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  • Democratization of Alternatives

    Includes Credits Includes a Live Web Event on 04/28/2021 at 2:00 PM (EDT)

    Alternative investments continue to attract attention from investors around the globe. Join our panel of industry experts, sponsored by Ultimus Fund Solutions, as we take a deep dive into the global trends that are driving the alternatives market. Hear the latest insights on the variation of product structures and the evolving opportunities on the distribution landscape.

    Alternative investments continue to attract attention from investors around the globe. Join our panel of industry experts, sponsored by Ultimus Fund Solutions, as we take a deep dive into the global trends that are driving the alternatives market. Hear the latest insights on the variation of product structures and the evolving opportunities on the distribution landscape.

    Learning objectives:

    • Market trends
    • Product structure options 
    • Regulatory drivers
    • Distribution landscape

    Who should attend: Mutual fund sponsors; alternative asset managers; RIAs; ops, product, legal, and distribution executives; trustees; consultants

    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: 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.

    Nick Darsch (Moderator)

    SVP, Business Development

    Ultimus Fund Solutions

    Nickolaus Darsch joined Ultimus in July 2019 as Senior Vice President, Business Development. In this position, he focuses on building strategic relationships with investment advisers to help support product, operations and asset growth. Nick is also responsible for contributing to firm growth strategies, market analysis and reporting as well as cultivating partnerships with centers of influence.

    Prior to Ultimus, Nick held multiple roles within SS&C Technologies (including predecessor firms DST Systems, ALPS and Boston Financial Data Services) in sales, strategic relationship management, product and research groups. In 2016, he was named a “Rising Star” in the Asset Management industry in by Fund Directions.

    Nick received B.S. from Bentley University in Economics and Finance and an MBA from the McCallum Graduate School of Business at Bentley University.

    Michael Stricker

    Managing Director

    FS Investments

    Mr. Stricker serves as Managing Director of Operations, providing guidance and direction for portfolio trade operations and client relations groups at FS Investments. Prior to joining FS Investments, Mr. Stricker was a Senior Vice President at Behringer Investments, leading the shareholder operations group. Prior to Behringer, Mr. Stricker held senior operations roles at both OppenheimerFunds and American International Group.  

    Mr. Stricker received his B.A. in Russian Language from James Madison University and his M.B.A. from Vanderbilt University.

    Michelle Morris

    Executive Director, Wealth Management Investment Solutions

    Morgan Stanley

    Richard Horowitz

    Partner

    Dechert

    Richard Horowitz has represented both registered investment companies, including open-end and closed-end funds, and private funds, such as hedge funds and private equity funds, for more than 20 years. He has particular experience with alternative strategy mutual funds, such as manager-of-manager funds, and closed-end funds of hedge funds and private equity funds.

    Mr. Horowitz is the co-head of Dechert’s Permanent Capital Practice and regularly advises alternative asset managers in their efforts to access permanent capital through Business Development Companies (BDCs) and closed-end funds. He has obtained SEC co-investment exemptive relief for many BDC and closed-end fund clients and regularly advises on complex co-investment issues. He obtained a unique no action letter permitting the first (and only) master/feeder BDC structure. He is a frequent speaker at conferences regarding developments and trends affecting BDCs and other alternative investment vehicles.

    Mr. Horowitz has advised some of the largest companies in the U.S. mutual fund industry, including Merrill Lynch, Morgan Stanley, and Dreyfus Family of Funds. He regularly advises mutual funds on the full range of Investment Company Act issues, including disclosure under the new summary prospectus, affiliation issues, funds, and other compliance issues. Over the years, he has worked on numerous fund merger transactions. He has obtained no action relief on behalf of clients on a variety of issues, including the ability of mutual fund wrap fee programs to charge deferred sales loads and ‘40 Act issues associated with a three-tier registered fund of hedge funds structure.

    Mr. Horowitz has organized and structured both domestic and offshore private funds. He regularly advises investment advisers on all aspects of regulatory and compliance issues under the Investment Advisers Act, including hedge fund best practices, codes of ethics, trade allocation issues, presentation of prior performance, and U.S. private placement marketing issues.

    Mr. Horowitz also advises various publicly traded permanent capital vehicles, such as REITs, on their ability to avoid coming within the definition of an investment company by relying on one or more exemptions under the Investment Company Act.

    Mr. Horowitz has been recognized by The Legal 500, which noted that “Richard Horowitz provides immediate advice and breeds confidence in his advice. He offers a very good combination of theory and practicality.”

  • Diversity Data: What is at stake? Business, Reputation and Talent

    Includes a Live Web Event on 04/22/2021 at 12:00 PM (EDT)

    The effective collection of diversity data is not just a talent issue, it is also a critical business and reputation issue. The purpose of this virtual event is launch the ‘Holding up the mirror: diversity data in the investment, wealth management and savings industry’ report. Find out how to get ahead, and align diversity data at the core of your organization's purpose. This is an LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    The effective collection of diversity data is not just a talent issue, it is also a critical business and reputation issue. The purpose of this virtual event is launch the ‘Holding up the mirror: diversity data in the investment, wealth management and savings industry’ report. Find out how to get ahead, and align diversity data at the core of your organization's purpose. This is an LGBT Great & EY Report, done in partnership with the Diversity Project UK and NICSA, the Diversity Project North America.

    Learning Outcomes:
    1. An awareness of the industry’s diversity data challenges.
    2. An understanding of the current approaches to the collection of diversity data.
    3. An appreciation of the new need to connect the request for the data with the ‘why’.
    4. An awareness how the industry ecosystem can work together to drive the agenda.
    5. The role of the c-suite in role modeling and communicating with impact

    Who should attend: This webinar is primarily aimed at CEOs/ C-Suite and HR Leaders, but will be open to all.


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    Justine Phoenix (Moderator)

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

    Nicsa

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

    Matt Cameron

    Global Managing Director

    LGBT Great

    Matt is an experienced talent management, diversity and organisational development leader with extensive experience within the investment and savings industry. A proven track record in inspiring others, developing effective strategies, programme execution, managing diverse teams and building effective partnerships.

    Originally from Lancashire in northern England, he holds a BA (Hons) degree in Modern & Medieval History with Italian from the University of Birmingham and was the first in his family to go to university. Matt takes a key role in the development and delivery of LGBT Great’s programmes and is responsible for the organisation’s strategic direction. His vision for the investment and savings industry is to achieve LGBT+ equality and inclusion maturity to
    deliver on the expectations of employees, clients and investors. His team advises a broad range of global investment, savings and wealth management firm as well as, pension trusts, hedge funds, asset owners and investment consultancies.

    Matt is a member of the Diversity Project’s Steering Committee and was awarded the 2019 Diversity Champions Award for his work on ‘Role Modelship’ and contributions to the industry diversity and inclusion agenda. You can follow Matt and LGBT Great on Twitter: @MattJCam @LGBTGreat and LinkedIn.

    Katherine Savage

    Partner, Financial Services, People Advisory Services

    EY

    Katherine has significant experience in working with Boards and Executive Committees, bringing deep expertise of understanding evolving regulatory expectations. 20+ years of leading in HR in Financial Services, managing OD, transformation, regulatory alignment, reward and cost optimization.

    Selected experience demonstrating suitability for this Engagement

    -Creation of Talent & Reward Strategies, capability frameworks aligning to Work Reimagined

    -Lead on Workforce Economics modeling, large scale OD programmes, Terms and
    Conditions harmonizations and cost optimization programmes

    -Lead advisor supporting clients on the impact of regulatory changes on remuneration
    structures, HR processes and procedures, OD and delegation of accountabilities to align
    with SM&CR requirements

    -Running of culture audits, design of performance measurement based on behaviors and
    values. Shaping Employee Value Proposition design to maximize employee productivity
    and engagement

    -Diversity and Inclusion client lead – supporting adaption of people policies and
    design of initiatives

  • Decrypting the Hype: Cryptocurrency and Tokenized Assets

    Includes Credits Recorded On: 04/07/2021

    Industry buzz regarding Cryptocurrency and Tokenized Assets abounds. In this installment of the Reality Behind Buzzwords series, we will discuss the opportunities and challenges for the asset management and financial services industries. Expert panelists will explore issues around regulatory, risk, data security, and tax considerations. Join us to take a deeper dive into the implications for traditional asset servicers in terms of accounting, custody, record-keeping, safekeeping, and regulatory reporting. Discover the growth opportunities over the next 2-5 years, and explore what it means for related technologies such as distributed ledger, and the implications to financial services as we know them.

    Industry buzz regarding Cryptocurrency and Tokenized Assets abounds.  In this installment of the Reality Behind Buzzwords series, we will discuss the opportunities and challenges for the asset management and financial services industries. Expert panelists will explore issues around regulatory, risk, data security, and tax considerations. Join us to take a deeper dive into the implications for traditional asset servicers in terms of accounting, custody, record-keeping, safekeeping, and regulatory reporting. Discover the growth opportunities over the next 2-5 years, and explore what it means for related technologies such as distributed ledger, and the implications to financial services as we know them. 

    Learning objectives:

    • Regulatory landscape
    • Risk considerations
    • Related technologies (e.g. distributed ledger)
    • Potential impact to reconciliation, trading, collateral, and liquidity services



    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.

    Andrew Beal (Moderator)

    Senior Manager, Blockchain Strategy Lead

    EY

    Andrew Beal is the West Coast Lead for EY’s Blockchain Practice, based in  San Francisco.

    Andrew has been a member of EY’s Blockchain Practice since it’s inception in 2016, and has worked with clients across financial services, healthcare, life sciences, real estate and manufacturing.

    Andrew also co-leads EY’s Digital Asset Research Center, a dedicated team of specialists that support virtual currency exchanges, custodians, protocol teams and decentralized finance projects on a wide range of governance, process, regulatory and technical matters.

    Prior to joining EY, Andrew was one of the first attorneys representing cryptocurrency companies. From 2012 – 2016, Andrew advised clients on a wide range of corporate and regulatory matters, including anti-money laundering and know-your-customer compliance, state money transmitter licensing, and some of the first Initial Coin Offerings (ICOs). His clients included leading global exchanges, protocol teams, and cryptocurrency payment processors.

    He is a frequent speaker on topics related to blockchain technology and cryptocurrency, and has presented to State and Federal regulators, state bar associations, and compliance organizations.

    Andrew is a licensed attorney in the State of California.

    Talia Klein

    Director, Custody Commercial Product Management

    BNY Mellon

    Talia Klein is a Director on the Custody Commercial Product Management team at BNY Mellon. She leads the firm’s efforts around the commercialization of custody and tokenization of digital assets. She joined BNY Mellon in October 2020 from Digital Asset Holdings, where she was a Product Manager supporting the fintech’s efforts in bringing blockchain and smart contract technology to some of the largest financial institutions in the world. She was responsible for leading the relationship with Broadridge to bring their Distributed Ledger Repo product to production. Prior to joining digital asset, Talia spent six years at J.P. Morgan in a variety of roles, most recently designing and developing the firm’s cross-line of business collateral eligibility service, the first cloud-based client-facing application within the Investment Bank’s Margin and Collateral Services. Talia holds a Bachelor of Arts in psychology from Barnard College at Columbia University and an MBA from Duke University’s Fuqua School of Business. She is proud to be named as an inventor on two pending patent applications.

    Rayne Steinberg

    Founder & CEO

    Arca

    Rayne Steinberg is Chief Executive Officer at Arca. In his role, Rayne leads the overall direction of the company and is responsible for securities structuring and risk management. Rayne has a 20-year history of financial and entrepreneurial success founding, overseeing and managing financial businesses.

    Prior to founding Arca, Rayne co-founded asset management company, WisdomTree. There, he was responsible for raising capital, creating intellectual property and building and overseeing the sales team responsible for raising $50 billion in ETF AUM. Rayne holds a Bachelor of Science Degree in Economics from the Wharton School of Business.

    Justin Chapman

    EVP Global Head of Market Advocacy & Innovation Research - Enterprise

    Northern Trust Company

    Greg Xethalis

    Partner

    Chapman and Cutler

    Greg Xethalis is a partner in Chapman's Corporate and Securities Department and a member of the firm's Investment Management Group. He represents clients in financial services and emerging technology matters.

    Greg counsels clients in the investment management, corporate, and digital asset/blockchain ecosystems. His representation of clients in the digital asset space has included registered and private fund sponsors, operators of digital asset trading, lending and custody platforms, bitcoin mining companies, clients developing tokenized platforms, and entrepreneurs and institutional clients experimenting with blockchain/DLT projects. He also counsels clients in developing ventures and building consortia to leverage blockchain technology in existing and new frameworks. Greg is a frequent speaker on developing regulatory issues relating to bitcoin, ethereum, and the adoption of distributed ledger technology.

    Greg also advises investment advisers and boards of exchange-traded fund (ETF) and mutual fund platforms in matters including fund formation, registration of shares with the Securities and Exchange Commission (SEC), and ongoing compliance matters. He represents sponsors of exchange-traded commodities (ETC) and advisers to private funds.

  • A Tech Transformation

    The COVID-19 pandemic has highlighted the potential of technology and why it could reshape the asset management landscape. With a spotlight on digital client interaction and resiliency, asset managers are adapting to the increasing importance of technology, but the industry has a way to go in terms of intervention and innovation. Northern Trust’s Dan Houlihan recently discussed this issue in an interview with Asset Servicing Times. Join us to hear Dan’s insights first hand as he shares his perspective with fellow Nicsa members, with Keith Slattery from JP Morgan.

    The COVID-19 pandemic has highlighted the potential of technology and why it could reshape the asset management landscape. With a spotlight on digital client interaction and resiliency, asset managers are adapting to the increasing importance of technology, but the industry has a way to go in terms of intervention and innovation. Northern Trust’s Dan Houlihan recently discussed this issue in an interview with Asset Servicing Times. Join us to hear Dan’s insights first hand as he shares his perspective with fellow Nicsa members, with Keith Slattery from JP Morgan.

    Learning objectives:

    • Improving inefficiencies in asset servicing
    • Current tech challenges facing asset managers
    • Integrating the investment lifecycle by streamlining processes
    • Increasing distribution through data analytics

    Who should attend: This program has broad applicability across business lines and management level.



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    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 served as the immediate past Chairman of the Board for Nicsa and as a Director on the Advisors
    Investment Trust.

    Keith Slattery

    Managing Director, JP Morgan Chase

    Keith Slattery is managing director and global head of Client Service and Solutions for J.P. Morgan’s Securities Services business. His team is responsible for client onboarding and day-to-day service delivery across all products including custody, fund accounting and administration, agency lending and cash services.

    Previously, Keith was the global head of the Traditional Fund Accounting and Administration business.  In that role, he worked closely with partners from the product development, operations and technology teams to develop and deliver fund accounting and administration services for both asset managers and asset owners.       

    Prior to joining J.P. Morgan, Keith worked at State Street as a senior vice president in global services where he had responsibility for service delivery, new business development and product strategy for the fund administration business.  Preceding that, Keith worked at Investors Bank & Trust Company as senior director of mutual fund administration, after having developed the firm’s Investors University and global training and development programs. 

    Keith received a B.S. in management science, accounting and economics from Boston College and was a registered C.P.A. in the Commonwealth of Massachusetts for over 25 years.

    Jib Wilkinson (Moderator)

    Principal

    Deloitte

    Jib is a Principal in Deloitte Consulting’s Financial Services and Technology practice helping buy side and asset servicing clients in major business transformations including merger integration, technology strategy & implementation, operations improvement, and cost reduction.

    Jib focuses on the intersection of investment management, data, and technology. He has 20+ years of experience in information technology including19 years of experience dedicated to operations and technology for buy-side securities and investment management firms.

  • ETFs: Optimizing Your Product and Distribution Strategy

    Includes Credits Recorded On: 03/24/2021

    Join our panel of industry executives as they discuss ETF trends, and how to fully optimize your product and distribution strategy. The panel will review current trends in ETFs in terms of sales growth, demand and new product opportunities. We will discuss new products in the ETF space such as non-transparent and active ETFs and show how advisor and investor preferences are driving demand for ETFs.

    Join our panel of industry executives as they discuss ETF trends, and how to fully optimize your product and distribution strategy.  The panel will review current trends in ETFs in terms of sales growth, demand and new product opportunities. We will discuss new products in the ETF space such as non-transparent and active ETFs and show how advisor and investor preferences are driving demand for ETFs.

    Who should attend: sales, marketing, distribution, product, client service and relationship managers


    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: 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.

    Matt Schiffman (Moderator)

    Principal - Distribution Insight

    Broadridge

    Matt has more than three decades of financial services industry experience in sales, marketing and financial product development. Matt and his co-founders of Atom Analytics joined Broadridge in July of 2018. At the firm, the team partners with clients to translate customer data into meaningful actions that improve business outcomes. Most recently, he served as Legg Mason’s first Global Head of Marketing where he was responsible for the global distribution group’s marketing strategy and execution, global brand development, thought leadership, practice management and e-business. He also oversaw the firm’s marketing to defined contribution, insurance and other platform and product manufacturers, led the learning and development team, was a member of the firm’s Operating Committee and served as a company spokesperson appearing on CNBC and in industry trade media. Previously Matt was head of retail distribution for the Americas at Legg Mason.

    Marc Zeitoun

    COO-North America Distribution/Head of Strategic Beta

    Columbia Threadneedle

    Jennifer Hoopes

    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. Sherecently 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.

    Ed Rosenberg

    Senior Vice President, Head of ETFs

    American Century

    Ed Rosenberg is senior vice president and head of exchange traded funds for American Century Investments, a premier investment manager headquartered in Kansas City, Missouri. Before joining American Century Investments in 2017, Ed was a senior vice president and head of ETF capital markets and analytics at Northern Trust’s FlexShares. Previously, he was director and head of capital markets and analytics at Russell Investments. Prior to that, Ed was an ETF product manager at Vanguard.

    Ed holds a bachelor’s degree in business administration from Muhlenberg College, and a master's degree in business administration from Pennsylvania State University.

    Mark Donoghue

    Managing Director - Head of Global ETFs & SMA's

    Merrill Lynch Wealth Management

  • Listen, Learn & Lead: Empowering and Sponsoring Women

    Recorded On: 03/11/2021

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. In acknowledgment of International Women's Day on March 8, this installment will focus on empowering and sponsoring women both within your organization and throughout the global asset management industry. Advocating for the advancement of women is crucial for improving gender balance and diversity in leadership teams, while sponsorship can create successful pathways for women at different stages in their careers.

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. In acknowledgment of International Women's Day on March 8, this installment will focus on empowering and sponsoring women both within your organization and throughout the global asset management industry. Advocating for the advancement of women is crucial for improving gender balance and diversity in leadership teams, while sponsorship can create successful pathways for women at different stages in their careers.

    The panel features three great perspectives from senior industry executives. Attendees will also hear insights around what male leaders can do as allies and advocates.

    This program is sponsored by:

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    Christine Tucker

    Chief Customer Experience Officer

    Pacific Life

    Christine leads Pacific Life’s client experience strategy unifying cross-functional teams to create a holistic, client-obsessed experience to support long-term corporate and business divisions’ strategic goals. She is responsible for building end-to-end client experience strategy for scale and efficiency while championing the voice of the customer as one company. Further, she leads and aligns innovation efforts, enterprise customer insights and customer journeys to bring new solutions and experiences to market more efficiently. Christine joined Pacific Life in 2008 and has over 30 years’ experience within the retirement and financial services industry. She has held a variety of leadership roles in annuity and retirement product development, marketing and sales.

    Active in several diversity, equity and inclusion initiatives within the financial services industry, Christine serves on Pacific Life’s enterprise DEI Council and co-chairs the Women @ PL connections group. A third generation Southern California native, Christine and her husband live in Long Beach, California.

    Shannon Hobbs

    SVP and Chief Human Resource Officer

    American Century

    Shannon Hobbs is senior vice president and Chief Human Resources (HR) Officer for American Century Investments®.

    Hobbs, who joined American Century Investments in 2020, leads the Human Resources team as it partners with company leaders to develop strong workplace practices designed to contribute to the success of the global asset management firm's clients, employees, owners and communities. She oversees diversity, equity and inclusion; recruiting; talent management; learning and development; rewards; HR data and analytics; and community investments. She also serves on the company's Management Committee, the senior leadership team responsible for establishing and executing strategic priorities.

    Prior to joining the company, Hobbs served in HR leadership roles for 10 years at JPMorgan Chase, most recently as a managing director and head of talent. In that position, she developed a global talent strategy to ensure a reliable and capable flow of skilled professionals at all levels of the firm. She also was responsible for global talent management and learning and development for the company's 250,000 employees including overseeing performance assessments, succession planning, career development and employee and leadership development. During her time at JPMorgan Chase, Hobbs also served as head of human resources for the commercial bank division, HR lead for investor services within the corporate and investment bank, head of learning and development for JPMorgan corporate and interim head of HR for the bank's operations in France. Earlier in her career, Hobbs held senior HR positions at Smith Barney and Morgan Stanley.

    Hobbs earned a master's degree in organizational development from Golden State University and a bachelor's degree in political science from the University of South Carolina.

    Donna Wilson

    Head of Investment Due Diligence

    Invesco

    Donna Chapman Wilson is the Head of Investment Due Diligence for Invesco’s US Wealth Management Platform. She leads a team that works to bring the investment strengths of Invesco to research teams at our wealth management clients. Ms. Chapman Wilson has more than 20 years’ experience as a leader and role model within Invesco’s investment organization. She joined Invesco in 1997 as a product specialist for the fundamental growth equity teams before moving to a client portfolio manager role for Invesco Quantitative Strategies (IQS) in 1999. She was a member of IQS’s management team, with responsibility for strategic planning and direction, and led the US Client Portfolio Management team until 2016, when she was promoted to portfolio manager for the IQS US retail funds.
    Prior to joining Invesco, she held positions with J.P. Morgan, General Motors Asset Management, Mercer Investment Consulting and the Federal Reserve Board of Governors. Ms. Chapman Wilson earned an MBA in finance from the Wharton School of the University of Pennsylvania and a BA degree in economics from Hampton University. She is a member of the Board of Directors of the Women’s Bond Club of New York and a founding member of the Invesco Women’s Network.

  • FinReg Outlook 2021

    Recorded On: 03/10/2021

    Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2021, 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 year ahead.

    Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2021, 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 year ahead. 

    Learning objectives:

    ·       Understanding of the EU legislative timeline

    ·       The European agenda for 2021: SFRD and sustainable finance, AIFMD/UCITS review, ELTIFs, fund liquidity risk and liquidity management tools, MMFs, UK/EU cross-marketing after Brexit

    ·       Assessing how asset managers can prepare for regulatory implementation


    Sponsored by:


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    Lize Griffiths (Moderator)

    Partner

    Deloitte

    In her role as Real Estate sector leader for Deloitte Luxembourg and DCE, Lize has the primary responsibility for the real estate services across our audit, tax and consulting functions and driving related business initiatives and activities. She has over 20 years’ experience with a focus on the real estate investment fund sector which includes regulated and unregulated direct real estate funds, property companies and real estate debt funds.

    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).

    Olivia Moessneer

    Partner

    Elvinger Hoss

    Olivia Moessner’s practice concentrates on collective asset management and investment funds.

    Olivia advises a number of investment fund promoters and other financial institutions in relation to the set-up and structuring of their Luxembourg investment fund operations. Her practice encompasses a broad range of investment funds (UCITS, UCIs, SIFs and RAIFs) implementing various investments strategies including hedge fund strategies. 

    Member of numerous working groups of ALFI (Association of the Luxembourg Fund Industry) on various key European topics such as UCITS eligible assets, SFTR, ETFs, MIFID, PRIIPs, ELTIFs, money market funds and pension funds.

    Member of the Luxembourg Bar since 2001.

    Olivier Carre

    Partner

    PwC

    Financial Services Leader of PwC Luxembourg, joined the firm in 2003 after 5 years of experience in Audit and Consulting.

    Olivier started his career as a Financial Services Consultant and became a Partner in 2009, leading the Regulatory Advisory team since then. He was the PwC Luxembourg Banking Industry Leader from 2014 to 2017 and is member of the Global Asset & Wealth Management Leadership Team.

    Olivier has gained a broad experience in the financial services industry, especially in the investment fund and asset servicing industries, leading international engagements for Asset Managers, Wealth Managers and Financial Institutions focusing on operational change, strategic advice and regulatory compliance.

    Olivier holds a Master’s degree in Finance and Tax Law and a Master’s degree in Management and Economics Sciences from HEC-University of Liège.

    Sandra Crowl

    Stewardship Director

    Carmignac

    Sandra Crowl is Stewardship Director. Sandra joined Carmignac in 2007. She started her career at Bankers Trust Australia in 1987. In 1991, she transferred to the Paris office to manage the Foreign Exchange team. In 1993, she moved to London office where she was appointed Managing Director for the European Foreign Exchange team. In 2003, she shifted to the fund management industry joining the new hedge fund seeding firm New Alpha Advisers, a subsidiary of the alternative funds boutique ADI.  Sandra holds a Bachelor’s degree in Economics and French from the University of Melbourne. She is also a Chartered Alternative Investment Analyst (CAIA).

  • 2021 Transfer Agent Compliance Guide

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

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

  • Fraud Prevention in High Risk Environments

    Includes Credits Recorded On: 02/10/2021

    Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats.

    Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats. 

    Learning Objectives

    a.       Phishing and malware attacks 

    b.       Cybersecurity

    c.       Unemployment claims Fraud

    d.       COVID Vaccine Fraud

    e.       Call Center/Phony investors

    Who should attend: Compliance and Risk Management professionals, operations and other fund and investor services leaders.


    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.

    Marty Griffin (Moderator)

    VP, Operations

    Northeast Retirement Services

    Martin Griffin brings more than 25 years of financial services operations and distribution management expertise, working with organizations across operations, product development, finance and strategy to grow their business. Mr. Griffin oversees operations at Global Trust Company / NRS. Mr. Griffin over his career has had progressive responsibilities working in operations management at global asset management firms and global banks.

    Prior to joining NRS, Mr. Griffin held a number of leadership positions in operations, and business development. Most recently he was Vice President at State Street Bank & Trust with the Institutional Transfer Agent working with varied alternative investment managers. Prior to State Street he was Vice President at Amundi Pioneer Investments, initially overseeing Sales Operations and then focused on Business Development on the national level focusing on strategic partnerships. Earlier in his career Mr. Griffin’s roles included Director of Broker Dealer Services at BNY Mellon Asset Servicing, and varied operational roles at MFS Investment Management.

    Tony D'Elia

    Senior Director

    SS&C Technologies

    Tony D’Elia is a Senior Director in SS&C’s Global Investor and Distribution Solutions’ Regulatory Compliance Group and is currently leading Fraud Risk Management efforts. Tony joined SS&C in July 2020.

    Previous to joining SS&C, Tony was a Vice President and Director of Compliance within AllianceBernstein L.P.'s (“AB”) Legal and Compliance Department in New York, N.Y. His responsibilities included overseeing and ensuring that AllianceBernstein Investor Services, Inc. (“ABIS”), transfer agent for the AB family of mutual funds, and AB’s Managed Account/Wrap Fee Program comply with applicable regulations. Tony was also the Anti-Money Laundering Compliance Officer of AB’s domestic open-end mutual funds, AllianceBernstein Investments, Inc., the Funds principal underwriter, and ABIS. Tony also served as the Funds’ and Managed Accounts Privacy Officer. Amongst other compliance functions, Tony was involved in the firm’s e- mail surveillance program, led the firm’s Financial Crimes Control Oversight Sub-Committee participated on Information Security Risk Oversight Sub-Committee.

    Chuck Gallant

    Director

    BNY Mellon

    Chuck Gallant serves as a Director in our Asset Servicing Digital Solutions team. With over 30 years of experience in investment servicing technology and product development, he is responsible for managing the advanced digital capabilities for many of our strategic product offerings, including our web / mobile self-service technologies, fraud prevention, process optimization and automation, and data analytics tools. Chuck has served as Chief Information and Technology Officer in former roles and has held numerous strategic business and technology positions in the areas of digital transformation, portal development, data analytics and delivery, business process automation, and other customer-facing technologies. 

    Chuck earned his Bachelor of Science degree in Business Administration & Management Information Systems from the University of Massachusetts at Lowell and holds a Master’s degree in Computer Information Systems from Boston University. Chuck is also a co-chair for the NICSA Technology and Innovation Committee.

    Simon Marchand, CFE

    Chief Fraud Prevention Officer

    Nuance

    Simon Marchand is the chief fraud prevention officer of Nuance’s security and biometrics business unit.

    Certified Fraud Examiner, Simon has extensive expertise in fraud prevention, detection and management - as well as in authentication and identity - in both the banking and telecom industries, with more than 10 years of experience in the field. Prior to Nuance, Simon held key fraud prevention positions at Montreal-based Laurentian Bank, at Bell Canada, and at Québec’s Order of Chartered Administrators, where he managed its professional inspection program.

    As chief fraud prevention officer, he works closely with Nuance clients to design biometric-based fraud prevention and authentication strategies that disrupt criminals while reducing effort and friction for legitimate customers. He regularly shares his expertise in various conferences and with associations around the world and he speaks on the risks fraud and the ethical use of biometrics in the media.

  • Investment Data Science: A World Outside of Spreadsheets

    Includes Credits Recorded On: 01/27/2021

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join Nicsa and Northern Trust as we explore how to leverage the power of data in 2021 and beyond.

    Technology is changing the very nature of investing. Asset managers and asset allocators need their investment processes to be repeatable, digital, and measurable if they want to compete and succeed. It’s simply not enough for investment processes to live in spreadsheets. Digitizing the process of developing and executing investment ideas can help asset managers better measure, compare, and refine the effectiveness of those ideas. Investment Data Science (IDS) capabilities can help managers and allocators digitize, measure, and refine their investment process. Join Nicsa and Northern Trust as we explore how to leverage the power of data in 2021 and beyond.

    Learning objectives:

    • Trends in behavioral analytics, and investment analytics 
    • Driving meaningful improvements to investment strategies
    • Measuring “success” beyond traditional returns and attribution

    Who should attend: asset managers, asset owners, consultants, financial services media outlets


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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.


    Marc Mallett

    Senior Vice President - Director of Strategy, Americas Asset Servicing

    Northern Trust Corporation

    Marc Mallett is the Director of Strategy for Asset Servicing, Americas at Northern Trust.   Marc has more than 20 years of experience in financial services consulting, technology and operations.  He has held key roles at Fidelity Investments, Citisoft and most recently SimCorp, where he led Sales and Product Management for North America.

    Greg McCall

    President & CFO

    Equity Data Science

    Greg co-founded Equity Data Science in 2017 and serves as the company’s President and CFO.  Greg has spent 27 years as a fundamental investor and
    was an early member of two, billion dollar-plus funds, including WestWay Capital, a pioneering technology fund focused on disruptive change. He was
    also a portfolio manager at Sage Asset Management and the founder of Rock Crest Capital, an investment firm based in Connecticut.