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  • The Virtues of Corporate Culture
    Includes Credits Includes a Live Web Event on 12/11/2024 at 1:00 PM (EST)

    Join Nicsa for an engaging Fireside Discussion where we’ll explore how to define corporate culture, protect it, and what it means to be a “culture carrier” within your organization.

    Corporate culture is one of the biggest perceived challenges in attracting and retaining top talent, according to Nicsa’s DEI Perception Study. But what truly defines the personality of an organization?

    Join us for an engaging Fireside Discussion where we’ll explore how to define corporate culture, protect it, and what it means to be a “culture carrier” within your organization.

    Nicsa is excited to bring together two thought leaders: Author and Professor Alan Kolp and Corporate Culture Expert Monica Smith. Together, they’ll offer a deep dive into the critical components of corporate culture and share strategies for positively influencing and safeguarding it.


    Learning Outcomes:
    • Gain a clear understanding of what corporate culture is and how it aligns with an organization’s core values.
    • Explore the foundational traits of corporate culture and how these evolve over time.
    • Learn actionable strategies to enhance and safeguard a company’s culture, ensuring it remains aligned with its values and goals.
    • Discover how generational shifts impact corporate culture and how to manage these dynamics effectively.
    • Learn how culture can foster deeper employee engagement and commitment to an organization’s mission.
    • Understand your role in fostering a positive corporate culture, emphasizing personal responsibility and accountability in shaping and maintaining it.


    This program is sponsored by Diversity Project North America's Next Practices Committee:

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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: Personnel/Human Resources – Non-technical 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Leadership Programs

    Program Format: Live Webinar 

    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

    Monica M Smith

    CEO and Founder

    Tradewinds Career Consulting

    After 30 years of leading diverse, multicultural teams across financial services firms in Boston, Bangalore, and New York, I founded Tradewinds Career Consulting to help organizations unlock the power of purpose-driven leadership in their organizations, domestic and global.


    During my last 12 years in corporate financial services, I focused on international leadership roles, managing global delivery, establishing new multi-national businesses and governance models, forging multi-national strategic partnerships, and contracting joint ventures.


    I navigated my career by building high-performing teams, igniting shared vision and purpose to drive innovation, deliver exceptional customer stewardship, and solve complex global challenges. My greatest career satisfaction has been sharing my experience and expertise to help international teams and colleagues achieve global initiatives. Creating Tradewinds Career Consulting enables me to draw on my deep and varied expertise to deliver bespoke consulting, advisory services, and coaching, addressing precisely the skillsets our clients want to elevate.

    Alan Kolp

    Faculty in Residence

    Baldwin Wallace University

    Alan is Faculty in Residence and former holder of the Baldwin Wallace Chair in Faith & Life and Professor of Religion at Baldwin Wallace University.  He earned degrees from Guilford College, Harvard Divinity School, and a Ph.D. from Harvard University.  Alan’s latest book, Better Humans, Better Performance, co-authored with Peter Rea and James Stoller, appeared in 2023. This was preceded by Exception to the Rule.
    Alan and Peter also wrote Integrity is a Growth Market and teamed with Pierre Everaert to write Igniting Innovation With Integrity

    Much of the work Alan does now focuses on the global aspects of business and human interaction.  Specifically, he is interested how human beings live life so they are making money and meaning.  This interest spans a diversity of cultures.  The classical virtues provide the fundamentals.  He is particularly interested in how these virtues come to play an active role in our lives and communities today.

    Before coming to Baldwin-Wallace University in 2000, Alan taught at Earlham College and Earlham School of Religion in Richmond, IN.  

    He spent a year in Germany on a Fulbright and has taught in England.  He has  been a visiting scholar at the Graduate Theological Union, University of California at Berkeley and at Kellogg College, Oxford University.  

    Rosa Licea-Mailloux (Moderator)

    Head of Compliance Americas; Chief Compliance Officer - MFS Funds

    MFS Investment Management

    Rosa Licea‐Mailloux is a vice president and head of compliance, Americas, at MFS Investment Management® (MFS®). She is also the chief compliance officer of the MFS Funds. In this role, she oversees all aspects of compliance for MFS investment products distributed throughout the Americas, collaborating with various groups across MFS to ensure all regulatory requirements are met and adhered to across the firm's various distribution channels.

    Rosa joined MFS in 2018 as a director of corporate compliance and was named to her current role in 2022. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis
    Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments.

    Rosa earned Bachelor of Arts degrees in biology and economics from Boston University, a Juris Doctor degree from the Northeastern University School of Law, and an MBA from UNC Kenan-Flagler Business School. She is an adjunct professor of financial sector compliance at New England Law | Boston.

  • Post-Election Insights: Impact on Global Policies, Markets, and Regulations
    Includes Credits Includes a Live Web Event on 12/04/2024 at 1:00 PM (EST)

    Join Nicsa for an interactive webinar as we analyze the election’s impact and explore potential outcomes in key areas affecting financial services.. This session will provide valuable insights on how asset and wealth managers can anticipate and adapt to policy shifts under the new administration, enabling them to make informed decisions and position their organizations for resilience in a changing environment.

    With the recent election behind us, the asset and wealth management industry is preparing to navigate potential changes across global policies, financial markets, and regulatory landscapes. Join us for an in-depth discussion led by experts, as we analyze the election’s impact and explore potential outcomes in key areas affecting financial services.

    This session will provide valuable insights on how asset and wealth managers can anticipate and adapt to policy shifts under the new administration, enabling them to make informed decisions and position their organizations for resilience in a changing environment.


    Learning Outcomes:
    - Gain a better understanding of how election results may shape U.S. and global financial regulations, compliance requirements, and policy priorities.
    - Explore the potential impact of policy shifts on financial markets, including specific asset classes and regions.
    - Learn strategies to proactively address regulatory and economic changes in the asset and wealth management industry.
    - Understand how to align investment strategies and portfolio management with evolving global policies and risk landscapes.


    Target Audience:
    - Asset and Wealth Managers
    - Investment Advisors and Analysts
    - Compliance and Regulatory Professionals
    - Financial Planners and Tax Advisors
    - IT and Technology Leaders in Financial Services
    - Business Strategists and Decision Makers
    - Professionals interested in understanding political changes and their effects on financial strategy


    This program is sponsored by the Invesco Ltd.

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    CPE Credits Redeemable with NASBA

    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 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Government Regulations: Compliance and Legal Implications

    Program Format: Live Webinar 


    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

    Jennifer Flitton

    Head of US Government Affairs, Invesco

    Jennifer Flitton is Head of US Government Affairs at Invesco. In this role, she works to drive Invesco's advocacy initiatives with policymakers and regulators, ensuring the firm is an influential part of the Washington conversation and solidifying Invesco's seat at the table. Ms. Flitton also leverages her expertise to provide timely political and policy insights to clients and portfolio managers.

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

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

    Rachel Stanley Nguyen

    Assistant Vice President | Federal Government Relations

    Principal Financial Group

    Rachel seeks to advance the company's advocacy efforts before Members of Congress and the executive branch. Relying on her extensive expertise, she provides support for the company's tax and retirement savings initiatives and issues.
    Prior to joining the company in 2015, Rachel served as a legislative director and tax counsel for Congressman Ron Kind. For several years she had a broad tax law practice at a regional law firm in Central New York. She also worked at Bloomberg BNA in Washington, DC.
    Rachel earned a bachelor's degree in English and German from Whitman College, a Juris Doctor (JD) cum laude from Syracuse University College of Law, and a Master of Law (LLM) in taxation from top-ranked New York University. She is a member of several industry organizations including the American Benefits Council, the American Council of Life Insurers, Business Roundtable, Investment Company Institute, and Securities Industry and Financial Markets Association.
    She lives in the DC suburbs with her husband and 3 young children.

    Michael Dembro

    Lead Investment Strategist

    MFS Investment Management

    Michael Dembro is a lead strategist of investment solutions at MFS Investment Management® (MFS®). In this role, he plays a key role in translating the challenges and opportunities facing advisors and intermediaries into insights and sales ideas and coordinating the curation and delivery of thought leadership, with the ultimate goal of creating product opportunities. Mike joined MFS in 2024 in his current role. Prior to joining the firm, he worked for nine years as a portfolio consultant at Natixis Global Asset Management and, most recently, for three years as chief investment officer at Professional Planning Group. Mike earned a Bachelor of Science degree in Economics from Brandeis University. He also earned a Master of Science in Finance degree and a Master of Business Administration degree from Boston College

  • Exploring the Recent Amendments to Regulation S-P
    Includes Credits Recorded On: 11/21/2024

    Join Nicsa for an interactive webinar exploring the recent amendments to Regulation S-P. This session will dive into the key rule revisions, offering practical tips for implementation. Additionally, attendees will learn about the critical role of incident management and how these regulatory changes impact service providers.

    This webinar will explore the recent amendments to Regulation S-P, focusing on the rule revisions and providing practical tips for implementation. The session will also cover the critical role of incident management and the impact these regulations have on service providers.


    Learning Objectives:

    Participants will gain a comprehensive understanding of the changes to Regulation S-P and the necessary policies and procedures to implement before the effective dates.


    Target Audience:

    - Compliance Officers
    - Operations Leaders
    - Service Providers and Third-Party Vendors
    - Legal Professionals
    - IT Security and Risk Management Teams
    - Training & Education Professionals


    This program is hosted by the Nicsa Compliance and Risk Management Committee 

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    CPE Credits Redeemable with NASBA

    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 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Governance and Regulations - Applicable Regulations, Compliance, and Legal Implications. 

    Program Format: Live Webinar 


    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

    Stefanie Kutch

    Director of Regulatory Compliance

    SS&C

    Stefanie Kutch is the Director of Regulatory Compliance for SS&C's Global Investor and Distribution Solutions, US. Ms. Kutch joined SS&C (formerly known as DST Systems, Inc.) in 1997 after earning a Bachelor of Business Administration degree from the University of Missouri-Kansas City.  Ms. Kutch has spent her entire career developing extensive knowledge of the financial services industry, including transfer agency and regulatory compliance initiatives related to '40 Act funds.  

    Eric Russo

    Regional Data Protection Officer

    Franklin Templeton Investments

    Eric is an attorney whose role at Franklin Templeton is as a Data Protection Officer in their Global Privacy Office. Eric's main focus is privacy issues in the Americas region, including state and federal privacy laws and regulations.

    Kenn Kern

    Executive Director, Legal and Compliance

    Morgan Stanley

    Kenn Kern is as an Executive Director on Morgan Stanley’s Tech & Data Legal team.  In this role, Kenn advises the Investment Management Division on a wide range of data security and privacy matters.

    Prior to joining Morgan Stanley, Kenn was a member of the Manhattan District Attorney’s Office where he served as Deputy Chief of the Cybercrime and Identity Theft Bureau, Special Assistant for International Relations, and Chief Information Officer. Kenn coordinated the New York City Cyber Critical Services and Infrastructure (NYC CCSI) project, an initiative focused on sharing real-time cyber threat intelligence, holding joint cybersecurity trainings, and deploying technical assistance across all of New York City’s sectors. Kenn is the recipient of the Robert M. Morgenthau Award from the District Attorney’s Association of New York State.

    Kenn received his Juris Doctorate from the University of Texas School of Law and a Master of Arts in Government from Georgetown University. Kenn began his legal career at the International Criminal Tribunal for the Former Yugoslavia (ICTY) as a legal intern on the Slobodan Milošević trial, before serving as a federal judicial clerk in the Eastern District of Texas.

    Kim Cookman (Pascalau)

    Sr. Director Compliance, CCO Office

    SS&C GIDS US

    Kim Cookman is Sr. Director in the CCO Office for SS&C’s Global Investor and Distribution Solutions Division (GIDS) US. With over 26 years in the financial services industry, she holds extensive knowledge of transfer agent compliance and oversight, applicable federal, and state regulations. Kim has broad experience leading the execution of regulatory changes and controls in an operational environment, combined with fund board level communications.

    Stephanie Tyler (Moderator)

    Manager, US Transfer Agent Global Risk & Control Compliance

    Franklin Templeton Investor Services, LLC

    Stephanie Tyler has worked at Franklin Templeton for 29 years where she leads a team focused on transfer agent regulatory compliance oversight and risk management. She is an active member on many industry committees and currently serves as the chair of the nicsa Risk and Compliance Committee. She held previous roles in project and system management focused on transfer agent technology.

  • Ask Me Anything: Your AI Questions Answered by an AI Expert
    Includes Credits Recorded On: 11/19/2024

    Join this interactive webinar for an exclusive opportunity to engage directly with an AI expert and explore real-world challenges of AI implementation in the asset and wealth management industry. Through a live Q&A format, attendees can ask their most pressing AI-related questions and receive expert advice, practical insights, and actionable strategies to maximize AI’s potential within their organizations. The session will also cover AI use cases, what makes a successful AI project, and key steps for initiating AI-driven initiatives.

    Join this interactive webinar for an exclusive opportunity to engage directly with an AI expert and explore real-world challenges of AI implementation in the asset and wealth management industry. Through a live Q&A format, attendees can ask their most pressing AI-related questions and receive expert advice, practical insights, and actionable strategies to maximize AI’s potential within their organizations. The session will also cover AI use cases, what makes a successful AI project, and key steps for initiating AI-driven initiatives.


    Learning Outcomes:

    • Gain expert insights on real-world AI implementation challenges within asset and wealth management.
    • Understand actionable steps to maximize AI's potential across various organizational functions.
    • Learn best practices for identifying and launching successful AI projects.
    • Explore AI use cases in investment strategies, client engagement, and operational efficiency.
    • Receive practical advice on overcoming common barriers to AI adoption and integration.


    Target Audience:

    This webinar is specifically designed for professionals in the asset and wealth management industry who have pressing questions about effectively leveraging AI. Whether you're interested in exploring real-world AI use cases, understanding the key components of a successful AI project, or learning the essential steps for launching AI-driven initiatives, this session will provide the expert insights and actionable strategies you need.

    • Asset and Wealth Management Professionals
    • Investment Managers and Analysts
    • Compliance and Risk Management Professionals
    • IT and Technology Leaders in Financial Services
    • Business Strategists and Decision Makers
    • Anyone interested in leveraging AI for business growth and efficiency


    This program is co-hosted by the Nicsa Next Gen Committee.

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    CPE Credits Redeemable with NASBA

    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 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Building Your Business

    Program Format: Live Webinar 


    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

    Tod McKenna

    Global Head of Data Science and Artificial Intelligence, Citi Securities Services

    Tod is a Director out of the Boston office. He is the Global Head of Data Science and Artificial Intelligence for the Data, Digital, and Innovation team within Securities Services. Tod joined Citi in 2022.

    Prior to Citi, Tod spent three years with Alpha Financial Markets Consulting where he was a client director responsible for the public and private market strategy, design, and implementation of transformative change for some of North America’s largest Asset Managers and Asset Owners. In addition, Tod was the North America head of the ESG and Responsible Investing Practice.

    Before joining Alpha, he was the Chief Operating Officer of Prudential’s Portfolio Management Group in London, where he oversaw technology, operations, and data for the £180b multi-asset manager. Prior to that, at NN IP, he was a Senior Quant, Head of Portfolio Analytics, and member of the Quant Leadership Team.

    Marissa Huertas-Crespo (Moderator)

    Assistant Vice President - Citi Securities Services

    Marissa is responsible for business development and client management within the Asset Owner and Asset Manager segments across Custody, Fund Services, and Execution Services.

    Marissa was awarded the Nicsa Rising Star Award in 2024 and is an active member of Nicsa's Next-Gen Committee. She is also a One Young World Ambassador, which allowed her to travel to Northern Ireland to meet with other representatives from 190 countries around the world to discuss solutions to the United Nation's Development Goals from her perspective in financial services.

    Marissa holds a B.A. in Economics with a concentration in finance as well as a B.A. in Political Science from Lafayette College.

  • AI Webinar Series

    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.

  • CSSF Circular 24/856 – New Guidance on Regulated Funds and Investor Protection
    Includes Credits Recorded On: 10/03/2024

    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:

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    CPE INFORMATION:

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

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

    CPEs Earned: 1 

    CPE Field of Study: Regulatory Ethics 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Applicable Regulations - Compliance and Legal Implications

    Program Format: Live Webinar 

    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

    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.

    Francois Ralet

    Head of Management Company

    Wellington

    Francois is the Head of Wellington Luxembourg SARL, the European Management Company of the Wellington Group which manages about 70 UCITS and 10 AIFs in Ireland and Luxembourg. Francois is also the Conducting Officer in charge of Risk Management and joined Wellington in October 2018. Before joining Wellington, Francois was Senior Manager at PwC Luxembourg within the risk department of the advisory practice, responsible for risk management.

    Maria Samuelsson von Oldenskiöld

    Managing Director, Head of Client Services (Fund Operations)

    EQT

    Maria Samuelsson von Oldenskiöld joined EQT in May 2022. Prior to joining EQT, Maria worked as a Global Head of Financial Reporting at Partners Group as well as many other positions at the company. She has also worked as a controller at Ashland and Manager at PricewaterhouseCoopers. Maria has over 20 years of experience within finance and as a manager all over the world.

    Maria holds a Master’s degree in Finance and Business Administration from Göteborgs University and she is also a Fellow of Certified Chartered Accountants, ACCA.

  • Introduction to AI: Its Progression from Predictive to Generative AI
    Includes Credits Recorded On: 09/26/2024

    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 

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    CPE Credits Redeemable with NASBA

    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 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Supplemental - Building Your Business

    Program Format: Live Webinar 


    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.

    Ashish G. Garg

    Banking AI & Gen AI Innovation Lead

    Accenture

    Ashish is a leader in Accenture's Banking and Capital Markets Data and AI practice. With a strong focus on innovation, Ashish leverages AI and GenAI to develop cutting-edge solutions. As a trained data scientist, Ashish brings 20 years of consulting experience, during which he has successfully built and implemented transformative programs across the customer lifecycle, driving revenue, enhancing productivity, and managing risk. Ashish is also a speaker at conferences, delivering keynotes on the impact and applications of AI. Ashish holds both a bachelor's and master's engineering degree in Mathematics and Computing from IIT Delhi.

  • The Pulse on Tailored Shareholder Reports Implementation: Impacts and Outlooks
    Includes Credits Recorded On: 09/19/2024

    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:

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    CPE Credits Redeemable with NASBA

    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 


    CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

    Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

    To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

    The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

    CPEs Earned: 1 

    Continuing Education Topic: Applicable Regulations: Compliance and Legal Implications

    Program Format: Live Webinar 


    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.

    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

    Vice President, Vendor Management Oversight

    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.

  • LGBTQ+ Inclusive Language
    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:

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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: 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.

  • Digital Operational Resilience Act (DORA)
    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:

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    CPE INFORMATION:

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

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

    CPEs Earned: 1 

    CPE Field of Study: Regulatory Ethics 

    Program Level: Basic 

    Delivery Method: Group-Internet Based

    Advanced Preparation: None 

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