Join us for an in-depth session exploring the evolving legal and regulatory frameworks shaping the adoption of Artificial Intelligence in asset and wealth management. This webinar will deliver a comprehensive overview of key compliance issues, data privacy concerns, and the regulatory landscape influencing AI integration. Gain actionable insights to help your organization navigate these challenges effectively, mitigate risks, and ensure alignment with evolving industry standards.

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.

Join Nicsa for an insightful session on the growing importance of sustainable investment funds and their incorporation of ESG (environmental, social and governance) factors in the global investment landscape, with a special focus on Luxembourg’s pivotal role in this space.

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.

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.

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.

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 webinar is aimed at providing information on new developments, regulations, and trends that global asset managers should be tracking for the months ahead.

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.

A best-practices approach to US State Legislation in asset & wealth management.

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.

​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.

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.

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 featu​ring 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.

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.

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.

​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.

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.

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.

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.

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?

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.

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.

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.

Best practices for battling bad actors.

Best practice tips for cybersecurity compliance in a work-from-home environment.

Learn more about the the CARES Act and its impact on the retirement community.

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.

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.

Industry regulatory experts assess the regulatory climate, including current and pending regulatory relief for fund managers, registered investment companies and respective boards.

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.

Given fast-evolving technology applications within the asset management industry, data protection remains a critical business imperative.

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.

This webinar will discuss the adoption of Regulation Best Interest (Reg BI) and its effect on broker-dealers, investment advisors, and asset managers.

GDPR considerations including governance and compliance management.

Join Nicsa’s panel of experts as we discuss what it takes for transfer agents to stay compliant.

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)

NOTICE, ACCESS & E-DELIVERY IN THE TRANSITION PERIOD

Investment firms with an international footprint are beginning to integrate a global view on their overall compliance policies and programs.

Join our panel of experts to explore the key aspects and required action items related to the 30e-3 ruling.

Broadridge’s VP of Regulatory Products on Rule 30e-3 and the impact on asset managers.

An overview of biometrics technologies.

Recognition and Response Best Practices

Social engineering recognition and response. (10/01/2018)

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.

How do compliance departments keep up?

Commonalities and team building.

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.

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.

Join Nicsa for a 30-minute guided tour of the 2018 Transfer Agent Compliance Guide.