2020 General Membership Meeting
October 7-9, 2020
Nicsa’s Virtual General Membership Meeting will provide timely and imperative insight into critical business pathing for the global asset management industry.
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Reflections on Our Path Forward: A message from Teresa Heitsenrether, Global Head of Securities Services, J.P. Morgan
Reflections on Our Path Forward: A message from Teresa Heitsenrether, Global Head of Securities Services, J.P. Morgan
Speaker: Teresa Heitsenrether, Global Head of Securities Services, J.P. Morgan
Pop-Up Presentation Sponsor
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Proxy voting is far from a simple and straightforward process. Having better technology and a partner to ease the process every time a proxy is needed can eliminate disruption and increase efficiency. Mediant’s proxy solutions focus on customized campaigns while maximizing voter participation. We help you plan and manage the aspects of the proxy event from developing a comprehensive strategy to meeting date reporting and beyond.
The Smart Choice for Fund Proxy
Proxy voting is far from a simple and straightforward process. Having better technology and a partner to ease the process every time a proxy is needed can eliminate disruption and increase efficiency. Mediant’s proxy solutions focus on customized campaigns while maximizing voter participation. We help you plan and manage the aspects of the proxy event from developing a comprehensive strategy to meeting date reporting and beyond.
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Adapting to the New Normal - How Technology is Reshaping Priorities within the Asset Management Industry
Adapting to the New Normal - How Technology is Reshaping Priorities within the Asset Management Industry
Speaker: Chris Perry, President of Broadridge Financial Solutions
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2020 has been the year that stopped the world in its tracks but can organisations use it as an opportunity to reset and refocus? This broad-ranging conversation between the US Banking Editor of the FT and the MD of Horizon8 focuses on the potential path forward for business and the promise that utilizing technology brings.
The Need for Speed: Transforming Customer Onboarding
Speakers: Patrick Horgan of Horizon8 in conversation with Laura Noonan, US Banking Editor, Financial Times in conversation with Horizon8
2020 has been the year that stopped the world in its tracks but can organisations use it as an opportunity to reset and refocus?
This broad-ranging conversation between the US Banking Editor of the FT and the MD of Horizon8 focuses on the potential path forward for business and the promise that utilizing technology brings.
Topics touched on will include:
- The cost to business of AML breaches and utilizing technology to prevent financial crime
- Tech and tools to mitigate errors and risk
- Transforming digital onboarding
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Firms are well aware that they must deliver on consumer demand for a personalized, streamlined digital experience in order to remain competitive. The next-generation’s higher expectations for the digital customer experience are directly impacting how advisors are doing business and what advisors and investors expect asset managers to provide.
The Digital Experience
Speakers: Mike Cogburn, Head of Digital Consulting and Innovation at SS&C Technologies
Firms are well aware that they must deliver on consumer demand for a personalized, streamlined digital experience in order to remain competitive. The next-generation’s higher expectations for the digital customer experience are directly impacting how advisors are doing business and what advisors and investors expect asset managers to provide. Mike will discuss:
- Why the digital experience is now an industry differentiator
- Share recent research findings and trends, including why the industry will see more marketing to retail direct investors by more firms
- Provide recommendations to enhance digital experience as it relates to the financial advisor experience
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Are you thinking of expanding your product lineup with the addition of Exchange-Traded Funds (ETFs)? The ETF market is different from the mutual fund market with the various product wrappers and the role of the Authorized Participant.
Expand Your Product Lineup with the Addition ETFs
Speakers: Emmy Bernard, Senior Managing Director; Joseph Higgins, Senior Director; Jennifer Hoopes, Senior Managing Director and General Counsel; Jason Knight, Managing Director; David Whitaker, President
Are you thinking of expanding your product lineup with the addition of Exchange-Traded Funds (ETFs)? The ETF market is different from the mutual fund market with the various product wrappers and the role of the Authorized Participant. Join Foreside, as our panel of experts walks through topics including:
- The increase in ETF product options of the past few years;
- How ETFs differ from Mutual Funds;
- What we estimate the cost and time to market are ;
- What service providers you will need to be successful; and
- What to consider when bringing your product to market.
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Richard Henderson from Financial Times sits down and interviews Eric Johnson, President, Global Investment Companies at DFIN, and discusses how the pandemic has altered top priorities for asset management companies, the importance of technology and digitalization, and how companies are navigating the new normal.
How has the Pandemic Altered the Top Priorities for Asset Management Companies?
Speakers: Richard Henderson, Financial Times; Eric Johnson, DFIN
Richard Henderson from Financial Times sits down and interviews Eric Johnson, President, Global Investment Companies at DFIN, and discusses how the pandemic has altered top priorities for asset management companies, the importance of technology and digitalization, and how companies are navigating the new normal.
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The COVID-19 pandemic has been the ultimate test of resilience for capital markets firms. Join this session for industry insights from FIS SVP, strategic innovation executive, Tony Warren. Tony will reveal the latest findings about the impact of COVID-19 on the capital markets, based on our exclusive Readiness research. Then explore how firms are now leveraging service providers through cloud computing and Business Process as a Service(BPaaS) to solve the bigger issues that have faced the industry for years.
The Two Paths to Resiliency During COVID-19
Speaker: Tony Warren, SVP, strategic innovation executive, FIS
The COVID-19 pandemic has been the ultimate test of resilience for capital markets firms. Join this session for industry insights from FIS SVP, strategic innovation executive, Tony Warren. Tony will reveal the latest findings about the impact of COVID-19 on the capital markets, based on our exclusive Readiness research. Then explore how firms are now leveraging service providers through cloud computing and Business Process as a Service(BPaaS) to solve the bigger issues that have faced the industry for years.
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Covid-19 has shined a light on need for building better strategies for the collection of diversity data. Building back better on data collection presents an opportunity for firms to strengthen and retain their ‘social’ license to operate. Data is the ‘bedrock’ of all businesses and people are the single most important contributor of commercial success. Robust data enables us to recognised trends and patterns and influence crucial decision making and also enables us to see barriers and new opportunities. As a sector, the investment and savings industry has traditionally invested considerable money and resource into to understanding the behaviour patterns of clients, savers and investors. Yet when it comes to our own workforces, the data we have available about our own people ‘at home’ is considerably less. This insightful conversation by Matt Cameron will explore some of the macro-industry trends on collecting data on diversity dimensions and provide some thought provoking tips for moving the topic from just being about the numbers.
Diversity Data - What, Why and How?
Speaker: Matt Cameron, Global Managing Director, LGBT Great
Covid-19 has shined a light on need for building better strategies for the collection of diversity data. Building back better on data collection presents an opportunity for firms to strengthen and retain their ‘social’ license to operate.
Data is the ‘bedrock’ of all businesses and people are the single most important contributor of commercial success. Robust data enables us to recognised trends and patterns and influence crucial decision making and also enables us to see barriers and new opportunities.
As a sector, the investment and savings industry has traditionally invested considerable money and resource into to understanding the behaviour patterns of clients, savers and investors. Yet when it comes to our own workforces, the data we have available about our own people ‘at home’ is considerably less.
This insightful conversation by Matt Cameron will explore some of the macro-industry trends on collecting data on diversity dimensions and provide some thought provoking tips for moving the topic from just being about the numbers.
Pop-Up Presentation Sponsor
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Includes Credits
Named four times to Time Magazine’s world’s most influential people list and Fortune’s World’s Greatest Leaders for 2018 list, James Dimon is a catalyst for innovation. Don’t miss this exclusive opportunity to hear Jamie’s perspective on how firms across the industry can cultivate diverse leadership, enhance employee satisfaction and position themselves in the global economy. This session will be immediately followed by the closing remarks and conference wrap up.
2:00PM - 2:45PM EST - Closing Fireside Chat with JP Morgan's Jamie Dimon
Named four times to Time Magazine’s world’s most influential people list and Fortune’s World’s Greatest Leaders for 2018 list, James Dimon is a catalyst for innovation. Don’t miss this exclusive opportunity to hear Jamie’s perspective on how firms across the industry can cultivate diverse leadership, enhance employee satisfaction and position themselves in the global economy.
Speaker
Jamie Dimon, Chairman of the Board and Chief Executive Officer, JPMorgan Chase & Co.
Moderator
Jim Fitzpatrick, President, Nicsa
2:45PM - 3:00PM EST - Closing Remarks and Conference Wrap Up
Closing remarks and conference wrap up delivered by the emcee.
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: Personal Development
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.
Jamie Dimon
Chairman of the Board and Chief Executive Officer, JPMorgan Chase & Co.
Jamie Dimon is Chairman of the Board and Chief Executive Officer of JPMorgan Chase & Co., a global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers, small business, commercial banking, financial transaction processing and asset management. Dimon became CEO on January 1, 2006 and one year later also became Chairman of the Board. He was named President and Chief Operating Officer upon the company’s merger with Bank One Corporation on July 1, 2004. Dimon joined Bank One as Chairman and CEO in 2000.
Dimon began his career at American Express Company. Next, he served as Chief Financial Officer and then President at Commercial Credit, which made numerous acquisitions and divestitures, including acquiring Primerica Corporation in 1987 and The Travelers Corporation in 1993. Dimon served as President and Chief Operating Officer of Travelers from 1990 through 1998 while concurrently serving as Chief Operating Officer of its Smith Barney Inc. subsidiary before becoming co-Chairman and Co-CEO of the combined brokerage following the 1997 merger of Smith Barney and Salomon Brothers. In 1998, Dimon was named President of Citigroup Inc., the global financial services company formed by the combination of Travelers Group and Citicorp.
Dimon earned his bachelor’s degree from Tufts University and holds an MBA from Harvard Business School. He serves on the boards of directors of a number of non-profit institutions including the Business Roundtable, Bank Policy Institute and Harvard Business School. Additionally, he serves on the executive committee of the Business Council and the Partnership for New York City, and is a member of the Financial Services Forum and Council on Foreign Relations.
Jim Fitzpatrick
President & CEO, Nicsa
Jim Fitzpatrick is the President and CEO of Nicsa, a global asset management trade association with a mission of connecting industry participants in order to advance leading practices. Jim joined Nicsa in 2015 with 30 years of experience in senior leadership roles within the asset management industry. Working closely with the Board of Directors, Jim has set the strategic direction of Nicsa, which includes the launch of the Diversity Project North America in late 2018. The Diversity Project promotes an inclusive asset management industry and seeks to achieve diversity across all dimensions through collaborative leadership from senior business executives.
Previously, Jim was a Managing Director at Goldman Sachs Asset Management with responsibilities that included senior leadership responsibilities in both global operations and global sales roles during his career. In addition, he served as an officer of the Goldman Sachs Funds for fourteen years and served as an Independent Trustee for the Hays Series Trust until December 2017. Jim began his career with The Boston Company and later First Data Investor Services Group, a subsidiary of the surviving entity, First Data Corporation, where he held several senior management positions during his tenure.