Catalog Advanced Search

Search by Categories
Search in Packages
Search by Format
Search by Type
Search by Date Range
Products are filtered by different dates, depending on the combination of live and on-demand components that they contain, and on whether any live components are over or not.
Start
End
Search by Keyword
Sort By
  • Global Tax Reclaim

    Includes Credits Includes a Live Web Event on 11/17/2021 at 2:00 PM (EST)

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

    This program is sponsored by:

    image

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    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.

  • On the Clock: 2021 Annual Perception Study Webinar

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

    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 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

  • Listen, Learn & Lead | Utilizing Beneficial Partnerships

    Recorded On: 09/22/2021

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

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

    This program is sponsored by:


    image


    Mabel Rius

    Head of Human Resources, US and Americas

    HSBC

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

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

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

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

    Damian Rivera

    CEO

    ALPFA

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

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

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

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

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

    Alex Rivera

    Senior Manager, Learning & Development

    Invesco

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

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

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

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

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

  • SEC Rule 18f-4: Answering the Big Questions

    Includes Credits Recorded On: 09/16/2021

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

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

    Learning objectives:

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

    2)       Why have these rules been implemented?

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

    4)       How to prepare historical and hypothetical stress scenarios?

    5)       What Benchmarks and market data are needed?

    6)       What responsibilities fall to fund boards? 


    Sponsored By:

    image

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Luke Armstrong (Moderator)

    Buy Side Risk Product Manager

    IHS Markit

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

    Brian Johnson

    Associate Director, Rulemaking Office

    United States Securities Exchange and Commission

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

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

    Carolyn McPhillips

    President

    Mutual Fund Directors Forum

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

  • Optimizing Investment Performance Data

    Includes Credits Recorded On: 09/15/2021

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

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

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

    Sponsored by:


    image

    Ulf Herbig

    Head of Product

    Kneip

    Benjamin Gauthier

    Partner

    PwC

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

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

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

    Qualifications

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

    FRM certificate (GARP)

    Susanne Schartz

    COO

    SEQVOIA

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

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

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

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

    Laura Lutton

    Head of Asset Management Solutions

    Morningstar

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

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

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

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

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

    Chris Fisher

    Director

    BlackRock

  • Regulatory Trends for 2021 and Beyond

    Includes Credits Recorded On: 08/25/2021

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

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

    Learning Objectives:

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


    This program is sponsored by:

    image

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Kathleen Keenan (Moderator)

    Vice President - Product Management MFRS

    Broadridge

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

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

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

    Nathan Briggs

    Partner

    Ropes & Gray

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

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

    Jay Herold

    Vice President and Sr. Counsel

    MFS

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

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

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

    Amanda Hollander Wagner

    Branch Chief, Division of Investment Management

    U.S. Securities and Exchange Commission

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

  • The Future of Retirement Plans

    Recorded On: 08/18/2021

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

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

    Learning objectives:

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

    Linda York (Moderator)

    Senior Vice President

    Cogent Syndicated, a division of Escalent

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

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

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

    Jennifer Flitton

    Vice President of Federal Affairs

    Invesco

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

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

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

    Bob Shaw

    Senior Director

    SS&C Retirement Solutions

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

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

    Drew Carrington

    Senior Vice President, Head of Institutional DC

    Franklin Templeton

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

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

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

  • The Unclaimed Property Industry Update

    Recorded On: 08/18/2021

    Unclaimed property firms industry professionals deal with strict and complex compliance and reporting requirements. Our webinar of industry experts will discuss specific unclaimed property items including:

    Unclaimed property firms industry professionals deal with strict and complex compliance and reporting requirements. Our webinar of industry experts will discuss specific unclaimed property items including:

    • insights and updates
      • recent legislative and regulatory matters
      • industry trends
      • best practices
    • trends and best practices for audits
    • the importance of updating policies and procedures as states make legislative changes

    Dana Terry (Moderator)

    Unclaimed Property Consulting Director

    Georgeson

    LeeAnn Dionne

    Manager, Regulatory Compliance

    SS&C Technologies

    Heidi Lastoria

    Fund Monitoring Specialist

    MFS

    Heather Gabell

    Senior Manager, Compliance

    MarketShere Unclaimed Property Solutions

    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.

  • Toolkit | A Time for Understanding

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

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

  • The Rise of MRBs

    Marijuana Related Businesses may be one of the fastest growing industries in the United States. This webinar will evaluate MRBs as underlying holdings in RICs and other investment products. Industry participants with MRB offerings provide timely insights on this evolving topic.

    Marijuana Related Businesses may be one of the fastest growing industries in the United States. This webinar will evaluate MRBs as underlying holdings in RICs and other investment products. Industry participants with MRB offerings provide timely insights on this evolving topic.

    Learning Objectives:

    · Gaining insight on product development and investment operations trends as they relate to cannabis-related investments

    · Understanding the compliance and custody implications of MRB investing

    · Learning how ESG funds might be dealing with MRBs

    Eric Simanek (Moderator)

    Partner

    Sullivan and Worcester

    Eric's practice focuses on financial services, including mutual funds, closed-end funds, exchange-traded funds and commodity pools, and their boards of directors on issues regarding regulatory compliance and product development. He assists clients in navigating laws administered by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA), and state securities laws. He also advises investment advisers on issues relating to registration and compliance policies and procedures. Eric often advises exchange-traded funds (including exchange-traded commodity pools) in connection with their exemptive relief and the launch of new funds, as well as non-investment companies on issues regarding their status under the Investment Company Act of 1940.

    Eric also served as a law clerk to the Honorable William E. Smith of the United States District Court for the District of Rhode Island.

    Jason Wilson

    Cannabis Research and Banking Expert

    ETF Managers Group

    With over 20 years of experience in the asset management, finance and structured product space, Jason has a track record of bringing hard-to-access asset classes to market.

    Jason has held leadership and senior positions at several leading financial institutions. Most recently, Jason was Senior Vice President at INFOR Financial Inc. INFOR is a leading boutique investment bank based in Toronto, Canada that has worked in connection with a number of companies in the legal cannabis industry, including acting as advisor to Canopy Growth Corporation in connection with entering into its strategic relationship with Constellation Brands.

    Jason has also worked at the investment banking divisions of Société Générale, France’s third largest bank, and at CIBC, one of the five largest banks in Canada. While at Société Générale and CIBC, Jason provided asset managers and financial institutions with various capital raising, financing and risk mitigation solutions and strategies.

    Jason has an LLB from the University of Western Ontario. Prior to completing his university studies, Jason was a member of the Canadian Forces and is a recipient of the Gulf of Kuwait Medal, awarded for his engagement in direct combat during the Gulf War in 1991.

    Kristoffer Inton

    Equity Strategist, ESG

    Morningstar

    Kristoffer Inton is equity strategist, ESG for Morningstar Research Services LLC, a wholly owned subsidiary of Morningstar, Inc. Previously, he served as director of equity research, basic materials. In addition to his work expanding Morningstar equity research’s ESG thought leadership, he covers American and Canadian cannabis companies. Before joining Morningstar in 2013, Inton was an investment banking associate for Guggenheim Securities in New York. Previously, he was an investment banking analyst for Merrill Lynch in Chicago and New York. Inton holds a bachelor’s degree in finance with high honors from the University of Illinois and a master’s degree in business administration with distinction from Northwestern University’s Kellogg School of Management.

    Cathy LaFalce

    Managing Director and Global Head of AML Compliance Risk Management

    Citi

    Cathy LaFalce is a Managing Director and Global Head of AML Compliance Risk Management for Citigroup’s “Markets and Banking” businesses.

    In this role, Cathy leads the Global Citi AML Compliance Risk Management team responsible for identifying, evaluating, mitigating and reporting on AML and reputational risks for these businesses. In her 22-year career with Citi, Cathy has held a number of senior compliance, audit and risk management roles supporting Citibank’s former Global Transaction Services (GTS) businesses, including as AML Compliance Head for GTS North America and GTS Compliance Officer. Cathy also held senior Compliance and AML roles at two other global financial institutions: Barclays Capital, where Cathy was the Global AML Advisory Head for Barclays Corporate and Investment Bank (CIB) and the CIB Americas Financial Crime Compliance Head; and The Bank of New York, where Cathy was Sector Compliance
    Officer for BNY’s Issuer Services businesses.  

    Cathy has extensive experience building compliance programs and standards at a business and firm- wide level. She has participated in numerous industry forums throughout her career and recently served a two-year term as Co-Chair of the Securities Industry and Financial Markets Association (SIFMA) AML Committee.

    Cathy started her career as an Associate National Bank Examiner for the Office of the Comptroller of the Currency and also was a Senior Auditor at Bankers Trust.     She holds a Bachelor of Science in Finance and Economics from Fordham University.