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Includes Credits Includes a Live Web Event on 10/02/2024 at 10:00 AM (EDT)
Join Nicsa for a webinar exploring the newly issued CSSF Circular 24/856, which replaces the longstanding CSSF Circular 02/77. Learn about the key changes, their impact on the asset management industry, especially for alternative investment funds in Europe and beyond, and the relevance of these updates for US fund professionals.
For more than two decades, CSSF Circular 02/77 was the reference guidance for investment fund professionals on non-compliance with investment rules and significant NAV errors. The Commission de Surveillance du Secteur Financier (CSSF, the Luxembourg supervisory authority of the financial sector), has now revamped its rules and issued CSSF Circular 24/856. What has changed and what does this mean for the asset management industry – particularly for alternative investment funds – in Europe and beyond? What is the relevance of the new guidance for US fund professionals?
Learning Outcomes
- Identify the key changes introduced by CSSF Circular 24/856: Participants will learn about the significant revisions introduced in CSSF Circular 24/856 compared to the previous guidance (CSSF Circular 02/77) and their implications for investment fund professionals.
- Understand how the circular seeks to enhance investor protection: What procedures should be followed in the event of a NAV calculation error, non-compliance with investment rules and other errors?
- Analyze how NAV errors and investment compliance breaches need to be handled in private assets funds/alternative investment funds: What are the particular challenges?
- Learn how to comply with the new guidance in practice: By the end of the webinar, participants will be equipped with practical knowledge to ensure compliance with the new guidance and enhance investor protection strategies within their organizations.
Target audience
Professionals within the global asset management and investment fund industry, including in the private assets space, focused on Fund and Investment Compliance, Fund Accounting, Risk Management, Portfolio Management, Operations, and Legal
This program is sponsored by:
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 Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Prasanta Mandal (Moderator)
Director, Deloitte Luxembourg
Prasanta Mandal is a Director in the Alternatives Investments Consulting department of Deloitte Luxembourg. He has over 13+ years of experience in the Financial Services industry with career spanning both Capital Markets in Singapore and investment funds in Luxembourg. His primary areas of expertise are risk and regulatory advisory, investment and operational due diligence, service provider selection, Target Operating Model, operational strategy and efficiency, outsourcing strategy and product development. He has supported several asset managers in a range of topics from strategy to operational execution.
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Join Nicsa for a comprehensive webinar series that explores how AI is revolutionizing the financial services industry, from foundational concepts like AI and generative AI to practical applications in product distribution, investment strategies, portfolio management, and legal considerations. Gain valuable insights into the latest AI trends, real-world applications, and strategic approaches essential for success in an evolving financial landscape.
This webinar series is designed to provide our community with a comprehensive understanding of how AI is transforming the financial services industry. It will cover a range of topics, starting with an introduction to AI and generative AI, followed by sessions on practical applications in product and distribution, AI in investment strategies and portfolio management, legal and regulatory considerations, and more. Attendees will gain insights into the latest AI trends, practical applications, and strategic considerations necessary to thrive in a rapidly evolving financial landscape.
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Includes Credits Includes a Live Web Event on 09/25/2024 at 1:00 PM (EDT)
Join Nicsa for an interactive webinar that introduces Artificial Intelligence (AI) and its evolution into Generative AI, highlighting its transformative potential in the asset management industry. This session will provide a foundational understanding of AI terminology, explore the drivers behind AI adoption, discuss real-world use cases, and address the risks and strategic steps needed for successful AI implementation.
Given the rapid adoption and buzz around AI and Generative AI across the industry, Nicsa is delighted to present the first webinar in the series. This interactive session offers a high-level introduction to Artificial Intelligence (AI) and its evolution into Generative AI (GenAI), with a focus on the transformative potential within the asset management industry. Also covered will be a high-level overview of its applicability and impact for the industry. Illustrative demos will complement the discussion.
Learning Objectives:
- Refresh or gain a common understanding of AI-related terminology to provide a solid foundation.
- Investigate drivers behind the rapid adoption of AI and explore the hype vs. reality.
- Gain insights into the current state of AI adoption and identify real-world use cases within the asset management industry.
- Recognize high-level risks associated with AI implementation and explore mitigation strategies.
- Outline strategic steps to start the AI journey or ramp-up/scale efforts if already underway.
Target Audience:
This is geared towards providing a broad overview of AI and its impact on the asset management industry. It is intended to be introductory in nature. Applicable to participants from all parts of the enterprise. Depending on where you are along the AI journey, some foundational elements may serve as review material. The Q&A session may offer additional insights.
This program is co-hosted by the Nicsa Data Analytics Committee in collaboration with Nicsa Technology & Digital Innovation Committee
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: Information Technology – Technical
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 Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Sanjay Balu (Moderator)
VP Enterprise Applications Architecture, MFS Investment Management
Sanjay Balu is a seasoned Strategy, Architecture, Solutions Delivery, and Operations executive with 25+ years in the Financial Services and Retail industries. His experience spans senior customer-facing global business, and IT roles for Fortune 500 and Technology consulting companies. He currently heads Enterprise Applications Architecture, Project Operations and Analytics, and Strategic Partner Management for the Global Technology and Investment Operations Group of MFS Investment Management. In this role he focuses on Technology Strategy, Enterprise Architecture, Operational Planning, and Delivery Partnerships. Prior to that, Sanjay spent over 13 years at Avery Dennison in various roles and was most recently the Global Director for Customer-Facing Digital Solutions. In various roles, he has hired, mentored, and led very large global technical, functional, and operational teams in the US, Asia, and EMEA. Prior to that, Sanjay spent time in the consulting industry with Sapient, implementing solutions for major clients in Financial Services.
Michael Sands
Senior Manager, Strategy & Consulting - Capital Markets, Accenture
Mike is a leader within Accenture’s Strategy & Consulting practice specializing in capital markets. He works across the industry to drive strategic and transformational change for his clients. He has partnered with some of the largest asset managers, wealth managers, investment banks, and service providers globally. His work includes operational transformation, digital & data strategy, technology modernization, and innovation immersion. Mike also serves as the GenAI Lead for Accenture’s asset management industry practice and has been quoted in multiple publications on the use of GenAI across capital markets.
Prior to joining Accenture, Mike worked at Federated Investors where he was responsible for the financial modeling of new products, proposed fund concepts, and corporate endeavors. He holds a Bachelor of Science degree in Finance from the Smeal College of Business at Penn State University.
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Includes Credits Includes a Live Web Event on 09/18/2024 at 1:00 PM (EDT)
Join us for a compelling webinar as we unpack the diverse experiences of creating Tailored Shareholder Reports through the lenses of fund administrators, fund companies and service providers.
Join us for a compelling webinar as we unpack the diverse experiences of creating Tailored Shareholder Reports through the lenses of fund administrators, fund companies and service providers.
We will discuss:
• How increased report volumes were handled effectively
• Effects on resources and operational workflows
• Implications of future regulatory reporting changes
Gain a thorough understanding of post-implementation priorities and engage in insightful conversations alongside NICSA members, sharing best practices and actionable advice.
Learning Outcomes:
• Key success factors that led to smooth implementations
• Innovative data management strategies
• Best practices used to create TSRs via automation
• Expert tips to improve iXBRL tagging and timely filing
This program is sponsored by:
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: Accounting - Technical
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 Lilly Bahmani at info@nicsa.org
Michael Donowitz (Moderator)
Vice President of Regulatory Affairs, Broadridge
Broadridge
Mike Donowitz joined Broadridge Financial Solutions in 2018. He heads Broadridge’s Washington DC Office and is responsible for government relations, regulatory affairs, and works on the firm’s broker dealer, mutual fund and public company investor communications initiatives, including digital capabilities.
Prior to joining Broadridge, Mr. Donowitz worked in the legal department at Fidelity Investments as Vice President and Associate General Counsel. He advised on broker dealer sales practice issues, including market timing, late trading, breakpoint pricing, disclosure of revenue sharing arrangement and related ‘shelf space’ issues. He supported broker dealer back office operations and responded to regulatory inquires and exams. He also provided advice and guidance on all aspects of mutual fund distribution for one of the largest third party fund supermarkets and was lead counsel on a number of large outsourcing projects.
Mr. Donowitz is a graduate of Tufts University and earned a Juris Doctorate from New England School of Law.
Anu Patil
Vendor Oversight Manager
J.P. Morgan Asset Management
Anu Patil, CPA joined J.P. Morgan Asset Management in October of 2014 and has been part of many teams within U.S. Business Platform such as Accounting Policy, Financial Reporting, and Regulatory & Business Controls. Currently, she is the Vendor Oversight Manager, where she is responsible for the oversight and relationship management of the key vendors that provide services to the Funds, including the regulatory report print and distribution process.
Prior to joining J.P. Morgan, Anu began her career at Ernst & Young as a financial services auditor for approximately five years on Mutual Funds, ETFs, and Private Equity clients.
Anu received her Masters in Accounting and B.S. in Corporate Finance and Accounting from Bentley University.
Harsh Choudhary
Head of Product Management, Regulatory Communications
Broadridge
Harsh Choudhary is an experienced Product Leader who is currently serving as the Head of Product Management, Regulatory Communications at Broadridge.
With five years of experience at Broadridge, Harsh has been a valuable member of the team, leveraging his expertise in financial services to develop innovative solutions for the company's clients. Prior to joining Broadridge, Harsh held several leadership positions in various organizations focused on financial services. He has worked as a Chief Product Officer and Chief Technology Officer, where he gained valuable insights into the workings of the industry and developed a keen understanding of the needs of financial services clients.
Throughout his career, Harsh has demonstrated a passion for innovation and a commitment to delivering superior results. He has a strong track record of developing and launching successful products that meet the evolving needs of clients.
Amy M. Fothergill
Vice President, Asset Servicing Product Developer
State Street
Amy Fothergill is a Vice-President in State Street’s Asset Servicing Product division, focused on the Financial and Regulatory Reporting Product. For the last 6 years Amy has been responsible for development work of new and existing financial and regulatory reporting products for the Asset Manager and Asset Owners segments.
Amy began her career here at State Street in Fund Administration in 2001 where she has spent most of her career. She focused on operations, conversions, and new business for both Financial Reporting, Compliance and Treasury Services within Fund Administration.
Amy received a Bachelor of Science in Accounting from Bentley University.
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Includes Credits Recorded On: 07/24/2024
Join Nicsa & LGBT Great in this interactive LGBTQ+ Inclusive Language session as we navigate the ever-evolving landscape of LGBTQ+ inclusive language. Learn practical tips and discover how to bridge the generational gap in these crucial conversations. Gain valuable insights for fostering understanding and respect to drive a more inclusive workplace.
Whether we realize it or not, our words carry power. They help us communicate our thoughts and emotions to others and have the potential to build bridges, generate influence, and effect change. They also have the potential to tear those bridges down, marginalize, and reinforce inequality.
Join Nicsa & LGBT Great in this interactive LGBTQ+ Inclusive Language session as we navigate the ever-evolving landscape of LGBTQ+ inclusive language. Learn practical tips and discover how to bridge the generational gap in these crucial conversations. Gain valuable insights for fostering understanding and respect to drive a more inclusive workplace.
Learning Outcomes:
• Define and embrace inclusive language: Understand the importance of using accurate and respectful language for all LGBTQ+ identities.
• Discover what trans & non-binary inclusive language practices look like: Gain practical tips for pronouns, terminology, and creating an inclusive communication environment.
• Bridge the generational gap: Learn strategies for fostering open and respectful conversations about LGBTQ+ issues across generations.
• Navigate reclaimed terms responsibly: Understand the history and appropriate usage of reclaimed terms like “queer.”
• Learn from other languages: Explore examples from languages with different grammatical structures and how they approach inclusivity.
This program is sponsored by the Diversity Project North America's Industry Engagement & Events Committee in collaboration with:
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: Behavioral 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 Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Elba L Vasquez (Moderator)
Senior Vice President
HSBC Global Asset Management (USA) Inc.
Elba has been with HSBC since 2003. She started her career with HSBC in product development and in 2010 became the Head of Client Services in the US. In this role, she, and her team service the needs of HSBC’s institutional clients for whom we provide investment management services as well clients invested in our family of funds. In 2021, Elba took on additional responsibilities as the Head Client Operations where she focuses on delivering operational excellence for HSBC clients to ensure business retention and delivery of excellent client service. Prior to joining HSBC, Elba’s journey led her to several different roles from overseeing fund service providers, managing a call center, sales and marketing of new products including the launch of the first international Exchange Traded Funds in the US market to serving on several boards. In her spare time, Elba pursues one of her passions, Diversity, Equity, and Inclusion. She is the co-Chair of the HSBC Hispanic Latin Diversity Committee, our Hispanic and Latin Employee Resource Group, and also serves on several local and global DE&I committees at HSBC. She is an active member of NICSA’s Diversity Project Industry Engagement & Events Committee and the Association for Latin Professionals of America (ALPFA).
Matt Cameron
CEO, LGBT Great
Matt epitomizes change and empowerment in diversity and inclusion, with a steadfast dedication that earned him accolades such as the 2019 Diversity Champions Award and a position on the UK Diversity Project Board. As the visionary CEO of LGBT Great since 2019, Matt is driven by a mission to make every company a beacon of LGBTQ+ acceptance, aiming to empower 1 million people by 2030.
Hailing from Blackpool, Lancashire, Matt's journey from a humble background to a leadership role in London showcases his grit. He leads LGBT Great's initiatives, alongside spearheading the Goals and Progress Tool Reporting for the Diversity Project, promoting actionable change in organizations.
Matt's influence extends beyond the boardroom, evident in his recognition in programs like the Goldman Sachs 10,000 Small Business Program. Under his leadership, LGBT Great has earned titles like Most Inclusive Finance Sector Community, with Matt personally honored as the Best Financial Services Inclusivity Leader. His story underscores the transformative power of resilience, shaping a future where diversity flourishes.
You can follow Matt and LGBT Great on Twitter: @MattJCam @LGBTGreat and LinkedIn.
Shreyas Dutta
Insights and Research Consultant, LGBT Great
Shreyas is an Insights and Research Consultant at LGBT Great, where he supports the delivery of a wide range of research and insights projects. Having recently completed an MA in International Relations from the University of Essex and a BSc in Economics at Symbiosis International University Pune, India, Shreyas is particularly interested in LGBTQ+ policy and current affairs.
After completing their BSC, they co-founded Economikly, an open-access research platform designed to help underrepresented students publish research and gain knowledge with no monetary barriers.
Before joining LGBT Great, Shreyas worked with Ogilvy in their account management department and gained experience at Routes2Roots, an India-headquartered NGO working to improve access to cultural exchange programs. Shreyas is a proud member of the LGBT+ community and has been heavily involved in public lobbying and activism for LGBT+ rights and inclusion in India.
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Includes Credits Recorded On: 07/24/2024
The Digital Operational Resilience Act (DORA) is a legislative framework in the European Union designed to ensure that financial entities are capable of withstanding, responding to, and recovering from all types of Information and Communication Technology related disruptions and threats. It encompasses end-to-end enterprise risk management with a focus on operational and IT risks of the entities in scope and aims to harmonize and strengthen the IT security requirements across the EU financial sector. Learning Outcomes: Why DORA is essential for the financial industry and its broader implications for digital security. The main areas covered by DORA: ICT risk management, incident reporting, and third-party risk management. The impact of DORA on various stakeholders, including financial institutions, customers, and third-party service providers.
The Digital Operational Resilience Act (DORA) is a legislative framework in the European Union designed to ensure that financial entities are capable of withstanding, responding to, and recovering from all types of Information and Communication Technology related disruptions and threats. It encompasses end-to-end enterprise risk management with a focus on operational and IT risks of the entities in scope and aims to harmonize and strengthen the IT security requirements across the EU financial sector.
Learning Outcomes:
Why DORA is essential for the financial industry and its broader implications for digital security.
The main areas covered by DORA: ICT risk management, incident reporting, and third-party risk management.
The impact of DORA on various stakeholders, including financial institutions, customers, and third-party service providers.
This content is beneficial to:
-- US-based financial institutions doing business in or with the European Union
-- Professionals within the global asset and wealth management industry focused on Legal Compliance, Risk Management, Data Science / Data Protection, Fraud Prevention, IT, and Operations.This program is sponsored by:
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 Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Henning Schwabe (Moderator)
Partner
Arendt & Medernach
Henning Schwabe is a Partner in the Investment Management practice of Arendt & Medernach where he specializes in investment fund law, advising both national and international clients in particular on the regulatory, corporate and organizational aspects of the structuring, creation and marketing of investment funds and investment companies. He advises clients on a wide range of traditional investment funds (UCITS) and alternative investment funds as well as on the legal aspects of complex investment strategies, derivatives and risk management.
Education
Henning Schwabe studied law in Cologne (Germany) and Paris (France). He holds the German first and second state exam in law as well as a maîtrise en droit from the Université Paris I Panthéon-Sorbonne.
He has been a member of the Düsseldorf Bar (Germany) since 2000 as well as of the Luxembourg Bar since 2009.
Memberships
He is actively involved within the Association of the Luxembourg Fund Industry (ALFI) in the ALFI Risk Committee and its various sub-working groups.
Co-chairman of the ALFI Cybersecurity Communications, ALFI Digital Finance Strategy and of the ALFI EMIR / OTC Derivatives working groups. He is board member of the Luxembourg Association for Risk Management (ALRiM).
He is board member of the Luxembourg Association for Risk Management (ALRiM).
Kathrin Moules
Deputy Head of Department
CSSF
Kathrin Moules is deputy head of the department responsible for supervision of Information Systems and Support PFS at the CSSF, in charge of the division of supervision of Information Systems of entities supervised by the CSSF. Prior to joining the CSSF in 2012, Kathrin worked for 12 years within international audit firms in Luxembourg and Frankfurt where she developed and performed IT and internal controls audits and reviews for Banks, PFS and Fund Managers, as well as industrial companies. She represents the CSSF in the European Central Bank’s Single Supervisory Mechanisms Network on IT Risk. Kathrin is CISA and CRISC certified and holds a Bachelor of Science in International Business Studies from the University of the West of England.
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Whether you're a seasoned professional, emerging leader, or ally committed to diversity and inclusion, this webinar provides valuable perspectives for empowering women to thrive in the workplace and beyond.
In honor of Women's History Month, our panel of accomplished leaders will share actionable ideas and personal stories that impacted their own career trajectories. Gain valuable insights and practical strategies for driving positive change in your organization. Whether you're a seasoned professional, emerging leader, or ally committed to diversity and inclusion, this webinar provides valuable perspectives for empowering women to thrive in the workplace and beyond.
Shannon Daigh (Moderator)
Executive Director, Global Head of Middle Office Product, JP Morgan
Shannon Daigh currently leads (AM Operations) Global Middle Office Product & Fixed Income Middle Office based in New York. Shannon is responsible for implementing advanced oversight data insights and instrumentation platforms as well as supporting the GFICC Business.
Shannon has 19 years of Transformation, Technology, and Operations leadership across multiple verticals and brings substantial expertise in holistic end to end strategic delivery and execution.
Shannon is a member of the JP Morgan LGBTQ+ Executive Forum, co-chairs the JPMAM Operations DEI Council, and co-chairs the NICSA Industry engagement council
Shannon holds a B.S Business Administration from the State University of New York at Geneseo with accreditations from Oxford University New College and American University Rome.
Sabaha Ahmed, CFA
VP, Credit Research, HSBC Asset Management
Sabaha Ahmed is a VP in Credit Research at HSBC Asset Management. She was selected as HSBC’s 2021 Honoree for Diversity Project North America’s Rising Star program. Prior to HSBC, Sabaha held roles at Guggenheim Partners and Albridge Solutions. She graduated from Stevens Institute of Technology with a Bachelor of Science in Business and Technology, is a CFA Charterholder, and achieved a Certificate in ESG Investing from the CFA Institute.
Sharee Hassan
Director of ESG, Northern Trust Wealth Management
Sharee Hassan is the Director of ESG where she leads the development of ESG investment capabilities within Northern Trust Wealth Management's Investment Practice. She is responsible for providing ESG education to clients and partners addressing a wide variety of ESG investing techniques, solutions and key market trends. Sharee works closely with North American investors, such as high-net-worth individuals, families, foundations and endowments on their ESG objectives. She collaborates with partners and clients by analyzing ESG portfolio exposure to guide the integration of sustainable solutions. She enjoys sharing her expertise through training sessions, client meetings, investment committees, webinars and thought leadership.
Previously, Sharee was the Associate Director of Sustainable Investing Client Engagement for Northern Trust Asset Management serving the Sustainable Investing needs of the world's largest institutional investors. Sharee was an active member of Northern Trust Asset Management's Sustainable Investing Council and Proxy Voting Committee. She also was a former co-lead on the investor-led engagement, Climate Action 100+ initiative to ensure the world's largest corporate greenhouse gas emitters take necessary action on climate change.
She enjoys sharing her time through mentoring and participating in community service events, such as the UNCF walk for education. Her hobbies include exercising, traveling and trying new cuisines.
Cinda Whitten
Head of Global Investment Operations, Nuveen
Cinda Whitten joined the firm in 2022 as the Head of Nuveen Global Investment Operations and is accountable for advancing Nuveen’s operations strategy, including delivering a transformational plan to modernize and scale operational practices, integrate currently unsupported affiliates, improve service reliability, manage regulatory risk and reduce operating costs to align with Nuveen’s focus on becoming the world’s premier provider of investment solutions.
Cinda is a seasoned, dynamic, results driven operations leader with over 20 years of global expertise and success in driving operational improvements, with measurable results in the investment management industry. Specifically, Cinda has built out and led global teams, has experience with large institutional global clients with unique requirements and understands the complex landscape of the regulatory environment that impacts operations in markets we operate.
Cinda strongly believes in winning the hearts and minds of key stakeholders, championing the development of teams through mentoring and coaching and leading process improvements across teams for the betterment of clients, team members and the organization.
Prior to joining TIAA, Cinda was Managing Director at Principal Global Investors, where she drove a multi-year global transformational program resulting in modernized technology and business processes for the Global Investment Book of Record, supported more than $350b AUM through the transformation of core investment operations, integrated unsupported affiliates and transitioned affiliates supported that were sold and developed and led the implementation of a business enablement program within operations focused on advancing technical skills of business team to build and deploy automation capabilities.
Cinda is active in the industry and has served on client advisory board with asset servicers, technology applications and conference events. She is also a member of the CIPM Association and holds a certification in Investment Performance Measurement by the CFA Institute. She holds a Master’s Degree in Business Administration and Bachelor’s of Finance from Northwest Missouri State University.
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Includes Credits Recorded On: 02/14/2024
This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.
Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines, including updates and action plans from regulatory experts.
This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.
Learning objectives:
· Structures of Alternative Investment Funds, including semi-regulated/unregulated structures
· European ESG regulation and how it impacts global and US funds
· MiCA (Markets in Crypto Assets Regulation) and related developments
This program is sponsored by:
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: Finance
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 Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Marcel Bartnik
Partner
Vandenbulke
Lawyer, admitted to the Bar in Germany (2005) and Luxembourg (2007)
- University of Saarland (Saarbrücken)
- D.E.U.G., Centre Juridique Franco-Allemand (Saarbrücken)
- D.E.A., Université Aix-Marseille III (France)
- Dr. iur. (University of Saarland, Saarbrücken)
- 2005-2019 worked with a top-tier independent Luxembourg law firm, and a leading international law firm in Luxembourg
Catherine Martougin
Partner, Baker McKenzie
Adrian Whelan (Moderator)
Global Head of Market Intelligence
Brown Brothers Harriman
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Includes Credits
Learn key differences in liquidity risk management practices in the US and EU and understand how these differences influence US and EU responses to FSB recommendations.
In July 2023, the Financial Stability Board published recommendations to address vulnerabilities from liquidity mismatch in open-ended funds, including the introduction of the liquidity bucketing requirement with direct consequences for the design of fund liquidity terms.
The internationally applicable requirement has elicited different responses in the US and EU and has highlighted the differences of liquidity management frameworks for funds across the globe.
Learning objectives:
· Examine key differences in liquidity risk management practices in the US and EU
· Understand how these differences influence US and EU responses to FSB recommendations
· Discuss operational challenges for global asset managers of addressing different frameworks within their organizations
This program is sponsored by:
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: Finance
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 Lilly Bahmani at info@nicsa.org
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Gildas Blanchard, PhD
Head of Industry Affairs
ALFI
Gildas Blanchard is Head of Industry Affairs of ALFI, the Association of the Luxembourg Fund Industry, specialized in risk management and digitalisation. He joined the association in December 2021. Before joining ALFI, Gildas was Senior Manager at Deloitte Luxembourg within the Capital Market department of the advisory practice, responsible for risk management advisory and quantitative solutions for the investment fund industry. Prior and aside to these mandates, Gildas is from an academic background in empirical quantitative research. Gildas teaches at several higher education institutions financial economics related modules and holds a Master degree in finance from the University of Durham (UK) and obtained a Ph.D degree from the University of Maastricht (NL) for his applied research on risk management and option markets which has been published in international academic journals.
Michael Derwael
Global Independent Risk Officer
MFS Investment Management
Michael Derwael is Senior Director and Independent Risk Officer for MFS Investment Management with multi-jurisdictional coverage and Conducting Person in charge of Risk Management and Valuation for the Luxembourg-based management company. He has been with MFS since 2019. He has 20+ years’ experience in the financial industry and, prior to joining MFS, helped build up risk practices at Lombard Odier Investment Managers, Luxcellence, Amundi and Quintet. Michael is an ALRiM board member and co-chair of the ALFI Liquidity Risks working group. He is an adjunct professor at the University of Luxembourg, trainer at House of Training and holds the FRM and CEFA certifications.
Mike Sommer
Head of Risk & Compliance Europe
Schroder Investment Management Europe S.A.
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