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  • Regulatory Trends for 2021 and Beyond

    Includes Credits Includes a Live Web Event on 08/25/2021 at 2:00 PM (EDT)

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

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

    Learning Objectives:

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


    This program is sponsored by:

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Kathleen Keenan (Moderator)

    Vice President - Product Management MFRS

    Broadridge

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

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

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

    Nathan Briggs

    Partner

    Ropes & Gray

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

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

  • The Future of Retirement Plans

    Includes a Live Web Event on 08/18/2021 at 2:00 PM (EDT)

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

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

    Learning objectives:

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

    Linda York (Moderator)

    Senior Vice President

    Cogent Syndicated, a division of Escalent

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

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

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

    Jennifer Flitton

    Vice President of Federal Affairs

    Invesco

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

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

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

    Bob Shaw

    Senior Director

    SS&C Retirement Solutions

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

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

    Drew Carrington

    Senior Vice President, Head of Institutional DC

    Franklin Templeton

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

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

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

  • The Rise of MRB's

    Includes a Live Web Event on 08/04/2021 at 2:00 PM (EDT)

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

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

    Learning Objectives:

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

    · Understanding the compliance and custody implications of MRB investing

    · Learning how ESG funds might be dealing with MRBs

    Eric Simanek (Moderator)

    Partner

    Sullivan and Worcester

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

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

    Jason Wilson

    Cannabis Research and Banking Expert

    ETF Managers Group

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

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

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

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

    Kristoffer Inton

    Equity Strategist, ESG

    Morningstar

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

    Cathy LaFalce

    Managing Director and Global Head of AML Compliance Risk Management

    Citi

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

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

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

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

  • Trends in the Advisor Landscape 2021

    Includes Credits Recorded On: 07/28/2021

    Get the latest insight into the 2021 advisor landscape. Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors. Join Cogent for up-to-the-minute thought leadership on advisor preferences and insightful guidance on how to strengthen partnerships.

    Get the latest insight into the 2021 advisor landscape. Asset managers and distributors are invited to learn the importance of developing targeted and successful strategies that increase their reach and impact among financial advisors. Join Cogent for up-to-the-minute thought leadership on advisor preferences and insightful guidance on how to strengthen partnerships. 

    Learning  Objectives:

    • Understanding advisors’ current outlook and leading concerns
    • Identifying trends in product use and asset class allocations
    • Assessing current and anticipated reliance on model portfolios
    • Exploring the impact of COVID-19 on remote work and increased reliance on digital communication
    • Examining the impact of virtual wholesaler interactions and what’s working/what’s not

    Who Should Attend: Product, Marketing, Distribution, especially those with a focus on the Financial Advisor audience

    Sponsored By:

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

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

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


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

    Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

    Meredith Lloyd Rice (Moderator)

    Vice President

    Cogent Syndicated, a division of Escalent

    Meredith leads the firm’s syndicated research and evidence-based consulting focused on the financial advisor market and is the lead author of the Advisor Brandscape®report.She has close to 20 yearsexperience managing research initiatives in the wealth management industry and has explored a wide range of business issues working on the client and supplier side.Prioring to joining Escalent, Meredith worked for Chatham Partners, State Street, Charles Schwab and Synovate (now Ipsos).She holds an MBA with an emphasis on marketing and consulting from Thunderbird School of Global Management and a bachelor’s degree from Colgate University.

  • Operationalizing Data for Wholesaling

    Includes Credits

    Firms across the global asset management industry are striving to be ‘data-driven.’ Do you have a clear understanding of how your organization’s data is being used in the field? Join our panel of Business Intelligence professionals and wholesalers and discover how to utilize business analytics, data mining, and infrastructure to quickly adapt to market changes and identify valuable business opportunities.

    Firms across the global asset management industry are striving to be ‘data-driven.’ Do you have a clear understanding of how your organization’s data is being used in the field? Join our panel of Business Intelligence professionals and wholesalers and discover how to utilize business analytics, data mining, and infrastructure to quickly adapt to market changes and identify valuable business opportunities.

    Who should attend: Senior industry leaders, data analytics/business intelligence professionals, distribution leaders and wholesalers.



    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.

    Diana Blaney (Moderator)

    Product Manager and Head of Client Relations

    SS&C Technologies

    Eric Ring

    Director, Advisor Solutions Group

    Janus Henderson

    Eric Ring is the Director, Advisor Solutions Group for Metro Boston. In this role, he consults directly with financial professionals on all Janus Henderson-related products and the Knowledge Labs ® curriculum, which offers high-impact business and life-enhancing programs. Prior to joining Janus is 2016, Mr. Ring spent 11 years as a Client Advisor for JP Morgan Asset Management. He began his career in financial services as a Financial Advisor with Ameriprise Financial in 2004. Mr. Ring holds a bachelor of science degree in hotel administration from Cornell University, FINRA Series 7 and 63 licenses and CIMA® designation. He resides in the Boston area with his wife Heather and two daughters. Mr. Ring enjoys traveling and has been to 42 states and 27 countries.

    Michael Hines

    Head of Client Lifecycle Management

    Lord Abbett

    Michael Hines is responsible for ensuring the integration between Digital and Client Services and plays a critical role in re-engineering and digitalizing the client account opening process.

    Mr. Hines joined Lord Abbett in 2002 as an Internal Wholesaler for the Retail Sales Group and was promoted to Regional Representative in 2004 covering Colorado and Arizona. He joined the Strategic Relationship Group in 2005 as a Director of National Accounts and, most recently, was a Director, Relationship Management responsible for managing the business relationships and strategy efforts relating to Lord Abbett’s distribution partners, particularly custodian firms and platform providers. Prior to joining the firm, Mr. Hines was Assistant Vice President at UBS/PaineWebber for two years in the Mutual Fund Marketing area. He started his career as a Registered Representative for First Investors Corp. He has been in the financial services industry since 1998.

    Mr. Hines received his BA in history from Providence College and is a holder of the Certified InvestmentManagement Analyst® (CIMA) designation from the Wharton School of Business at the University of Pennsylvania.

  • A Global View on Alternative Investments 2021

    Includes Credits Recorded On: 07/21/2021

    Alternative investments continue to attract attention from investors around the globe. To help asset managers and fund initiators plan for the future, we have assembled a panel of global experts to review the current trends, likely trend changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2021 and beyond. This webinar will focus on current market trends in alternatives such as changes in the product landscape, when and why investors and initiators decide to enter the alternatives space, and the opportunities and challenges associated with implementing and servicing alternatives.

    Alternative investments continue to attract attention from investors around the globe. 

    To help asset managers and fund initiators plan for the future, we have assembled a panel of global experts to review the current trends, likely trend changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2021 and beyond.

    This webinar will focus on current market trends in alternatives such changes in the product landscape, when and why investors and initiators decide to enter the alternatives space, and the opportunities and challenges associated with implementing and servicing alternatives.

    Learning Objectives:

    ·       Understanding the market trends supporting alternative investments

    ·       Identifying product development trends in the global alts space

    ·      Exploring the opportunities and challenges associated with servicing alternatives

     

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

    Sponsored by:


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    Chris Meader (Moderator)

    SVP, Client Success

    Sudrania Fund Services

    Chris has more than 20 years of experience in Fund Administration and Middle and Back Office Services. Chris has held senior roles with large bank owned administrators in the US and with medium sized administrators in both Bermuda and the Cayman Islands.

    Renaud de Matharel

    CEO

    Cube

    Renaud de Matharel, CEO & Managing Partner, has 26 years of infrastructure project management and investment experience. He led the establishment of Cube in 2007, and has, since then, recruited and led the management team as a Director of the board, CEO and Managing Partner of the Manager. Mr. de Matharel led the structuring, fundraising and investment activities of Cube, and is currently actively participating, as head of the Managers’ Executive Committee, in the making of key decisions for the management of the fund’s asset portfolio.

    Prior to this, Mr. de Matharel spent 8 years with Vinci Concessions where he held executive management responsibilities as General Manager of Vinci Airport Management and Deputy General Manager of SGE Concessions where he developed, financed and managed large road and airport concession projects in Europe, America and Asia. Mr. de Matharel joined Vinci Concessions from BNP Paribas where he worked for 10 years, notably as head of Project Finance at Paribas Milan and Paribas London.

    Mr. de Matharel is a graduate of l’Ecole des Hautes Etudes Commerciales du Nord (EDHEC) and holds a Master in Economics from the University of Paris II and a Master in Business Administration from Hartford University (USA).

    Marcel Bartnik

    Lawyer, Partner

    GSK Stockmann

    Lawyer, admitted to the Bar in Germany (2005) and Luxembourg (2007)

    • University of Saarland (Saarbrücken)
    • D.E.U.G., Centre Juridique Franco-Allemand (Saarbrücken)
    • D.E.A., Université Aix-Marseille III (France)
    • Dr. iur. (University of Saarland, Saarbrücken)
    • 2005-2019 worked with a top-tier independent Luxembourg law firm, and a leading international law firm in Luxembourg

    Mark Shaw

    Partner

    Wildgen

    Mark joined Wildgen in 2018. He specialises in the structuring and distribution of regulated and unregulated funds, and has experience across the liquidity spectrum.

    Before joining our firm, Mark worked in-house at a number of fund management businesses, where he worked with internal clients, leading them through the earliest stages of the establishment of funds and management companies, through the legal and regulatory aspects of launches, and ongoing matters relating to the management, governance and global distribution of funds.

    Mark is known for his commercial and pragmatic approach to issues around fund management stemming from his background in-house. His breadth of buy-side experience in the funds industry spans structures and jurisdictions and allows him to take a uniquely broad and commercial viewpoint.

    While Mark specialises in funds, he is also responsible for representing the firm in the UK, assisting clients across the full range of matters of Luxembourg law, including matters relating to Brexit. He also advises on the legal issues raised by the EU’s emerging sustainable finance regulatory regime.

    Mark is Co-Director of the UK Chapter of the Hedge Fund Association and a lecturer at the Henley Business School (hedge fund structuring). Mark holds a Bachelor of Law (hons) from the University of Birmingham. He was admitted as a solicitor in England and Wales in 2004 and has been a member of the Luxembourg Bar since 2018; he is also admitted to the Roll of Solicitors in Ireland.

  • ESG: Transforming Asset Management and Fund Distribution

    Includes Credits Recorded On: 06/02/2021

    Environmental, social, and governance (ESG) investing is a leading driver of change within the asset management industry. Join our panel of industry experts for distribution and product insights into one of the fastest growing segments of the fund industry. Our program is designed to provide value to Nicsa members with an up-to-the-minute assessment of opportunities available for asset managers and fund providers.

    Environmental, social, and governance (ESG) investing is a leading driver of change within the asset management industry. Join our panel of industry experts for distribution and product insights into one of the fastest growing segments of the fund industry. Our program is designed to provide value to Nicsa members with an up-to-the-minute assessment of opportunities available for asset managers and fund providers.

    Learning objectives:

    • Responsible investment product trends
    • Active management strategies
    • Model portfolio solutions
    • ESG asset flows
    • Institutional and retail demand metrics
    • Emerging regulatory considerations

    Who should attend: Asset Management executives, including distribution, marketing, product development and regulatory.



    This program is sponsored by:

    image

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

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

    CPEs Earned: 1
    CPE Field of Study: 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.

    Jag Alexeyev (Moderator)

    Head of ESG Insights

    Broadridge

    Jag provides distribution insights on ESG to clients of Broadridge to help expand their solutions and drive business growth. He has been a consultant and advisor to asset management executives for more than 25 years, supporting business development and product innovation.

    Specializing in ESG, he founded Impactvesting LLC, a consultancy on sustainable investments. Formerly he was senior managing director and head of global research at Strategic Insight (now part of Institutional Shareholder Services), delivering business intelligence solutions to fund industry clients across Europe, Asia-Pacific, and North America.

    Jag has authored thought leadership studies on global asset management for organizations such as Brown Brothers Harriman, SEI Investments, the Association of the Luxembourg Fund Industry, and the European Fund and Asset Management Association. He has a Bachelor’s degree from Harvard and a Master’s from the London School of Economics.

    Stefania Di Bartolomeo

    Founder & CEO

    Physis Investment

    Stefania founded Physis with the vision to disrupt the financial system and empower investors to measure and track the impact of their investments. As CEO, Stefania has developed Physis from an idea to a comprehensive data-hub and wealth management platform. She is a skilled portfolio manager with extensive global experience. She was the youngest impact investing fund manager in Europe and has published two books on sustainable finance. Stefania is a university lecturer and board member.

    Anthony Eames

    Director, Responsible Investment Strategy

    Calvert Research and Management

    Anthony Eames is a vice president and director of responsible investment strategy for Calvert Research and Management, a wholly owned subsidiary of Eaton Vance Management specializing in responsible and sustainable investing across global capital markets. He is responsible for the suite of strategies focused on responsible investing, encompassing actively and passively managed U.S. and international equity strategies, fixed-income strategies and asset allocation funds. Anthony is responsible for client communications and insights on investment strategy and portfolio positioning. He joined Calvert Research and Management in 2016 when Eaton Vance acquired the business assets of Calvert Investment Management, forming Calvert Research and Management.

    Anthony began his career in the investment management industry in 1995 with Calvert Investment Management. Over the years, he held various roles including senior vice president and national sales manager, ultimately leading Calvert’s business development and client service efforts ahead of
    Eaton Vance’s acquisition of Calvert’s business assets. He has been affiliated with the Eaton Vance organization since 2016.

    Anthony is a director of US SIF: The Forum for Sustainable and Responsible investment, the leading industry voice advancing sustainable investing across all asset classes. He is also a director of the Calvert Institute for Responsible Investing, which seeks to understand how investors can address major global challenges to drive positive impact.

    Anthony earned a B.A. from Wittenberg University. He holds the Accredited Investment Fiduciary and Accredited Asset Management Specialist designations, and FINRA Series 7, 24 and 63 licenses.

    Chad Spitler

    Founder & CEO

    Third Economy

    Chad launched Third Economy in 2018 in response to growing investor interest in his areas of expertise, sustainable and responsible investing. Chad spent four years prior as Partner, Head of Sustainability Advisory, and Chief Operating Officer (COO) at PJT CamberView. He spent 15 years prior to that at BlackRock, where he last held the role of Managing Director and COO for the Corporate Governance & Responsible Investment team. In that role, he led the team responsible for analysis of Environmental, Social, and Governance (ESG) factors within the firm’s investment processes globally across the asset classes of public equity (including proxy voting), fixed income, real estate, and private equity. Prior to BlackRock, Chad was a Senior Market Research Analyst with the Franklin Templeton Group.

    Chad is a member of the finance working group of the San Francisco Bay Conservation and Development Commission (SFBCDC), the California state regulatory agency that manages San Francisco Bay, and a member of the Dean’s External Advisory Board at the University of Michigan’s School for the Environment and Sustainability.

    He received an M.A. degree from the University of Colorado, and a B.S. degree in Natural Resource Management from the University of Michigan.

    Jayme Colosimo

    Head of Business Advisory Services and Head of ESG, Citi

    Citi

    Jayme Colosimo is the Head of ESG, North America, and is the Head of North America for Citi’s Business Advisory Services team, a thought leadership and global coverage strategic advisory group providing consulting, content, and insights to the C-Suite of Citi’s top 100 Global Markets clients on the innovation, regulatory, and technology trends impacting the investment management industry.

    Prior to joining Citi in 2018, Jayme served as a Senior Economist and Strategic Advisor to White House and senior U.S. policy makers on global macroeconomic, geopolitical, and international banking issues. She managed intelligence analysts focused on national security issues, developing an expertise in alternative data and analytics, cybersecurity, and financial applications of emerging technologies. She was awarded a Presidential Daily Briefing Commendation and two Meritorious Unit Citations during her service. Earlier in her career, Jayme led a team of Relationship Officers in Zions Bank Private Services and separately served as the chief financial analyst to the CFO of Zions Bank.

    Jayme holds a Professional Certificate in Data Science from the University of California, Berkeley and completed sponsored Executive Education at The John F. Kennedy School of Government at Harvard University. She holds a certification in Advanced Editing from the Poynter Institute School of Journalism and in 2020, graduated from a year-long certificate program in Data Visualization from Parsons School of Design. She holds an M.B.A. with an emphasis in Organizational Behavior and a Bachelor of Arts in International Business from Westminster College in Salt Lake City, Utah.

    Jayme is an AA Certified Advanced Robotics Process Automation (RPA) Professional Developer, an American Marketing Association (AMA) Professional Certified Content Marketer, and holds Series 7 and Series 63 securities licenses.

  • Listen, Learn & Lead: Who We are: The AAPI Community

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with professionals from the AAPI Community about their personal journeys within the asset management industry including career growth opportunities, business relationships, entry into finance, and the hurdles along the way. Take away actionable guidance and tips that all business leaders - across all levels, racial identities and backgrounds - can leverage to address inequalities and prejudices in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce.

    Nicsa's Listen, Learn & Lead program is a series of important discussions around diverse segments in the asset management industry. The May 26th installment will focus on the dynamics specific to the AAPI community in the asset management industry. Advocating for the advancement of AAPI individuals, addressing the model minority myth and the challenges that poses, and fostering sponsorship to create pathways for individuals at different stages of their careers. 

    Take away actionable guidance and tips that all business leaders - across all levels, racial identities and backgrounds - can leverage to address inequalities and prejudices in the workplace, to build more inclusive organizations, and harness the benefits of a diverse workforce. 

    This program is sponsored by:


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    York Lo (Moderator)

    Head of Institutional and Retirement Product Development

    John Hancock

    Experienced asset management industry executive with proven track record of multi-billion dollar value creation for asset managers and investors and background in product development, manager selection and oversight, equity research, alternative investments and new business development in the US and Asia covering mutual funds, ETFs and private funds.

    Wayne Park

    SVP, Personal Financial Solutions

    American Century

    Wayne Park is senior vice president of Personal Financial Solutions for American Century Investments, a premier investment manager headquartered in Kansas City, Mo. Mr. Park oversees the business strategy and execution for American Century’s retail direct business and client operations, which serves more than 600,000 clients. He is based in the firm’s Kansas City office.

    Before joining American Century in 2020, Mr. Park served as head of individual investors and president of both T. Rowe Services, Inc. and T. Rowe Advisory Services, Inc.
    Previously, he served in multiple leadership positions with Vanguard, including market strategy for the high net worth segment, head of outbound marketing and head of participant services and participant education in its institutional retirement plan services division.

    Mr. Park holds a bachelor's degree in economics from State University of New York, Stony Brook, and an MBA from Pennsylvania State University. He also attended the Wharton School at the University of Pennsylvania's executive education in marketing program.

    Alice Fang

    President & CEO

    Northern Trust Global Advisors, Inc.

    Alice Fang is President & CEO of Northern Trust Global Advisors, Inc. and Head of Northern Trust Asset Management in Canada. She is responsible for the Canadian asset management operations and business strategy, and oversees the development and delivery of institutional investment management products and services and business development. She is Chair of the NT Global Advisors, Inc. board and sits on the Canadian Investment Oversight Committee.

    Prior to joining Northern Trust, Alice was Vice-President of Investment Solutions for a leading Canadian bank, where she oversaw over $85B in investments for high net worth investors, private clients and organizations. She was responsible for product and distribution strategy, investment oversight and ongoing client portfolio supervision. She was engaged in family office, asset management acquisitions and integration, was Chair of the Asset Mix Committee and sat on the Investment Committee.

    Alice is a tenured wealth and asset management professional, driving client experience and investment excellence across solutions development, oversight, distribution, client engagement and marketing and communications. She is a graduate of Trinity College, University of Toronto. Complementary to her professional life, she is an outdoor enthusiast. She is an avid runner and skier, with a traveling spirit that takes her to diverse places like Everest, Kilimanjaro or the temples in Koyasan. She loves music, is voracious reader and is currently writing a book.

  • Return to the Office - The Future of the Workforce

    Recorded On: 05/19/2021

    2020 changed the landscape of the workplace indefinitely. Join us for an open discussion around the evolution of policies and processes for returning to the 'new normal' in a post-pandemic environment. Attendees will hear from three different perspectives: HR, operations and client relations as they talk candidly about new challenges and opportunities as employees begin to return to the office.

    2020 changed the landscape of the workplace indefinitely. Join us for an open discussion around the evolution of policies and processes for returning to the 'new normal' in a post-pandemic environment. Attendees will hear from three different perspectives: HR, operations and client relations as they talk candidly about new challenges and opportunities as employees begin to return to the office.

    NEW FORMAT: At the conclusion of the panel, attendees will have the opportunity to take a deep dive into the three different perspectives via Zoom breakouts. The breakouts will be hosted by the respective panelist and attendees will be able to engage in meaningful dialogue by asking questions and sharing best practices. Attendees can sign up for the breakout of their choosing during the registration process. 


    Nicole Callies (Moderator)

    Director of Business Development

    Mars SalesFocus Solutions

    Nicole Callies leads SalesFocus Solutions’ business development efforts for the Midwest.  Nicole is responsible for generating new business as well as managing relationships with existing clients. She has 13 years of experience in the asset management industry.  Prior to joining SalesFocus Solutions, Nicole was responsible for sales & client service for US Bank Global Fund Services. Within this unique role, she has experience with working with small to large asset firms to help them use their data to grow their businesses using sales reporting systems.

    Heather Schwab

    Executive Vice President and Chief Human Resource Officer

    Ultimus Fund Solutions

    As Executive Vice President, Chief Human Resources Officer, Heather is responsible for all strategic and operational HR functions across all business lines. As a member of the executive management team, she works closely with the leadership group to align and strengthen the link between people and strategy.

    Prior to joining Ultimus, Heather gained extensive experience working in various positions of increasing responsibility at rapid growth portfolio companies in the IT, Apparel and HR specialty industries. This broad spectrum of past employment brings the perspectives and exposure necessary to facilitate developing leaders and empowering employees.

    Heather is a graduate of Miami University in Oxford, Ohio and holds her Senior Professional Human Resources certification. She is also a graduate of Leadership Cincinnati and is avidly involved in the community. In her personal time, Heather enjoys reading and spending time with her husband and three young children.

    Erika Ivanyi

    General Manager

    Capital Group | American Funds

    Erika Ivanyi is the Regional General Manager responsible for AFS Shareholder Services in San Antonio and Hampton Roads.  She has over 30 years of Operational, Service, Sales and Shared Services experience. Prior to joining Capital in 2006, Erika spent the greater part of her career in the financial services industry; both domestically and internationally.

    Paul DeSalvo

    Client Executive, Asset Managers Sales

    J.P. Morgan Securities Services

    Paul DeSalvo is a client executive in J.P. Morgan’s Corporate & Investment Bank focusing on Securities Services.  He is a sales lead within the asset management segment.  This team is responsible for building strategic partnerships with key clients across custody & fund services and prime services.

    Paul has been with J.P. Morgan since 2007.  Prior to this role he’s held various positions across Asset Management, Risk Management and Corporate Strategy. 

    Paul is a graduate of Fordham University in New York

  • The Future of Relationship Management in Asset Management

    Includes Credits Recorded On: 05/05/2021

    The events of the past year may have reshaped many ways in which asset managers interact with their clients and business partners. But changes in relationship management had already started pre-pandemic and the past year accelerated many trends. Clients continue to demand more custom solutions, advice driven relationships and simplicity. Asset managers have increasingly found ways to use technology to enhance and deepen relationships. Talent models for relationship managers have also evolved as have the way asset managers interact with clients. What is the future of relationship management and what trends will we see for the future and how to plan our resources to meet the changes?

    The events of the past year may have reshaped many ways in which asset managers interact with their clients and business partners. But changes in relationship management had already started pre-pandemic and the past year accelerated many trends.  Clients continue to demand more custom solutions, advice driven relationships and simplicity.     Asset managers have increasingly found ways to use technology to enhance and deepen relationships.   Talent models for relationship managers have also evolved as have the way asset managers interact with clients.   What is the future of relationship management and what trends will we see for the future and how to plan our resources to meet the changes?



    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.

    Eileen Norton (Moderator)

    Vice President | Managed Accounts, Alternative Investments & Structured Product Solutions

    Charles Schwab

    Eileen Norton currently leads the Managed Accounts, Alternative Investments and Structured Products Platform team at Charles Schwab. The team is responsible for managing and developing Schwab's resources for investors and advisors to create a best-in-class experience for understanding and investing
    in these products. This team is also responsible for managing Schwab’s relationships with the third-party providers who offer these products through Schwab’s platforms and providing platform consulting.

    Prior to her current role, Eileen was Director of Investment Solutions at TD Ameritrade Institutional, Inc. where she was responsible for investment product functions and leading a team spanning Alternative Investments, ETFs, Mutual Funds, Managed Accounts and Model Portfolio Solutions, as well as Asset
    Manager Relationships. This team was responsible for product management and development surrounding these investment products.

    During her career, Eileen has held positions at well-known financial services companies including State Street, BZW Barclays Global Investors, Fidelity Investments, LPL Financial and Voya Financial. Her core experience includes Product Management and Development, Strategic Partnerships and Programs, and
    Technology Program and Project Management.

    Eileen earned her Bachelor of Science degree in Management from Northeastern University, Boston, Massachusetts. Eileen holds the Series 7 and 63 securities registrations. She also completed the Security Industry Institute certificate program at The Wharton School of the University of Pennsylvania. Eileen
    currently serves on the NICSA Board of Directors and the Money Management Institute (MMI) Board of Governors.

    John Pavese

    Managing Director, Head of Global Relationship Management

    New York Life Investment Management

    With more than 25 years of experience, Mr. Pavese brings an extensive background in relationship management to New York Life Investments. Most recently, he was Managing Director and head of Third-Party Relationship Management at Merrill Lynch. Prior to joining Merrill Lynch, Mr. Pavese was a Corporate Vice President and National Relationship Product Manager at UBS Financial Services with the Mutual Funds Consulting Services Group. Mr. Pavese received his Bachelor of Science degree from Kean College.

    Stacy Bernstein

    Head of Financial Intermediaries

    American Century

    Stacy Bernstein is the Head of Financial Intermediaries and Strategic Development for American Century Investments.

    With 25 years in the financial services industry, Stacy has a proven track record of building and managing strategic partnerships. She has demonstrated success in developing channel distribution, expanding market share and strategic positioning of investment products.

    Thomas Jones

    Head of Strategic Relations

    Columbia Threadneedle

    Mr. Jones is head of Strategic Relations for Columbia Threadneedle Investments. Thom leads the team responsible for business development including corporate enterprise relationships, National Accounts, Advisory Research as well as DCIO and sub-advisory retirement relationships. Thom also serves on several firm leadership committees including Product, Fiduciary, Managed Accounts and Strategy. He joined Columbia Threadneedle Investments in 2014.

    Previously, Mr. Jones was senior vice president, director of U.S. Business Development and Client Strategy for Pioneer Investments. He served on the firm’s U.S. Operating Committee, the Management Committee of Pioneer’s U.S. Distribution organization, was a leader of the Global Strategic Partnership group based in London, sat on the U.S. Product Development Committee and led the firm’s Alternative Investment Task Force. Prior to that, he was director of
    National Accounts at Deutsche Bank Asset Management where he was responsible for existing business and the
    implementation of new channel business lines including structured products and alternative Investments. Mr. Jones also served in several leadership roles within intermediary distribution as Managing Director of Putnam Investments and began his career as a Financial Advisor. He has been a member of the investment community since 1993. Mr. Jones received a Bachelor of Science Degree from the University of New Hampshire.