Compliance & Legal
Learning programs are listed below. Visit our blog for additional content on this topic.
Compliance & Legal Webinars
A Guide to LIBOR TransitionContains 2 Component(s) Includes a Live Web Event on 11/04/2020 at 10:00 AM (EST)
The transition from LIBOR is gathering pace. Preparedness inquiries from clients and vendors have increased. Regulatory requirements, market dynamics, and business implications have evolved. Join our panel of industry experts to help assess your firm’s transition readiness.
Vendor Selection in the New NormalContains 6 Component(s), Includes Credits Includes a Live Web Event on 10/28/2020 at 3:00 PM (EDT)
Join leaders from Ultimus and a panel of industry experts, including trustee, operating officer and general counsel perspectives, for a look at best practices for vendor selection in our new normal. From navigating virtual site visits to enhancing due diligence processes, explore how industry professionals are maximizing the advantages and minimizing disadvantages of virtual vendor selection.
Modernizing Vendor Management and Strategic Partnership ModelsContains 6 Component(s), Includes Credits Recorded On: 10/21/2020
Industry conversations regarding vendor governance continue to take a front seat as strategic partnership trends continue on an upward trajectory. To what extent are diversity and inclusion policies and metrics factored into due diligence processes? Learn what industry leaders are doing to ensure their vendor governance and oversight models are modernized, effort-efficient, and effective in 2021 and beyond. How has COVID19 impacted outsourcing trends and vendor oversight?
Regulatory Roundtable: New Rules & Existing Regulations Impacting Asset ManagersContains 2 Component(s), Includes Credits Recorded On: 08/26/2020
By highlighting a variety of regulatory changes impacting asset managers, the program will help firms prepare for new and existing regulations. This panel will feature a combination of fund experts, legal professionals and compliance and regulatory executives.
A Global View on Alternative InvestmentsContains 1 Component(s) Recorded On: 07/22/2020
Alternative investments continue to attract attention from investors around the globe. To help asset managers plan for the future, we have assembled a panel of global experts to review the likely changes in the alts landscape over the coming years and the key business imperatives to keep on the radar in 2020 and beyond.
Compliance & Legal Research
Toolkit | Battling Fraudsters and Bad Actors Tip SheetContains 1 Component(s)
Nicsa’s Compliance & Risk Management Committee and TA Committee explore best practices for battling fraud during the time known as COVID-19, which brings with it its own trends and nuances.
The FinCEN Enhanced Customer Due Diligence StudyContains 1 Component(s)
Nicsa conducted a study on FinCEN Enhanced Customer Due Diligence planning in April 2018. Responses were collected from 50 firms, representing a cross section of asset managers, broker dealers, and financial services firms. (05/01/2018)
Dealer/Custodian ResignationsContains 1 Component(s)
This white paper reports on a recently-conducted survey that was designed to gauge industry preparation for, and open a dialogue about, procedural development regarding the handling of a potential surge in "orphaned" accounts triggered, in part, by the Department of Labor's April 6, 2016, fiduciary rule under ERISA, and in part by other pre-existing considerations. (02/01/2017)
Compliance & Legal Podcasts
Live From GMM: 30e-3 Action Plans for Asset ManagersContains 1 Component(s) Recorded On: 11/02/2018
Broadridge’s VP of Regulatory Products on Rule 30e-3 and the impact on asset managers.
Compliance & Legal Reference Guides
Nicsa Transfer Agency Compliance GuideContains 1 Component(s)
The Transfer Agent Compliance Guide has been prepared to assist investment companies and their various service providers by providing a comprehensive, educational resource of current compliance updates and standards as they relate to the transfer agent function within the asset management industry. (03/05/2019)
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