2020 General Membership Meeting

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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.

  • Reflections on Our Path Forward

    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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  • Face the Membership with Tyler Mathisen

    Includes Credits

    Get the full value of knowledge from frontline industry executives as they shed light on the provocative issues that are top of mind for executive teams across the asset management industry. CNBC’s Tyler Mathisen will lead some of our industry’s top thought leaders through a discussion around the latest business trends and challenges - A must attend session for all areas of the asset management industry!

    Get the full value of knowledge from frontline industry executives as they shed light on the provocative issues that are top of mind for executive teams across the asset management industry.  CNBC’s Tyler Mathisen will lead some of our industry’s top thought leaders through a discussion around the latest business trends and challenges - A must attend session for all areas of the asset management industry! 

    Speakers

    Tyler Mathisen (moderator), Anchor, Correspondent, Program Host, CNBC

    Mellody Hobson, Co-CEO & President, Ariel Investments, LLC

    Jennifer Johnson,President & CEO, Franklin Resources, Inc. (Franklin Templeton)


    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: Business Development & Organization

    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.

    Tyler Mathisen (Moderator)

    Anchor/Correspondent/Program Host

    CNBC

    Mellody Hobson

    Co-CEO and President, Ariel Investments

    As Co-CEO, Mellody is responsible for management, strategic planning and growth for all areas of Ariel Investments outside of research and portfolio management. Additionally, she serves as Chairman of the Board of Trustees of the Ariel Investment Trust—the company’s publicly traded mutual funds. Prior to being named Co-CEO, Mellody spent nearly two decades as the firm’s President. 

    Outside of Ariel, Mellody is a nationally recognized voice on financial literacy. She has conducted extensive research on minority investing patterns and pens a column for Black Enterprise Magazine. Her leadership has also been invaluable to corporate boardrooms across the nation. She currently serves as Vice Chair of the Board of Starbucks Corporation; a director of JPMorgan Chase; and a director of Quibi, a short-form video content company. She previously served as Chairman of the Board of DreamWorks Animation until the company’s sale and was also a long-standing board member of the Estée Lauder Companies.

    Mellody’s community outreach includes her role as Chairman of After School Matters, a Chicago non-profit that provides area teens with high-quality after school and summer programs. Additionally, she is vice chair of World Business Chicago; co-chair of the Lucas Museum of Narrative Art; and a board member of the George Lucas Education Foundation and Bloomberg Philanthropies. She also serves on the board at the Los Angeles County Museum of Art (LACMA). Mellody is a member of the American Academy of Arts and Sciences, The Rockefeller Foundation Board of Trustees, and serves on the executive committee of the Investment Company Institute.

    Mellody earned her AB from Princeton University’s Woodrow Wilson School of International Relations and Public Policy. In 2019, she was awarded the University’s highest honor, the Woodrow Wilson Award, presented annually to a Princeton graduate whose career embodies a commitment to national service. She has also received honorary doctorate degrees from Howard University, Johns Hopkins University, St. Mary’s College, and the University of Southern California. In 2015, Time Magazine named her one of the “100 Most Influential People” in the world.

    Jennifer Johnson

    President, Chief Executive Officer, Franklin Templeton

    Jenny Johnson is president and chief executive officer of Franklin Resources, Inc. She is also a member of the company's board of directors. Ms. Johnson is responsible for developing the company's overall strategic direction, executing on its strategy, and advancing Franklin Templeton's client-centric culture.

    Ms. Johnson joined the company in 1988 and previously held the role of president and chief operating officer. Over the past three decades, she has managed all major aspects of the business, including investment management, distribution, customer service, fund administration, technology, and the company's high-net-worth business. She serves as a director of Fiduciary Trust Company International and several other subsidiaries of Franklin Resources, Inc.

    Ms. Johnson has been named one of Money Management Executive's Top Women in Asset Management and was chosen by her peers as one of Ignites' Most Influential Women in Fund Management. She is a recipient of the Robert L. Gould Award presented by global investment management association NICSA, which recognizes outstanding achievement in helping the mutual fund industry better serve investors through customer service, thought leadership and technology. She has also been recognized by the San Francisco Business Times as one of the Most Influential Women in Bay Area Business. Ms. Johnson is a frequent speaker at industry conferences, notably on the topics of leadership, technology and innovation.

    Ms. Johnson earned her B.A. in economics from the University of California at Davis. She is a trustee at Crystal Springs Uplands School and a board member of the Lucile Packard Children's Hospital. Ms. Johnson also serves as an advisor to Shatter Fund LLC, a venture capital firm focused on investing in technology companies led and founded by female entrepreneurs. In addition, she is a member of the NYSE Board Advisory Council, which identifies and connects diverse board candidates to NYSE-listed companies seeking new directors.

  • All Eyes on the I: Inclusion in the Workplace

    Includes Credits

    Amid a global paradigm shift, businesses must build more meaningful levels of D&I practices. The “I” has never been more important. Join our panel of thought leaders to learn how to build inclusive policies and behaviors that create work environments that are more engaging and workforces that can grow and flourish.

    Amid a global paradigm shift, businesses must build more meaningful levels of D&I practices. The “I” has never been more important. Join our panel of thought leaders to learn how to build inclusive policies and behaviors that create work environments that are more engaging and workforces that can grow and flourish. 

    Speakers

    Paul Francisco, Chief Diversity Officer, State Street
    Regina Curry, Chief Diversity Officer, Franklin Templeton
    Sarah Maynard, Global Head, External Inclusion & Diversity Strategies and Programs, CFA Institute
    Renee Baker, Head of PCG Advisor Inclusion Networks, Raymond James


    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: Personnel/Human Resources

    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.

    Renee Baker

    Head of PCG Advisor Inclusion Networks, Raymond James

    Renée Baker is head of PCG Advisor Inclusion Networks at Raymond James, providing corporate support and leadership for the Network for Women Advisors, Black Financial Advisors Network and Advisor Pride Network. In her role, she focuses on increasing representation of diverse advisors within the firm and the industry as a whole, working closely with Raymond James PCG Education & Practice Management and the firm’s head of diversity and inclusion.

    Previously, she served as chief marketing officer for Carillon Tower Advisers, a subsidiary of Raymond James, where she was responsible for the global marketing strategy for seven brands while leading a team of marketing professionals across several departments. She also has extensive asset management marketing experience across a variety of channels and geographies. Prior to joining Raymond James, she held senior-level marketing roles at various financial services firms, most recently at Aberdeen Standard Investments.

    In addition to her role, Renée is part of the Raymond James Diversity Council, serves as the firm’s national co-leader for the Mosaic Multicultural Inclusion Network and is a mentor for the Emerging Professionals Inclusion Network. Active in the community, she serves as a board member for Community Action Stops Abuse (CASA) and as a trustee for American Stage. She is also an adjunct instructor at the University of South Florida where she teaches advertising management.

    She earned a Bachelor of Science degree in finance from Rutgers University, a Master of Business Administration degree from The Pennsylvania State University, and a doctorate in Business Administration from Wilmington University. She also attended the Securities Industry Institute, hosted by SIFMA and Wharton, and has her Series 6, 63 and 26 licenses.

    Regina Curry

    Chief Diversity Officer, Franklin Templeton

    Prior to joining Franklin Templeton, Regina was the Chief Diversity Officer for Legg Mason, where she was charged with advancing diversity and inclusion initiatives globally to support their mission of “Investing to Improve Lives” and achieve the growth strategy of “Expanding Client Choice.”

    Regina previously served as the Senior Director, Global Diversity and Inclusion for McCormick & Company, Inc.  In this position she oversaw all aspects of global diversity and inclusion.  During her tenure, the organization was recognized by DiversityInc among the “Top 50 Companies for Diversity” in 2017 and 2018.

    Native of Akron, Ohio she earned a BA in Psychology from Northern Kentucky University.  She is also Green Belt certified in Six Sigma, in Center for Creative Leadership 360 assessment, Procsi Change Management, as a Senior Professional in Human Resources (SPHR) and achieved the Harvard Business School certification in Global Business in 2020.

    She is a member of the Investment Company Institute (ICI) Global Diversity and Inclusion Committee and Network of Executive Women. She is involved in the community, has served on the Board of Directors for Associated Black Charities, and has completed the Greater Baltimore Committee Civic Leadership Program.

    Paul Francisco

    Chief Diversity Officer, State Street

    Paul is the Chief Diversity Officer and Head of Workforce Development Programs at State Street Corporation. He leads the implementation of State Street’s global diversity, equity and inclusion strategies.

    Prior to joining State Street, Paul was a Managing Director and Co-Founder of Foster & Francisco, LLC, an executive search and diversity consulting firm. He has also held recruitment and Relationship Management positions at Bank of America, and Fidelity Investments, respectively. Paul is an active member of the community and is involved with a number of professional organizations.

    Most recently, Paul was appointed by Massachusetts Governor, Charlie Baker, to serve on the Black Advisory Board Commission. He has received many awards and recognitions throughout his career, including a Certificate of Achievement from Governor Deval Patrick, for his work with the Hispanic Community. Additionally, Paul was named in Boston Business Journal’s “Top 40 Under 40” in 2007, and El Planeta Newspaper Powermeter’s “100 Most Influential Latinos in Massachusetts” in 2007, 2013, and 2014.

    Paul is a Boston University and UMASS-Boston graduate. He also graduated from The Partnership Inc. Associates, Fellows, and Next Generation Executive programs. Paul lives in Boston with his wife and two daughters.

    Sarah Maynard (Moderator)

    Global Head, External Inclusion & Diversity Strategies and Programs, CFA Institute

    Sarah Maynard joined CFA Institute in 2019 in the newly created role of Global Head, External Inclusion & Diversity Strategies and Programs. Sarah leads a global, industry-recognized, external I&D program portfolio for our key stakeholders: candidates, members, societies and institutions.

    An experienced investment professional, Sarah joins us from Majedie Asset Management, an independent global investment firm based in the UK, where she was Client Communications Director and Head of Stewardship. In this role, she focused on ESG, especially governance, with a keen interest in how companies can achieve success through improving inclusion in stewardship. Prior to that, she was Director of Career Development at CFA Society UK, and a founder of their Women’s Network, which is now the Inclusion & Diversity Network. Sarah previously worked as an analyst and fund manager. She earned her MAdegree in English Language and Literature at Trinity College, Oxford, holds the ASIP and is an Associate of the Chartered Institute of Personnel & Development.

  • Path to Wellness

    Includes Credits

    The events of the last six months surely have taken a toll on most everyone. Savvy business leaders will not only assess the impact to their people, but embrace the fact that each unique human perspective is valuable. Learn how firms across the industry are addressing wellness in the workplace with a candid discussion about building and leveraging employee assistance programs (EAP) aimed at helping employees resolving issues that may be adversely affecting their performance.

    The events of the last six months surely have taken a toll on most everyone. Savvy business leaders will not only assess the impact to their people, but embrace the fact that each unique human perspective is valuable. Learn how firms across the industry are addressing wellness in the workplace with a candid discussion about building and leveraging employee assistance programs (EAP) aimed at helping employees resolving issues that may be adversely affecting their performance.

    Speakers

    Catherine Goonetileke, Partner, EY
    Stacy Korsak, Vice President, Strategic Programs, Fidelity
    Cindy Wolpert, Executive Coach and Founder, Based Coaching Associates
    Michelle Bruno, VP, Global Benefits & Wellness, FIS


    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: Personnel/Human Resources

    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.

    Michelle Bruno

    VP, Global Benefits & Wellness, FIS

    For over 40 years, Michelle has worked for large companies including Scott Paper, Towers Perrin, George Weston Bakeries (now Bimbo Bakeries) and SunGard Data Systems Inc. in various roles within HR, predominantly in the Benefits field. 

    Michelle currently serves as VP, Global Benefits & Wellness at FIS.    FIS is one of the world’s largest providers of technology solutions for merchants, banks and capital markets firms globally with annual revenue in excess of $10 billion.  FIS serves more than 20,000 clients in over 30 countries and employees 60,000 employees in 48 countries.

    In her current role, Michelle has primary responsibility for the design, administration, communication, legal compliance, and services for all Company-Sponsored Health & Welfare, Wellness and Defined Contribution Plans in the US for 23,000 employees.  Working in conjunction with Regional Benefit Managers on her Team, she is responsible for the insured benefit plans and pension schemes outside of the US for 37,000 employees in 46 countries. 

    Michelle participates on The People Office Leadership Team, the M&A Leadership Team and has served on the Board of Directors of Delta Dental of PA since 2015.   

    Catherine Goonetileke (Moderator)

    Partner, EY

    Cathy is a Partner in Ernst & Young’s People Advisory Service practice and focuses on HR and payroll strategy, risk management, compliance and operational efficiency.  She primarily concentrates on financial services, Fintech and wealth and asset management organizations regarding global rewards, risk and internal controls, HR and payroll efficiency and mobility issues. She is EY’s national leader on equity pay analytics.

    Stacy Korsak

    Vice President, Strategic Programs, Fidelity

    Stacy is the Head of Work/Life Benefits at Fidelity Investments, where she is responsible for the strategy and design of the benefits to help employees be their best self at work and home.  Stacy has been at Fidelity Investments for seventeen years and has held numerous roles throughout that time.  Prior to joining the benefits team in May of 2019, Stacy led the team responsible for identifying opportunities to improve our associate experience and help shape how our associates at every level experience their employment at Fidelity.

    Stacy received her MBA and BS in Finance / Pre-Medical Program from Boston College.

    Cindy Wolpert

    Executive Coach and Founder, Based Coaching Associates

    Cindy Wolpert, ACC, is the Founder of Results-Based Coaching Associates.  With over 10 years coaching executives and 20 years as a business leader within Fortune 100 companies, Cindy brings a blend of business acumen, credibility, and pragmatism to her coaching practice.  Cindy has the reputation to establish trust quickly, ask the right questions, and encourage leaders to utilize their strengths in new and effective ways. 

    Cindy has first-hand experience with managing a team, P&L, Product Development, M&A, Operations, Quality Assurance, and HR.  Cindy led an internal executive coaching practice at Fidelity Investments where she served as the lead executive coach and had responsibility for certification and development for over 175 internal coaches globally.

    Cindy will work with all levels of leadership on maximizing success through their leadership skills, successful transitions (within organizations, as well as into and out of), and career coaching.  She has coached leaders from the C-Suite through the front line globally in the following sectors:  Engineering, Financial, Higher Ed, Healthcare, Hospitality, Insurance, Technology, and Not for Profit.

    Cindy is a Certified Executive Coach through the International Coaching Federation, holds multiple assessment certifications, and has a Six Sigma Green Belt Certification.  Cindy received her BA in Management from Clark University.  Cindy sits on the Clark University Board of Trustees where she has chaired multiple committees including The Parent Council and Student Affairs.  She has also sat on The Coaching and Leadership Executive Council for The Conference Board, and has been a speaker for The Conference Board, USPS, UMASS Isenberg School of Management, and Clark University.  

  • Day One Wrap Up

    Day one summary delivered by the emcee.

    Day one summary delivered by the emcee.

  • Business District: Prepare to Merge

    Includes Credits

    The asset management industry is consolidating at an unprecedented pace, presenting a host of operational, technological, and human resource implications. How are firms, and the industry as a whole, navigating the intersection of businesses? From overlapping products and people, to fee and distribution alignment, our panel of industry thought leaders will reveal lessons learned from both sides of the deal.

    The asset management industry is consolidating at an unprecedented pace, presenting a host of operational, technological, and human resource implications. How are firms, and the industry as a whole, navigating the intersection of businesses? From overlapping products and people, to fee and distribution alignment, our panel of industry thought leaders will reveal lessons learned from both sides of the deal.

    Speakers

    Rhonda Dixon-Gunner, Director of Oversight and Education, Invesco
    Mattias Kristol, Co-Head of North America Financial Technology, Wealth & Asset Management, JPMorgan Chase & Co. 
    Kevin Quirk, Principal, Casey Quirk, A Deloitte Business
    Keith Totten, Managing Director, Partner, Aliter Investment Services


    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: Business Management & Organization

    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.

    Rhonda Dixon-Gunner

    Director of Oversight and Education, Invesco

    Rhonda Dixon-Gunner is Director for the North America Transfer Agency, Oversight, and Education team at Invesco. In this role, she is responsible for oversight and education, which encompasses five functions, including training and knowledge management (NA), retirement plan support (US), fund settlement and reconciliations (NA), regulatory services—including tax reporting and unclaimed property compliance (NA), and risk management, including fraud prevention and controls and risk analysis (NA).

    Ms. Dixon-Gunner joined Invesco in 2000. Prior to joining the firm, she was a vice president with Oppenheimer Funds, where she held a variety of servicing and operational leadership roles, including an account management role for third party transfer agency relationships supporting PIMCO and Nuveen.

    Ms. Dixon-Gunner earned a bachelor's degree from Regis University. She is a former board member of NICSA, an industry organization, and is currently co-chair of NICSA's Webinar Advisory Committee. She is also a member of the Invesco Women's Network (IWN) Governance Committee and oversees its nine North American chapters. She holds the Series 7, 24, and 99 registrations.

    Matthias Kristol

    Co-Head of North America Financial Technology, Wealth & Asset Management, JPMorgan Chase & Co.

    Matthias Kristol is a Managing Director in J.P. Morgan's Financial Institutions Group in New York and Co-Head of North America FinTech, Wealth & Asset Management. He leads the investment banking coverage effort for asset managers, wealth managers, and financial technology companies. He serves as a strategic adviser to clients on Mergers & Acquisitions, IPOs, and other capital raising, and financial advisory activities. Matthias has over 20 years of experience helping financial institutions, in the United States, and in over 20 countries globally.

    Matthias joined J.P. Morgan in 2007, and over his tenure worked in J.P. Morgan's London and New York offices.  Before joining J.P. Morgan, Matthias worked in financial institutions investment banking at HSBC Bank, and Putnam Lovell Securities in London and New York.

    Matthias holds a B.S. in Economics from The Wharton School, University of Pennsylvania, and grew up in Switzerland. He is fluent in German and French.

    Kevin Quirk

    Principal, Casey Quirk, A Deloitte Business

    Kevin has more than 25 years of experience in the asset & wealth management industry. He oversees many of the practices’ key client relationships and is heavily involved in developing its thought leadership. He is based in Stamford CT. 

    Kevin’s primary responsibilities are client-facing, personally advising the CEOs and executive teams of leading asset & wealth management firms on their most pressing strategic issues. Kevin has led consulting assignments on four continents and his areas of focus include global business strategy development, M&A/integration advisory, distribution organization design, and investments capability assessment & strategy. 

    Prior to joining Deloitte, Kevin was the Chairman and founding managing partner of Casey Quirk, a managing director of the Barra Strategic Consulting Group, a manager in the management consulting practice of PricewaterhouseCoopers, and he began his career at The Boston Company. Kevin earned a master’s degree in business administration from the Stern School of Business at New York University, and holds a bachelor’s degree in political science from Providence College, where he is a member of the Board of Trustees.  Kevin is also a member of the Deloitte Retirement Committee, which oversees Deloitte’s $20B+ in assets retirement plans.

    Keith Totten (Moderator)

    Managing Director, Partner, Aliter Investment Services

    Keith is a Managing Director and Founding Partner of Aliter Investment Services and is primarily responsible for client service delivery and oversight.  He is an industry leader in the financial services industry and has held management and executive roles at State Street (1997-2005), Beacon Consulting Group (2005-2013, acquired by Accenture), and Navigant Consulting (2013-2017).  Keith is an operations and technology expert with experience managing strategic projects for industry-leading service providers and asset managers and owners.  His services focus on business and operations transformation, technology strategy and implementation, risk and compliance, mergers and acquisitions, and outsourcing.  Keith is an expert in the asset servicing business including mutual funds, hedge, pensions, institutional, private equity, real estate, and insurance products. 

    Keith advises the world’s top financial institutions on successfully planning and implementing their operations and technology transformation initiatives.  He leads and oversees large engagements, helping clients implement their corporate strategies to grow and improve their business.  His extensive experience in leading technology and operations initiatives for investment management organizations and service providers has allowed him to become a trusted advisor and subject matter expert for his clients as well as an innovator to the financial services community. 

    Keith lives in Ipswich, MA with his wife and two children. He supports many community activities and is the President of Ipswich Youth Soccer and Council Member for the Boy Scouts of America.  He is also a member of the Miracle Maker Leadership Council for the Expect Miracles Foundation (Dana Farber).    

  • Stripping the Labels

    Includes Credits

    What does the business model of the future look like? By stripping the labels and integrating so-called front/middle/back offices, companies are moving boldly into the digital landscape. Process redesign requires operational and technical perspectives. Hear from firms who have reimagined their operating models, and what it means for the future of our industry.

    What does the business model of the future look like? By stripping the labels and integrating so-called front/middle/back offices, companies are moving boldly into the digital landscape. Process redesign requires operational and technical perspectives. Hear from firms who have reimagined their operating models, and what it means for the future of our industry.

    Speakers

    Whitfield Athey, Chief Executive Officer, Delta Data
    Gary Casagrande (Moderator), VP of Global Market Strategy, Confluence
    Jay Nusblatt, Managing Director, Global Investment Companies, DFIN
    Janelle Prevost, Head of Strategy and Digital, Asset Servicing, BNY Mellon


    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: Business Management & Organization

    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.

    Whitfield Athey

    Chief Executive Officer, Delta Data

    Innovative thought leader in Mutual Fund middle and back office technology. He brings his firm's substantial SME talent together with their top Asset Management and Distribution clients for a partnership that solves complex industry problems and defines the industry's roadmap for increased scalability and resiliency at a reduced cost. During his tenure at Delta Data he has transformed the company from a software provider to a core infrastructure service that connects the largest counterparties in the industry.

    Gary Casagrande (Moderator)

    Vice President, Head of Global Market Strategy, Confluence

    Gary joined Confluence in January 2016 and serves as Vice President of Global Market Strategy. He is responsible for overseeing market research analysis and forecasting market conditions to support Confluence solution growth. Gary has more than 25 years of experience in the financial services industry and an in-depth understanding of mutual fund operations, regulations, project management and quality control. Before joining Confluence, he held the position of Head of Financial Reporting and Expense Administration at BBH. Prior to that, he served as the Head of the Treasury and Portfolio Compliance group at JP Morgan. Gary has a Bachelor’s Degree from Bryant University in Business Administration with a focus on Finance.

    Jay Nusblatt

    Managing Director, Global Investment Companies, DFIN

    Mr. Nusblatt has worked in the mutual fund industry for over 30 years with a focus on Fund Administration, Regulatory Reporting and Client Management.  At DFIN, Jay is responsible for the growth and development of the Arc Suite’s SaaS solutions within the mutual fund industry. Previously, Mr. Nusblatt served as Managing Director and Head of U.S. Fund Accounting and Administration for BNY Mellon’s asset servicing group.

    Janelle Prevost

    Head of Strategy and Digital, Asset Servicing, BNY Mellon

    Janelle Prevost is Head of Strategy and Digital for Asset Servicing at BNY Mellon. She joined BNY Mellon in 2019 as the Client Journey Reimagination Leader in the Digital Office, where she spearheaded firm-wide efforts to rethink how the bank delivers differentiated capabilities for its clients and maximizes end-to-end value.

    Prior to BNY Mellon, Janelle helped drive long-term strategic priorities and transformational opportunities at BlackRock. Prior to BlackRock, Janelle led the Strategy and Transformation team at NCB Group, a leading Caribbean diversified financial services firm with assets of $7.2B. At NCB, she oversaw the design and execution of the bank's transformation into a customer experience–led digital enterprise.

    Previously, Janelle served as Senior Vice President of Global Consumer Banking Strategy at Citigroup. Janelle worked with global management consulting firm Booz & Company (currently Strategy&, part of PwC), where she focused on helping financial services clients with their strategy and operational problems. She began her career at Oracle as a Senior Applications Engineer.

    Janelle received her Master of Business Administration from the Harvard Business School, Master of Public Administration from the Harvard Kennedy School of Government, and her Bachelor of Science in mathematics and computer science from MIT.

  • A Product Masterclass for 2025

    Includes Credits

    Join our exclusive virtual clinic dedicated to the future of product development, rationalization, management and distribution in the global asset management industry. Industry thought leaders take a deep dive into the COVID-19 impact on products, as well as the current landscape for alternative investments, interval funds, active / non-transparent ETFs, and share classes.

    Join our exclusive virtual clinic dedicated to the future of product development, rationalization, management and distribution in the global asset management industry. Industry thought leaders take a deep dive into the COVID-19 impact on products, as well as the current landscape for alternative investments, interval funds, active / non-transparent ETFs, and share classes. 

    Speakers

    Dan Beckman (Moderator), Head of U.S. Product, Columbia Threadneedle
    Glen Casey, Global Head of Prodcuts, American Century
    Margaret Farquharson, Senior Director, Head of Exchange, Traded Fund
    York Lo, Head of Institutional and Retirement Product Development, John Hancock


    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: Specialized Knowledge

    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.

    Dan Beckman (Moderator)

    Head of U.S. Product, Columbia Threadneedle Investments

    Daniel Beckman is head of North America product for Columbia Threadneedle Investments. In this role he leads a team of professionals to drive product
    strategy, development and management, ensuring the current and future needs of our customer base are met across the North America channels.

    Prior to joining the organization in 2015, Mr. Beckman was senior vice president of investment product management for Fidelity Financial Advisor Solutions
    (FFAS), a division of Fidelity Investments. Prior to Fidelity, Mr. Beckman was chief operating officer of Banc One New Hampshire Asset Management
    Corporation. Before that, he was a managing associate at Coopers & Lybrand Consulting. Mr. Beckman began his professional career in banking in 1984 and has been a member of the investment community since 1996.

    Mr. Beckman received a B.A., magna cum laude, in political science and mathematics from Hobart College and an MBA from Northeastern University. He
    holds Series 7, 24, 53 and 63 licenses with FINRA. In addition, he holds the Chartered Financial Analyst ® designation.

    Glen Casey

    Global Head of Prodcuts, American Century

    Glen Casey is a senior vice president and global head of products and strategy for American Century Investments, a premier investment manager headquartered in Kansas City, Mo. Mr. Casey leads global product strategy, product management and new product development as well as coordination of the firm's major strategic development activities. He is based at the firm's New York office.

    Mr. Casey earned a Bachelor of Science degree in accounting from Bentley College, Waltham, Mass. He holds a Master of Science degree in finance from Boston College.

    Margaret Farquharson

    Senior Director, Head of Exchange, Traded Funded

    Margaret (Marge) Farquharson is a Senior Director with Nationwide’s Investment Management Group (IMG), where she leads the exchange-traded fund business, directing product, operational, sales & distribution, and marketing strategy. Marge joined Nationwide in 2015 as an Associate in the inaugural class of Nationwide Financial’s Financial Services Leadership Rotation Program (FSLRP), completing her first and second rotations in the Variable Annuity Strategy and Investment Management Groups, respectively.

    Prior to joining Nationwide, Marge was a part of Deutsche Bank’s Emerging Markets team, where she worked on sovereign debt, new issues, and foreign exchange transactions across various markets. While at Deutsche Bank, Marge also worked on the Credit Risk Management & Valuations team, where she managed over $15BN in counterparty credit risk across 450 North American and European banking and hedge fund agreements, and on the Interest Rate and NonUSD Swap Derivatives team, managing an average of $3BN in currency swap transactions daily.

    Marge completed a summer internship in the Markets Group of the Federal Reserve Bank of New York in 2014, where she evaluated capital market responses to financial announcements and loan portfolio growth in bank holding companies (BHCs), as a predictor of future distress, and was staffed on the valuation methodology respecification study for $1.8TR in loan collateral pledged via the Federal Reserve Bank’s discount window facility.

    Marge was named a 2019 “Rising Star" by investment management publications, Fund Directions and Fund Action, in recognition of her early career contributions to the funds industry and was honored at the 26th Annual Mutual Fund and ETF Industry Awards.

    Marge earned her BA in Political Science and Economics at Duke University in 2008 and her MBA at the Yale School of Management, in addition to completing an international management and economics exchange at the London School of Economics and Political Science (LSE) in 2015.

    York Lo

    Head of Institutional and Retirement Product Development, John Hancock

    Experienced asset management industry executive with proven track record of multi-billion dollar value creation for asset managers and investors and background in product development, manager selection and oversight, equity research, alternative investments and new business development in the US and Asia covering mutual funds, ETFs and private funds.

  • Distributors to Asset Managers: Examine Your Investment Product Life Cycle

    Includes Credits

    Join us for a deep dive into the life cycle – accumulation, preservation and distribution – of investment products from the distributor point of view. Prominent broker/dealers, platforms, and direct-to-investor distribution experts share diverse perspectives on target markets and the fund selection process. What’s on the horizon for SMAs, interval funds, annuities and mutual funds? What are the latest trends around ETFs and ESG investing? Our panel of industry experts will explore how shareholder demographics, health and wellness are driving investor needs, how their businesses are responding, and how yours should be as well.

    Join us for a deep dive into the life cycle – accumulation, preservation and distribution – of investment products from the distributor point of view. Prominent broker/dealers, platforms, and direct-to-investor distribution experts share diverse perspectives on target markets and the fund selection process. What’s on the horizon for SMAs, interval funds, annuities and mutual funds? What are the latest trends around ETFs and ESG investing? Our panel of industry experts will explore how shareholder demographics, health and wellness are driving investor needs, how their businesses are responding, and how yours should be as well. 

    Speakers

    Erin Farrell Donnelly, Managing Director, Bank of America
    Ben Huneke, EVP, Advisory Platforms and Prodcuts, LPL Financial
    Robert Pettman, Managing Director, Morgan Stanley
    Linda York (Moderator), Senior Vice President, Cogent Syndicated


    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: Specialized Knowledge

    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.


    Erin Farrell Donnelly

    Managing Director, Bank of America

    Erin Donnelly is Managing Director, Head of Defined Contribution and Health Benefits Solutions at Bank of America. In this role she also leads Institutional Retirement Investments and Reporting. She is an innovative leader experienced in building and transforming investment, retirement and insurance businesses. Prior to joining Bank of America, Erin was Head of Defined Contribution for Nuveen, the investment arm of TIAA. Erin also previously ran Global Funds & Insured Solutions at Merrill Lynch, leading a variety of domestic and international business platforms, including fund solutions and insurance. 

    Erin currently serves as a member of the Executive Committee of the Defined Contribution Institutional Investment Association (DCIIA), where she is Committee Chair for Diversity & Inclusion. She is also a member of the Global Committee. Erin also serves on the Advisory Board for the SPARK Institute. 

    Erin earned a BA at St. Joseph’s University in Philadelphia, PA, and is an MBA candidate at the NYU Stern School of Business. Earlier in her career, she served on the board of directors for Financial Data Services, a subsidiary of Bank of America Merrill Lynch, for IRI, the Insured Retirement Institute, and was a founding member of the SIFMA Mutual Fund and ETF Roundtable.

    Ben Huneke

    Managing Director, Morgan Stanley

    Ben Huneke is a Managing Director and Head of the Investments Solutions Group of Morgan Stanley Wealth Management.  His responsibilities include product development, marketing and distribution of all investment products. In addition, his team is responsible for support of the industry’s largest advisory program and the development of the overall investment technology platform.

    During his career at Morgan Stanley, Mr. Huneke has held previous roles including Head of Alternative Investments, Chief Operating Officer of Investment Products & Services and Head of Strategy and Business Management.  He sits on the Morgan Stanley Securities Operating Committee as well as the firm’s Management Committee.

    Ben also serves as the Chairman Emeritus of the Board of Directors for the Insured Retirement Institute and sits on the board of the charitable organizations Invest in Others and the Expect Miracles Foundation.

    He holds an AB from Princeton University and an MBA from Columbia University.

    Robert Pettman

    Executive Vice President, Product and Platform Management, LPL Financial

    Rob Pettman serves as executive vice president of Product and Platform Management for LPL Financial. In this role, he is responsible for managing LPL’s wealth management platform which includes overseeing investment product distribution, advisory platforms, trust services, retirement plan business, and relationships with product and technology companies. Throughout his 15 years at LPL, Mr. Pettman has worked in various roles across product management and wealth management strategy.

    Prior to joining LPL in 2005, Mr. Pettman was a financial advisor working exclusively with trial lawyers in the areas of settlement planning, trusts, and structured settlements.

    He received a Bachelor of Arts degree from Eckerd College and a Master of Business Administration from the University of Southern California. 

    Linda York (Moderator)

    Senior Vice President, Cogent Reports, Market Strategies International

    Linda York is a Senior Vice President in the Financial Services industry group at Escalent, where she leads the Cogent Syndicated Research & Consulting practice. She has over 20 years of experience in financial services spanning responsibilities in finance, marketing and business strategy.

    Before joining Escalent, Linda was the Practice Director of Syndicated Research at Cogent Research, where she managed the product development and execution process for syndicated research projects and consulted with dozens of clients in the retail and institutional wealth management space. Prior to joining Cogent, Linda served at Upromise Investments, where she directed the strategic development, execution and measurement of 529 marketing initiatives for state clients and partners and Fidelity Investments, where she spent 11 years in a variety of strategic leadership roles including the Vice President of External Relations for the Fidelity Research Institute and Vice President and Market Manager with Fidelity Investments Tax-Exempt Services Company. Linda began her career in financial services with Travelers Insurance Company in the Financial Services and Group Pensions divisions.

    Linda holds an MBA in marketing from the University of Connecticut and a bachelor’s degree in mathematics from Mount Holyoke College.

  • Day Two Wrap Up

    Day two summary delivered by the emcee.

    Day two summary delivered by the emcee.