TA Compliance Guide 101: Getting to Know Nicsa's Essential Reference Guide
Recorded On: 05/09/2018
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Join Nicsa for a 30-minute guided tour of the 2018 Transfer Agent Compliance Guide. What's new for 2018? How are firms using the Guide to improve their operations and compliance programs? Get quick, efficient instruction on how to best leverage this essential resource available to all Nicsa members!
Tim Johnson (Moderator)
Partner, Reed Smith LLP
James Butz
Senior Vice President, Compliance Officer, U.S. Bancorp Fund Services, LLC
Bridget Ireland
Compliance Officer, FIS Investor Services
Barbara Mack
Vice President, Application Services Manager, BNY Mellon Asset Servicing
Mike McVoy
Retired - Compliance Officer, U.S. Bancorp Fund Services, LLC
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