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  • Modernizing Vendor Management and Strategic Partnership Models

    Includes Credits Includes a Live Web Event on 09/23/2020 at 2:00 PM (EDT)

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

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

     

    Learning objectives:

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

    Who should attend?

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

    Jennifer Hoopes (Moderator)

    Senior Managing Director and General Counsel, Foreside

    Ms. Hoopes is responsible for Foreside’s international business and product expansion to support
    Foreside’s non-U.S. clients. She regularly assists non-U.S. asset managers to navigate the U.S. and
    design successful approaches for entering the market. She also works with U.S. managers to help them
    understand the differences between U.S. and non-U.S. distribution and compliance matters. She
    recently returned from a posting in London where she opened Foreside’s first European office. Ms.
    Hoopes also serves as General Counsel for Foreside and is responsible for providing assessment,
    oversight and management of, and counsel on, all legal issues, risk exposure, and regulatory compliance
    for Foreside and its 24 subsidiaries, including 20 registered broker-dealers. Ms. Hoopes has particular
    expertise in the intersection of fund distribution and regulatory compliance obligations.
    Ms. Hoopes has served on multiple FINRA committees as both an elected and appointed member and
    presents regularly at conferences and on webinars on broker-dealer, fund and asset manager matters.

    Mrinalini Sud

    Senior Manager, EY

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

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

  • ESG Investments: A Supply and Demand Outlook

    Includes Credits Recorded On: 09/02/2020

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

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

    Learning Objectives:

    ·       ESG investment landscape outlook

    ·       Distribution trends for ESG products

    ·       Portfolio construction and research tools

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

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

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

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

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

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

     Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Dan Bender (Moderator)

    Managing Director, EY

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

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

    Scott Reddel

    Managing Director, Capital Markets, Accenture

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

    Marcus Hooper

    Director, BNY Mellon

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

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

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

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

    Kumaran Ram

    Executive Director, J.P. Morgan

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

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

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

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

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

    Includes Credits Recorded On: 08/26/2020

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

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

    Program objectives:

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

    Highlight and simplify recent and upcoming regulations, such as:    

      - Modernizing Fund Reports and Disclosures

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

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

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

      - Variable Insurance Products – SEC Rule 498A

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


    This program is sponsored by:

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Frank Maresca (Moderator)

    VP, Broadridge

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

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

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

    Chelsea Childs

    Associate, Ropes & Gray

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

    Venice Monagan

    Counsel, Putnam Investments

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

  • Listen, Learn & Lead.

    Recorded On: 08/13/2020

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

    A Dialogue on Authentic Allyship.

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

    “What needs to change?”

    “What can I do?” 

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


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    Jason Tyler

    CFO, Northern Trust

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

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

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

    India Gary-Martin

    Principal, Leadership for Life

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

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

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

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

    Maurice Tsuro

    Director, BlackRock

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

    Steven Duncan (Moderator)

    Senior Relationship Executive, BNY Mellon

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

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

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

  • The Advisor Landscape: 2020 and Beyond

    Includes Credits Recorded On: 07/29/2020

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

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

    Learning  Objectives:

    ·       Current trends in model portfolios

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

    ·       Trends in products and asset classes

    ·      Strategies for effective advisor engagement 

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

    Sponsored By:

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Meredith Lloyd Rice (Moderator)

    Vice President, Cogent Syndicated, a division of Escalent

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

  • The Future of the Transfer Agency

    Recorded On: 07/28/2020

    FIS and other industry thought leaders discuss lessons learned from COVID19 and how to enhance immunity of the transfer agency in the event of future crises.

    FIS and other industry thought leaders discuss lessons learned from COVID19 and how to enhance immunity of the transfer agency in the event of future crises.

  • A Global View on Alternative Investments

    Recorded On: 07/22/2020

    Alternative investments continue to attract attention from investors around the globe. To help asset managers plan for the future, we have assembled a panel of global experts to review the likely changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2020 and beyond.

    Alternative investments continue to attract attention from investors around the globe. To help asset managers plan for the future, we have assembled a panel of global experts to review the likely changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2020 and beyond.

    This webinar will focus on market trends in alternatives, such as the variation of product structures, when and why firms decide to enter the alternatives space, and the opportunities and challenges associated with implementing and servicing alternatives.

     

    Learning Objectives:

    ·       Understanding the market trends supporting alternative investments

    ·       Identifying product development trends in the global alts space

    ·      Exploring the opportunities and challenges associated with servicing alternatives

     

    Who Should Attend: Product development and distribution professionals, operations and compliance professionals

    Sponsored by:


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    Marah Marshall (Moderator)

    Vice President, Head of Platform Engagement, Alternative Investments & Manager Selections (AIMS), Goldman Sachs

    Marah is head of platform engagement for Goldman Sachs AIMS Client Portfolio Solutions (CPS) group leading the development and execution of platform-wide client engagement strategy and tools.  Marah has been with Goldman for the past 18 years, serving most recently as the Chief Ecosystem Officer for the Alternative Investment Solutions Group (AISG) where she built the governance, trading and sales infrastructure model for Goldman Sachs Asset Management’s (GSAM) retail alternatives investment business.  Prior to joining AISG, Marah was the Distribution Service Relationship Manager for GSAM Third Party Distribution and Goldman Sachs Private Wealth Management responsible for building and managing solutions related to the infrastructure, trading and execution of GSAM 40 Act mutual funds and alternative investments.  She also spent 7 years as manager of GSAM’s Partnership Service Center (PSC) Service Team providing client onboarding and post-sale servicing to Goldman’s alternative investment clients.  Marah received a B.S. in Economics from Purdue University.

    Claude Niedner

    Partner, Arendt & Medernach

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

    Gillian Jevens

    Assistant Department Head, Luxembourg Depositary team Brown Brothers Harriman (Luxembourg) S.C.A.

    Gillian joined BBH Luxembourg in 2007. Initially Gillian worked in the Client Service Department prior to joining the Alternatives Client Service Group where she gained experience servicing various Alternative Investment Fund Structures with direct and indirect investment strategies. In December 2017, Gillian assumed her current role as Assistant Department Head in the Depositary Bank Team servicing funds with both liquid and illiquid strategies.  Gillian is an active member of the ALFI Depositary Bank working group forum.  Prior to joining BBH, Gillian had 16 years’ experience in 2 large Irish insurance companies, Allianz plc. and Aviva Group Ireland plc. in Dublin, Ireland, working primarily in the field of insurance liability claims.

    Kevin Wolf

    EVP, Head of Fund Administration and Product, Ultimus Fund Solutions

    Kevin Wolf joined Ultimus Fund Solutions in 2001 and currently serves as EVP, Head of Fund Administration and Product. Previously, Kevin served as the Executive Vice President of Gemini, overseeing the fund and legal administration units and joined Ultimus through merger in 2019. Kevin also serves as an officer to certain clients of Ultimus.

    Kevin started in the mutual fund industry in 1991. Prior to joining Ultimus, Kevin was an assistant vice president in the financial reporting department for Salomon Smith Barney Asset Management. There, he was responsible for the preparation of shareholder reports for over 200 mutual funds while supervising a staff of reporting specialists. Kevin’s other prior experience includes work as a mutual fund accountant for both Dean Witter (currently Morgan Stanley) and Chemical Bank (currently JP Morgan Chase).

    Kevin received a Bachelor of Science degree in Accounting and Business Administration from the State University of New York at Albany.

  • The Future of Marketing and Regulatory Communications

    Recorded On: 07/15/2020

    Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.

    Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.

     

    Learning Objectives:

    ·       Best practices for managing marketing communications

    ·       Updates on the regulatory environment

    ·       An exchange of top priorities and focus for improvement

     

    Who Should Attend: Marketing and communications professionals; compliance professionals


    Sponsored by:

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    Mike McLaughlin (Moderator)

    President, Naissance Partners

    Mike has spent almost twenty years in consulting, with the last 10+ focused on financial services clients. Most firms have been asset managers; some have been insurers, broker/dealers, banks, and others. The questions I help answer center on business and marketing strategy. 

    This experience reflects what I’ve done; at least as important is how I approach my work. Three things in particular matter to me: 

    ·       Combine ideas and idealism with pragmatism

    ·       Communicate clearly in order to avoid the dreaded “so what does that mean?”

    ·       Balance my belief that I do excellent work with humility

    I have been fortunate to be around some really intelligent people at places like kasina, Accenture, the Yale School of Management, and Northwestern University.

    John Closson

    Vice President, Broadridge

    Duane Mattson

    VP, Senior Compliance Officer, PIMCO

    Mr. Mattson is a vice president and senior compliance officer for PIMCO, where he heads up the firm’s Compliance Marketing Review team for the Americas (U.S., Canada and Latin America). Prior to joining PIMCO in 2018, he was with Dimensional Fund Advisors as a vice president in compliance, supporting the firm’s marketing and global institutional sales efforts. Previously, he was chief compliance officer for two registered investment advisers and chief supervisory officer for a large independent broker-dealer/RIA. He began his financial services career at Lutheran Brotherhood (now Thrivent Financial). He has 23 years of compliance experience and holds an undergraduate degree in journalism from the University of Minnesota (Twin Cities).

    Ed Hrybenko

    Vice President, Broadridge

  • Developing a “Return to the Workplace” Roadmap

    Includes Credits Recorded On: 07/01/2020

    Join us for an open discussion around the development of policies and processes for returning to the workplace in a post-lock-down landscape. Our panel of senior executives in the asset management industry will talk candidly about challenges, solutions, and lessons learned around return to work policies.

    Join us for an open discussion around the development of policies and processes for returning to the workplace in a post-lock-down landscape. Our panel of senior executives in the asset management industry will talk candidly about challenges, solutions, and lessons learned around return to work policies.

    Learning objectives:

    ·       Establishing transition teams

    ·       Complying with evolving health protocols

    ·       Aligning processes with critical business goals and policies

    ·       Developing an effective employee communications plan

    ·       Understanding the variations of policies globally, state by state, etc.

    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: Business Management & Organization
    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.

    Elizabeth Arnall (Moderator)

    Managing Director, Head of Sales and Client Management for the Americas, HSBC

    Elizabeth is a Managing Director in the Securities Services division of HSBC, where she is Head of the Americas Business Development and Client Management teams covering asset owners and asset managers.  Based in New York, Elizabeth is responsible for overseeing a team of sales and relationship management executives focused on delivering securities services solutions, including global custody, fund administration, middle office and trustee and fiduciary oversight services to clients based in North and South America. 

    Prior to joining HSBC, Elizabeth was a Director at BNP Paribas where she managed and developed the Bank’s top hedge fund relationships within the Securities Services division.  Prior to working in securities services, Elizabeth worked in institutional equity sales at BNP Paribas, Bank of America, Citigroup, and Credit Agricole.  Elizabeth started her career in the investment banking division at Merrill Lynch.

     

    Dan Houlihan

    Executive Vice President, Head of North America Asset Servicing, Northern Trust Company

    Dan Houlihan is Executive Vice President and Head of Northern Trust Asset Servicing - Americas, a leading provider of custody, banking, fund
    administration, investor servicing and outsourced solutions across the front, middle and back office to both institutional asset owners and fund managers
    throughout the region. The broad client range includes fund management firms, large corporations, insurance companies, public funds and not-for- profit entities, including endowments, foundations and healthcare companies.

    Dan joined Northern Trust in 2008 as the Global Head of Product and Strategy for the Investment Operations Outsourcing business. He then spent eight years as Head of Global Fund Services in North America, responsible for servicing the region’s fund manager clients.

    Prior to joining Northern Trust, Dan spent 19 years in numerous leadership positions for investment management, technology, and services companies.
    Among these, he was President of Citisoft, Inc. where he was responsible for executing their North American strategy.

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

    Gem Pushpaharan

    Managing Director, COO US, AllianzGI

    Gem Pushpaharan started his career with Ernst & Young in London as a Financial Services Auditor, following which he worked in various risk
    management roles within the Asset Management sector. He joined AllianzGI in 2007 as UK Head of Risk, RCM then moving to Global Head of Risk, RCM
    in 2010 and Global Head of Risk – Investment Platform, AllianzGI in 2012.

    He moved into a new role, Global Head of Vendor Relations & Operations Strategy in November 2013. Following this, in March 2016 Gem was
    appointed Global Head of Operations, responsible for delivering AllianzGI’s Operations Target Operating Model on a global basis and ensuring that the
    function is set up in the most optimal and efficient manner to support the business’ expansion ambitions.

    In August 2019, Gem took on the role of COO US based in New York responsible for overseeing all support functions in the region. AllianzGI US
    currently employs approx. 650 employees across four key centers: New York,
    Dallas, San Francisco & San Diego.

    Chris Boruff

    Head of Operations, Talent & Culture, Morningstar

    Chris Boruff is head of operations for Morningstar’s Talent & Culture (T&C) team. In this role, he leverages his years of experience as a business leader and familiarity with Morningstar to lead operational and culture initiatives aimed at improving the effectiveness of the T&C function and the experience of managers and employees in Interacting with T&C. He also heads key leadership development initiatives including our leadership coaching program and our organizational insights/analytics program. Most recently Chris has been serving as Morningstar’s Global Response Leader for the Covid-19 pandemic.

    Chris joined Morningstar in 1996 as product manager for Principia, the firm’s CD-ROM-based investment research and planning software for advisors. For the subsequent 12 years, his responsibilities increased in scope as he and his team launched a number of additional offerings for financial advisors including Morningstar® Advisor Workstation SM and Morningstar Office SM . In 2009, Chris was named president of Morningstar’s Softwaredivision, overseeing the firm’s consumer and institutional software products in addition to its advisor-focused offerings. He became head of the Information Products group,
    which is responsible for product development and innovation at Morningstar, in 2013, before transitioning to a part-time role as head of operations, Talent & Culture in 2014.

    Chris holds a bachelor’s degree in economics and psychology from Northwestern University.

  • SEC Proposed Rule 2a-5: What you need to know.

    Recorded On: 06/25/2020

    Learn more about the SEC's Proposed Rule 2a-5 and its impact on the asset management industry.

    Amid an evolving regulatory environment, asset management industry professionals are focused on synching up valuation processes with the SEC's proposed Rule 2a-5. Our panel of experts will discuss best practices for a consistent, modern approach to the determination of fair value. Join us for key takeaways of the proposed rule and its potential impact on boards, advisers, and auditors.

     

    Learning objectives:

     

    ·       Developing best practices for fair value methodologies

    ·       Updating testing (e.g. back-testing or calibration) and record keeping processes

    ·       Assessing material risks

    ·       Evaluating third party services

    Paul Kraft (Moderator)

    Lead Partner, US Mutual Fund & Investment Adviser Practice Leader, Deloitte

    Chris Maher

    Deputy Treasurer, Fidelity Funds

    Chris Maher is Vice President and Deputy Treasurer of the Fidelity funds. In this role, he is responsible for oversight of the funds’ valuation and liquidity risk management operations; fund policy setting and interpretation with respect to valuation and liquidity risk management matters; leading the funds’ Fair Value Committees & Liquidity Risk Management Committees; and liaising with the funds’ boards of trustees. Prior to assuming his current responsibilities Mr. Maher led Fidelity’s Asset Management Regulatory Reform Program Office providing governance and implementation support for new financial regulations.

    Mr. Maher earned a Master of Science degree in finance from Brandeis University, and a Bachelor of Science degree in accounting from Nichols College. He has been in the investments industry since 1994.

    Ira Cohen

    Independent Chairman, Angel Oak Funds Family of Funds

    Ira Cohen is a successful mutual fund executive with over 39 years of retail, offshore and institutional experience.  He currently serves as an Independent Chairman of the Angel Oak Funds Family of Funds.  He is also Chairman of the Audit Committee of the Griffin Capital Funds and the Governance Chairman for the Valued Adviser’s Series Trust Funds .

    Ira  is also Executive Vice President of Recognos Financial which is  a developer of AI  data and software solutions.

    In addition, over the last fifteen he has run his own successful consulting company.  His client list includes DTCC, Fidelity, Goldman Sachs, Waddell & Reed, DST Systems and FINRA. 

    Prior to becoming a consultant, Ira spent 13 years as a Senior Vice President of INVESCO Fund Services, formerly known as AIM Investments.  He was responsible for all Transfer Agent Operations and Services for retail, retirement, institutional, and offshore funds.  Before joining INVESCO he held senior management positions at Bank of New York and Prudential Mutual Fund Services.

    Ira has held FINRA Registered Series 6, Series 26, and Series 63 licenses.  While regarded as a mutual fund expert, Ira has been a keynote speaker at many industry conferences and has been an active member on several industry wide committees.