Managing Risk Throughout the Intermediary Lifecycle

Recorded On: 11/15/2023

A Guide for Asset Managers: Join the Delta Data and NQR team for a specialized webinar designed to equip you with essential insights for effectively managing risk throughout the intermediary oversight process. In this panel, experts from the industry will discuss strategies and best practices to follow to mitigate risk at each stage of the intermediary lifecycle.

Learning Objectives:

Onboarding New Intermediaries: Identify key risk factors at the onset of the relationship to ensure a strong foundation.
Risk Assessment Framework: Learn how to develop a robust risk assessment framework tailored to the unique challenges and opportunities presented by the intermediary.
Identify Risk Factors: Explore the diverse range of risk factors that can impact your mutual fund distribution including regulatory compliance, accurate fee management, and the impact of negative news.
Consistent Risk Ranking: Learn how to implement risk ranking on an ongoing basis to proactively mitigate evolving risks.

This program is sponsored by:

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: Finance

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 Lilly Bahmani at info@nicsa.org

Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy

Polly LeBarron (Moderator)

Vice President Services & Strategy

National Quality Review, a Delta Data Company

Polly LeBarron joined National Quality Review (NQR) in 1995 and holds senior leadership and relationship management roles for NQR & Delta Data's comprehensive product and services suite. She also serves as a principal consultant for NQR Institute and has been a key contributor in developing NQR’s services designed to assist with intermediary and service provider oversight.

Prior to joining NQR, Polly was a writer and editor for Wilson Business Abstracts, a publication of the H.W. Wilson Company, and an analyst at AIC Investment Advisors. Polly is a Six Sigma Black Belt and holds the Quality Improvement Associate and Quality Auditor certifications from the American Society for Quality (ASQ). She serves on the ASQ Board of Directors and is Chair of ASQ’s Technical Communities Council.

Eileen Storz-Salino

Executive Director

Morgan Stanley

Eileen Storz-Salino is an Executive Director, working in the Investment Management Operations Division of Morgan Stanley. She is responsible for transfer agent oversight, which includes overseeing regulation and compliance for the firm’s fund services department. This includes the Eaton Vance, Calvert and Morgan Stanley open- and closed-end funds as well as proxy solicitation for the funds. She joined Eaton Vance in 2007. Eileen earned an MBA from Simmons Graduate School of Management, one of the first women only MBA programs in the country. She holds FINRA Series 7, 63 and 99 licenses. She has served on multiple industry and charity Boards including ICI, NICSA and the Expect Miracles Foundation, where she chaired the Governance Committee and where she is now an Emeritus Board member. She has been an active member and supporter of many diversity organizations including a leading member of the Eaton Vance Women’s Leadership Exchange (WLE) She has actively supported women build their network and their careers and has participated in panels for the firm, various colleges and universities, over the years.

Trevor McLeod

Vice President

T. Rowe Price Services Inc.

Trevor McLeod is Vice President of T. Rowe Price Services, Inc. He leads the Intermediary Oversight and Intermediary Transfer Agent teams within Global Client Accounts Services. Trevor has been with T. Rowe Price for 16 years holding various roles supporting Oversight and the Intermediary business. He holds his MBA from the University of Colorado.