Compliance & Risk Management
Learning programs are listed below. Visit our blog for additional content on this topic.
- Contains 2 Component(s), Includes Credits Recorded On: 02/14/2024
This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.
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- Contains 2 Component(s), Includes Credits
Learn key differences in liquidity risk management practices in the US and EU and understand how these differences influence US and EU responses to FSB recommendations.
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A best-practices approach to US State Legislation in asset & wealth management.
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- Contains 2 Component(s), Includes Credits Recorded On: 11/16/2022
Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines, including updates and action plans from regulatory experts.
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Nicsa, in partnership with DFIN Solutions, has published the Transfer Agent Compliance Guide to help keep our membership up to date on the current compliance standards as they relate to the transfer agent function.
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- Contains 2 Component(s), Includes Credits Recorded On: 12/08/2021
Unclaimed property professionals deal with strict and complex compliance and reporting requirements. Join our webinar of industry experts, who will discuss timely themes and industry trends.
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- Contains 1 Component(s), Includes Credits Recorded On: 12/01/2021
As European tax reclaims, ECJ recoveries and IRS obligations evolve, funds and ETFs are challenged with navigating this complex landscape. During this webinar PwC, Invesco, First Eagle and Broadridge will discuss how asset managers are gearing up for these challenges and what to expect in 2022.
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- Contains 2 Component(s), Includes Credits Recorded On: 09/16/2021
Amid an evolving regulatory environment, asset management industry professionals are focused on SEC Rule 18f-4, a modernized regulatory framework for the use of derivatives by funds. Our panel of experts featuring IHS Markit, the SEC, and the Mutual Fund Directors Forum, will discuss the 5 big questions we’re hearing from Chief Risk Officers and Chief Compliance Officers and how they relate to your firm.
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- Contains 6 Component(s), Includes Credits Recorded On: 08/25/2021
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.
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- Contains 2 Component(s) Recorded On: 03/10/2021
Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2021, including updates and action plans from regulatory experts. This webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the year ahead.
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- Contains 1 Component(s)
Nicsa, in partnership with Donnelley Financial Solutions (DFIN), has published the Transfer Agent Compliance Guide to help keep our membership up to date on the current compliance standards as they relate to the transfer agent function.
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- Contains 2 Component(s), Includes Credits Recorded On: 02/10/2021
Want to stay ahead of the emerging trends and get key insights on both developing and enhancing your firm's fraud recognition programs? Our panel of industry thought leaders share their experiences and lead participants through a discussion around recognizing and addressing the most recent fraud threats.
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- Contains 2 Component(s) Recorded On: 11/04/2020
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.
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- Contains 2 Component(s), Includes Credits Recorded On: 10/28/2020
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.
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- Contains 2 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?
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- Contains 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.
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- Contains 1 Component(s) Recorded On: 07/15/2020
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.
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- Contains 1 Component(s) Recorded On: 06/25/2020
Amid an evolving regulatory environment, asset management industry professionals are focused on synching up valuation processes with the SEC's proposed Rule 2a-5. Our panel of experts will discuss best practices for a consistent, modern approach to the determination of fair value. Join us for key takeaways of the proposed rule and its potential impact on boards, advisers, and auditors.
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Best practices for battling bad actors.
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Best practice tips for cybersecurity compliance in a work-from-home environment.
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- Contains 1 Component(s) Recorded On: 06/04/2020
Learn more about the the CARES Act and its impact on the retirement community.
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- Contains 1 Component(s) Recorded On: 06/03/2020
Risk management and operations executives share their assessment of fraud trends in the current environment and offer tips on evolving fraud prevention best practices during times of crisis.
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- Contains 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.
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- Contains 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.
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- Contains 1 Component(s) Recorded On: 03/11/2020
Asset managers from both sides of the Atlantic are offered a timely view on global legislative timelines for 2020, including updates and action plans from regulatory experts.
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- Contains 1 Component(s) Recorded On: 12/04/2019
Given fast-evolving technology applications within the asset management industry, data protection remains a critical business imperative.
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- Contains 1 Component(s) Recorded On: 12/03/2019
With regulatory change as a driver for compliance agility and Form N-PORT behind us, what is the next big thing for the back office? This webinar will focus on life after Form N-PORT, the trends and initiatives in the financial services industry.
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- Contains 1 Component(s) Recorded On: 08/13/2019
This webinar will discuss the adoption of Regulation Best Interest (Reg BI) and its effect on broker-dealers, investment advisors, and asset managers.
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- Contains 1 Component(s) Recorded On: 07/03/2019
GDPR considerations including governance and compliance management.
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- Contains 1 Component(s) Recorded On: 05/29/2019
Join Nicsa’s panel of experts as we discuss what it takes for transfer agents to stay compliant.
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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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- Contains 1 Component(s) Recorded On: 01/08/2019
NOTICE, ACCESS & E-DELIVERY IN THE TRANSITION PERIOD
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- Contains 1 Component(s) Recorded On: 12/19/2018
Investment firms with an international footprint are beginning to integrate a global view on their overall compliance policies and programs.
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- Contains 1 Component(s) Recorded On: 11/28/2018
Join our panel of experts to explore the key aspects and required action items related to the 30e-3 ruling.
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- Contains 1 Component(s) Recorded On: 11/02/2018
Broadridge’s VP of Regulatory Products on Rule 30e-3 and the impact on asset managers.
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- Contains 1 Component(s) Recorded On: 10/03/2018
An overview of biometrics technologies.
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- Contains 1 Component(s) Recorded On: 10/01/2018
Recognition and Response Best Practices
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Social engineering recognition and response. (10/01/2018)
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- Contains 1 Component(s) Recorded On: 08/29/2018
Join Nicsa for our latest Fraud Prevention program. Contact centers are under siege from fraudsters, and this Vulnerable Investor Protection webinar will detail how member firms can protect themselves from social engineering and other types of fraud.
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- Contains 1 Component(s) Recorded On: 08/09/2018
How do compliance departments keep up?
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- Contains 1 Component(s) Recorded On: 07/06/2018
Commonalities and team building.
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- Contains 1 Component(s) Recorded On: 06/20/2018
Where are we six months later? The Markets in Financial Instruments Directive (MiFID II) has brought enormous complexity to asset managers in terms of generating and processing data.
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- Contains 1 Component(s) Recorded On: 06/20/2018
Where are we six months later? The Markets in Financial Instruments Directive (MiFID II) has brought enormous complexity to asset managers in terms of generating and processing data.
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- Contains 1 Component(s) Recorded On: 05/09/2018
Join Nicsa for a 30-minute guided tour of the 2018 Transfer Agent Compliance Guide.
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- Contains 1 Component(s) Recorded On: 05/09/2018
General Data Protection Regulation comes into force across the EU on May 25, 2018.
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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)
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- Contains 1 Component(s) Recorded On: 04/19/2018
Camille Thommes from ALFI talks about challenges facing asset managers with regard to MiFID II regulation.
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- Contains 1 Component(s) Recorded On: 02/20/2018
Experts review what it takes to prepare for the upcoming Liquidity Rule deadline.
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- Contains 1 Component(s) Recorded On: 02/14/2018
Fund companies, distributors, BDs, and TAs explore the pitfalls and opportunities that exist to enhance counterparty efficiencies. A panel of stakeholders unearth the most significant pain points of the communication process and the risks/costs associated with them. A forward-looking discuss will focus on leveraging resources to ensure transparency within the mutual fund supply chain.
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- Contains 1 Component(s) Recorded On: 01/24/2018
Mutual fund sponsors and their service providers are reevaluating their operating models to support compliance with the SEC?s Mutual Fund Modernization reporting requirements and Liquidity Rule. This discussion explores the challenges that fund sponsors and administrators are facing, as well as insights on how they are responding to each of these emerging regulatory requirements.
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