management projects.

  • View the highlights from Nicsa's Strategic Leadership Forum, which took place from March 30 - April 1, 2022 in Ponte Vedra Beach, FL.

    The Nicsa SLF united professionals from all facets of the asset management industry, from product and distribution, to data and technology, and DEI. The conference has become a national stage for asset managers, broker dealers, and providers to collaborate on product trends, regulatory changes, and market developments.

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

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

  • Includes Credits Recorded On: 02/23/2022

    ESG investing has reached an important juncture following an impressive growth spurt. This webinar will discuss the key trends shaping the ESG retail and institutional landscape, and the opportunities they create for asset managers.

    ESG investing has reached an important juncture following an impressive growth spurt. According to a recent study by Broadridge, assets in dedicated ESG funds could grow from US$8 trillion today to as much as US$30 trillion by 2030.

    This webinar will discuss the key trends shaping the ESG retail and institutional landscape, and the opportunities they create for asset managers.

    Join our panel of ESG experts as they address the following questions:

    ·     How will the global ESG fund market evolve by the end of the decade?

    ·     How is the demand for sustainable investments and thematic strategies influencing business?

    ·     What can asset managers do to meet the changing needs for ESG?



    Sponsored by:

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    Jag Alexeyev (Moderator)

    Head of ESG Insights

    Broadridge

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

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

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

    Martin Jarzebowski, CFA

    Director of ESG & Responsible Investing

    Federates Hermes

    Martin Jarzebowski leads the integration of ESG, active engagement and analytics for over $650 billion in global assets across equities, fixed income, alternatives and liquidity strategies. Federated Hermes has over 60 ESG subject-matter experts and one of the world’s largest ESG engagement databases with 18 years of proprietary data. He is a senior member of Federated Hermes’ Risk Management Committee, Proxy Voting Committee, Sustainability Leaders Council, ESG Faculty and is a former Equity Portfolio Manager.

    Martin is an Adjunct Professor of Sustainable Finance at the University of Rochester Simon Business School, serves on the CFA Institute ESG Technical Committee, Harvard Law School Corporate Governance Advisory Council, Sustainability Accounting Standards Board (SASB) and is a Forbes ESG Thought Leader.

    He graduated from Cornell University magna cum laude, earned a masters from the London School of Economics (LSE) and completed a post-grad from the Yale School of Management. Martin is a CFA charterholder and FSA credential holder.

    Eivind Lorgen

    Chair of the Investor Advisory Group

    SASB

    Eivind Lorgen is the former CEO & President of Nordea Asset Management (NAM) in North America. NAM is a global leader within responsible investments & ESG. He is an unconstrained advisor to corporate issuers, funds and asset managers as well as non-profit organizations and leading business schools. He is a founding member of the Sustainability Accounting Standards Board (SASB) Investor Advisory Group (IAG) and the Chair for SASB’s IAG. 

    Eivind is on the Reiman School of Finance Advisory Board for the Daniels College of Business at the University of Denver. He holds a BSBA from the University of Denver and he also did his master’s studies at the University of Denver. His Executive Management education is from IMD, Switzerland and The London Business School. Eivind is also an Adjunct Professor and has lectured at Daniels College of Business and Columbia Business School. 

    Eivind served 16 months in the Norwegian Royal Air Force and played varsity soccer for The University of Denver. He lives in Harlem, Manhattan with his family. 

  • Includes Credits Recorded On: 12/15/2021

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

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

    ·  Key milestones in 2022

    ·  Impact on the fund legal documentation

    ·  Organizational requirements for asset managers and management companies

    ·  Likely impact on annual reports from 1 January 2022

    ·  ESG data exchange between asset managers and distributors

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

    Sponsored by:


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    Marc-André Bechet (Moderator)

    Deputy Director General

    ALFI

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

    Denise Voss

    Chairwoman

    LuxFLAG

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

    Nathalie Dogniez

    Partner

    PwC

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

    Anika Ratzmann

    Conducting Officer/Head of Legal & Compliance

    Crestbridge

    Thomas Göricke

    Counsel

    Elvinger Hoss Prussen

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

  • Includes Credits Recorded On: 12/08/2021

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

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

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

    Dana Terry (Moderator)

    Unclaimed Property Consulting Director

    Georgeson

    LeeAnn Dionne

    Regulatory Compliance Manager, Abandoned Property Administration

    SS&C Technologies

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

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

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

    Heather Gabell

    Senior Manager, Compliance

    MarketSphere Unclaimed Property Specialists

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

    Heidi Lastoria

    Regulatory Monitoring Specialist

    MFS

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

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

  • Includes Credits Recorded On: 12/01/2021

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

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


    This program is sponsored by:

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    CPE
     INFORMATION:

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

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

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


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

    Questions or Cancellations: Please contact info@nicsa.org 

    Fred Kosanovic (Moderator)

    Vice President of Sales

    Access Data - a Broadridge Company

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

    Constantinos Magdalenos

    Director, International Tax, Financial Services

    PwC

    Joe Malone

    SVP, Head of Fund Administration

    First Eagle Funds

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

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

    Mike McMaster

    Global Head of Tax

    Invesco

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

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

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

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

  • Includes Credits Recorded On: 11/03/2021

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

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

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

    The Study's key takeaways explore the following areas:

    1. Industry Response 

    2. Perception Differences 

    3. Business Integration 

    4. Priority at the Top 

    5. Middle Management 

    6. Increased Transparency 

    7. Training Evolution 

    8. Diverse Talent

    Justine Phoenix

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

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

    Thomas Arnold

    Partner, Leader in Asset Management Technology Consulting

    EY

    EY, Partner, Wealth & Asset Management Consulting

    Co-Chair NICSA Diversity Project

    Cassie McCarthy (Moderator)

    Manager, EY’s Wealth and Asset Management Consulting Practice, EY

    Cassie is a Manager in EY's Wealth and Asset Management Consulting practice, where she works with leading global asset management firms on large-scale transformation initiatives aimed at navigating an evolving industry landscape. She helps asset managers enact strategic and sustainable change through harnessing the power of innovation to improve alpha generation and advance diversity, equity, and inclusion (DEI).

    Prior to joining EY, Cassie worked in fixed income investment management and private equity. She has experience in social entrepreneurship and finding creative ways to expand social impact within traditional finance.

    Cassie holds a BSc in Business Administration from Northeastern University with special focus on Finance and Entrepreneurship and is also currently serving as co-chair of the Nicsa Diversity Project North America Benchmarking Committee.

    Erica Seremeta

    Director of US & Canada DEI Client Engagement

    BlackRock

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

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

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

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