Reference Guide
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2021 Transfer Agent Compliance Guide
Contains 1 Component(s)​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.
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Debt Securities chapter
Contains 1 Component(s)A detailed explanation of debt securities from the CFA Institute's Investment Foundations program.
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The Investment Industry: A Top Down View chapter
Contains 1 Component(s)An overview of the financial services industry from the CFA Institute's Investment Foundations program.
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Topics in Performance Appraisal Level II chapter
Contains 1 Component(s)There are various performance appraisal metrics, contexts, and considerations when undertaking a performance evaluation. Chapter from the CFA Institute CIPM program.
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Performance Evaluation Introduction Level I chapter
Contains 1 Component(s)Performance evaluation is an integral part of the investment management decision process because it provides feedback on the effects of investment activities and the decisions on the performance of portfolios. Chapter from the CFA Institute CIPM program.
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Investment Foundations Glossary
Contains 1 Component(s)A glossary of commonly used terms in financial services from the CFA Institute Investment Foundations program.
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Investment Foundations Syllabus Overview
Contains 1 Component(s)An overview of the modules and exams that make up the CFA Institute Investment Foundations Program.
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Investing Through Unit Investment Trusts
Contains 1 Component(s)A reference guide for financial advisors and their clients.
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Unit Investment Trusts: An Introduction for Investment Industry Professionals
Contains 1 Component(s)An introduction to the regulation and operations of unit investment trusts. (09/01/2013)
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Nicsa Transfer Agency Compliance Guide
Contains 1 Component(s)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)
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May contain forward-looking statements subject to various uncertainties. Personal views and observations of individuals contained herein are as of the date of the live event or written material and do not necessarily reflect the views of Nicsa or any of its member organizations. Matters addressed in this work may touch upon legal or regulatory matters, however nothing herein is intended to be or should be construed as legal advice. You should contact your own counsel in order to obtain legal advice regarding these or any other matters. The information contained herein is for informational purposes only and does not constitute a recommendation of best practices.
