Compliance & Legal
Learning programs are listed below. Visit our blog for additional content on this topic.
Compliance & Legal Webinars
A Global View on Alternative InvestmentsContains 2 Component(s) Includes a Live Web Event on 07/22/2020 at 10:00 AM (EDT)
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.
The Future of Marketing and Regulatory CommunicationsContains 2 Component(s) Includes a Live Web Event on 07/15/2020 at 2:00 PM (EDT)
Join our panel of experts, sponsored by Broadridge, as they dive into the current regulatory environment guiding marketing communications, as well as leading oversight and tracking techniques. Learn from different industry perspectives how firms are approaching and managing their communications strategies.
Reg BI: Implementation & ImplicationsContains 1 Component(s) Recorded On: 05/27/2020
Gain insights into the best practices on implementing Reg BI rules. Our panel of experts will explore what best practices broker-dealers, registered investment advisers, and dual registrants are developing in order to enhance transparency and investor relationship quality.
COVID-19: Regulatory Climate Update & Relief BriefingContains 1 Component(s) Recorded On: 04/01/2020
Industry regulatory experts assess the regulatory climate, including current and pending regulatory relief for fund managers, registered investment companies and respective boards.
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)