NICSA Webinar | DOL TA Operations - Part 3 of 3
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The Department of Labor’s Fiduciary Rule issued in April has become a primary area of focus for the financial services industry. While dates were extended past those in previous proposals, there is a sense of urgency. With much to do, funds and Intermediaries are preparing for the pervasive impact of the rule on Investor relationships and Investment Operations. This is the third in a series of Webinars about the Fiduciary Rule and its impact on the fund industry. This session will focus primarily on the implications of the rule on fund transfer agency operations, investor servicing and compliance requirements. Although the DOL rule has a broader impact on intermediaries, there are wide-ranging operational and servicing considerations for transfer agency, including; The prospect of more direct at fund accounts Servicing strategies for investors with retirement and non-retirement positions Insuring call center discussions with retirement investors do not constitute investment advice Please join the conversation as experts explain the ripple effect of the DOL Fiduciary Rule on fund transfer agencies and help you prepare for this significant change in retirement account servicing.
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Join our panel of experts to explore surprising insights and opportunities focused on the next-generation client. This webinar will feature new research to help Asset Management firms attract and retain Next Gen clients. Join us for an in-depth look at myths and facts about how financial firms can connect with millennial investors by understanding their financial outlook, what’s important to them and how they like to communicate.
Tenured experts from Broadridge and Cogent will take a deep dive into the profile of the Affluent Millennial including:
- Product usage
- Risk tolerance
- Financial priorities
Tax & Reporting Update: Avoiding Fund Reporting Traps
As we enter into the new year, asset managers should consider the tax legislation and reporting requirements that will affect them most drastically in 2019. Join NICSA for recap of recent and proposed legislation impacting financial reporting. Get an up-to-the-minute state of the union and hear the questions most asked by fund boards.
Professionals from State Street and EY will provide an in depth look at the tax developments and accounting standards having the biggest impact on the upcoming reporting periods.
Learning Objectives:
• Understanding of the current regulatory environment
• Overview of reporting requirements with biggest impact to asset managers
• Tax legislation and technical corrections update, including Section 199
Next Generation Proxy Voting
Learn how data-driven analytics, omni-channel delivery, and blockchain are helping mutual funds achieve their proxy goals. Join us for a discussion about the rise of social media and text messaging and how to apply these digital strategies to shareholder voting and how distributed ledger technology eliminates the need for post-vote reconciliation. Participate in an active discussion on how the accuracy, transparency, and efficiency of the proxy voting and solicitation system can be improved via digital strategies.
Best Practices in Building a Global Compliance Program
Investment firms with an international footprint are beginning to integrate a global view on their overall compliance policies and programs. Join our panel of experts for an in-depth discussion about the challenges firms face, and the efficiencies they can gain, by creating and maintaining a global compliance program. What does the interaction across jurisdictions look like? How do firms coordinate across borders? Hear a panel of asset managers and financial service providers dissect the best practices and overall impact of globalizing risk and compliance programs.
AI Trends with Traction
Learn more about leveraging AI within your organization! AI has the promise of driving operational efficiencies, enhancing compliance and informing investment decisions. Join our candid discussion with some of today’s leading experts on where the dollars are going, which trends are being successfully implemented, and which technologies promise to shape the next decade within the global asset management industry. Hear asset management case studies in and get an insider’s “reality check” on all things AI.
Rule 30e-3: Best Practices for Notice, Access & E-Delivery
Join our panel of experts to explore the key aspects and required action items related to the 30e-3 ruling. This webinar will take a deep dive into the impact on multiple facets of the industry and will provide insight from diverse perspectives regarding implementation and execution strategies.
Tenured experts from Invesco, MFS, Morgan Stanley and Broadridge will take a deep dive into the following issues:
- What are the implications for fund complexes, broker dealers, and investors?
- What preparatory actions are asset managers taking now?
- What are BDs doing to prepare?
- What solutions are you considering?
- Will it change the client experience?
Rethinking Product Development
How are product development processes within the asset management industry evolving to support innovation? NICSA’s panel of experts explores how product teams are vetting and nurturing ideas, what factors are considered in vehicle structure decisions, and the operational aspects involved in launching new products. Participants will come away with actionable steps and key trends based on recent studies and reports from Ignites Research.
The Bottom Line: Exploring the Benefits of Wellness in the Workplace
Financial services firms continue to re-imagine their business models. As our industry re-defines the workplaces of the future, more firms are implementing and scaling workplace wellness programs. Research shows we cannot deny the positive impact of these programs from reduced health care costs to increased productivity. Forward thinking firms are viewing the employee value proposition through a broader lens and this lens includes multi-dimensional wellness programs. In this webinar, we'll share diverse points of view on the value of wellness programs, how to get started, and ideas for developing impactful and rewarding programs.
Join NICSA and a panel of wellness leaders in asset management as they explore and share:
• Examples of wellness programs and emerging trends (what’s next in the evolution of wellness programs).
• The business benefits and implications of workplace wellness programs – talent acquisition and retention, increased productivity, decreased stress and health care costs.
• Ideas on getting started – corporate and grassroots programs
Data Analytics 301: Converting Analysis into Business Strategy
You’ve identified, sourced, and analyzed your most valuable data. Now what?
During our Data Analytics Webinar Series, we’ve discussed the basics of kick-starting data tools, as well as the application of advanced modeling techniques. Now, learn from leading financial institutions how to turn analytics into actionable business strategies.
This webinar will discuss how to build the right dashboards for specific business lines, and how to put those dashboard to work. Hear current use cases demonstrating how asset managers are leveraging transactional, demographic and marketing data into action items for sales and distribution teams.
Join our live webinar to hear notable experts offer invaluable insight on:
- Building dashboards for sales and distribution teams
- Converting analytics to actionable business goals
- Developing a cohesive data-based business strategy
Data Analytics 301: Converting Analysis into Business Strategy
You’ve identified, sourced, and analyzed your most valuable data. Now what?
During our Data Analytics Webinar Series, we’ve discussed the basics of kick-starting data tools, as well as the application of advanced modeling techniques. Now, learn from leading financial institutions how to turn analytics into actionable business strategies.
This webinar will discuss how to build the right dashboards for specific business lines, and how to put those dashboard to work. Hear current use cases demonstrating how asset managers are leveraging transactional, demographic and marketing data into action items for sales and distribution teams.
Join our live webinar to hear notable experts offer invaluable insight on:
• Building dashboards for sales and distribution teams
• Converting analytics to actionable business goals
• Developing a cohesive data-based business strategy
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Understanding ROI: The Real Impact of Data Quality
Understanding ROI: The Real Impact of Data Quality
Industry Leaders Outlook: Product & Marketing Roundtable
Industry Leaders Outlook: Product & Marketing Roundtable
Navigating Turbulent Changes to the Sanctions Landscape
Navigating Turbulent Changes to the Sanctions Landscape
Tax & Reporting Update: Avoiding Fund Reporting Traps
Tax & Reporting Update: Avoiding Fund Reporting Traps
Best Practices in Building a Global Compliance Program
Best Practices in Building a Global Compliance Program
Rule 30e-3: Best Practices for Notice, Access & E-Delivery
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The Bottom Line: Exploring the Benefits of Wellness in the Workplace
The Bottom Line: Exploring the Benefits of Wellness in the Workplace
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留信网认证的作用:
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3:国家专业人才认证中心颁发入库证书
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Monthly Market Risk Update: June 2024 [SlideShare]
Markets rallied in May, with all three major U.S. equity indices up for the month, said Sam Millette, director of fixed income, in his latest Market Risk Update.
For more market updates, subscribe to The Independent Market Observer at https://blog.commonwealth.com/independent-market-observer.
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如果您处于以下几种情况：
◇在校期间，因各种原因未能顺利毕业……拿不到官方毕业证【q/微741003700】
◇面对父母的压力，希望尽快拿到；
◇不清楚认证流程以及材料该如何准备；
◇回国时间很长，忘记办理；
◇回国马上就要找工作，办给用人单位看；
◇企事业单位必须要求办理的
◇需要报考公务员、购买免税车、落转户口
◇申请留学生创业基金
留信网认证的作用:
1:该专业认证可证明留学生真实身份
2:同时对留学生所学专业登记给予评定
3:国家专业人才认证中心颁发入库证书
4:这个认证书并且可以归档倒地方
5:凡事获得留信网入网的信息将会逐步更新到个人身份内，将在公安局网内查询个人身份证信息后，同步读取人才网入库信息
6:个人职称评审加20分
7:个人信誉贷款加10分
8:在国家人才网主办的国家网络招聘大会中纳入资料，供国家高端企业选择人才
办理(leeds学位证书)英国利兹大学毕业证【微信：741003700 】外观非常简单，由纸质材料制成，上面印有校徽、校名、毕业生姓名、专业等信息。
办理(leeds学位证书)英国利兹大学毕业证【微信：741003700 】格式相对统一，各专业都有相应的模板。通常包括以下部分：
校徽：象征着学校的荣誉和传承。
校名:学校英文全称
授予学位：本部分将注明获得的具体学位名称。
毕业生姓名：这是最重要的信息之一，标志着该证书是由特定人员获得的。
颁发日期：这是毕业正式生效的时间，也代表着毕业生学业的结束。
其他信息：根据不同的专业和学位，可能会有一些特定的信息或章节。
办理(leeds学位证书)英国利兹大学毕业证【微信：741003700 】价值很高，需要妥善保管。一般来说，应放置在安全、干燥、防潮的地方，避免长时间暴露在阳光下。如需使用，最好使用复印件而不是原件，以免丢失。
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Navigating Your Financial Future: Comprehensive Planning with Mike Baumann
Learn how financial planner Mike Baumann helps individuals and families articulate their financial aspirations and develop tailored plans. This presentation delves into budgeting, investment strategies, retirement planning, tax optimization, and the importance of ongoing plan adjustments.
Calculation of compliance cost: Veterinary and sanitary control of aquatic bi...
Calculation of compliance cost in the fishing industry of Russia after extended SCM model (Veterinary and sanitary control of aquatic biological resources (ABR) - Preparation of documents, passing expertise)
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In recent years, cryptocurrencies have emerged as more than just a niche fascination; they have become a transformative force in global finance and technology. Initially propelled by the enigmatic Bitcoin, cryptocurrencies have evolved into a diverse ecosystem of digital assets with the potential to reshape how we perceive and interact with money.
Economic trends from a business point of view (May 2024)
Economic trends from a business point of view (May 2024)Інститут економічних досліджень та політичних консультацій
“Amidst Tempered Optimism” Main economic trends in May 2024 based on the results of the New Monthly Enterprises Survey, #NRES
On 12 June 2024 the Institute for Economic Research and Policy Consulting (IER) held an online event “Economic Trends from a Business Perspective (May 2024)”.
During the event, the results of the 25-th monthly survey of business executives “Ukrainian Business during the war”, which was conducted in May 2024, were presented.
The field stage of the 25-th wave lasted from May 20 to May 31, 2024. In May, 532 companies were surveyed.
The enterprise managers compared the work results in May 2024 with April, assessed the indicators at the time of the survey (May 2024), and gave forecasts for the next two, three, or six months, depending on the question. In certain issues (where indicated), the work results were compared with the pre-war period (before February 24, 2022).
✅ More survey results in the presentation.
✅ Video presentation: https://youtu.be/4ZvsSKd1MzE
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NICSA Webinar | DOL TA Operations - Part 3 of 3
- 1. www.nicsa.org DOL Fiduciary Rule Part III – Transfer Agency Operations, Servicing & Compliance Impacts Wednesday, July 13th 2:00-3:00 pm EST SPONSORED BY:
- 2. www.nicsa.org Bridget Ireland, Compliance Director FIS Investor Services Jeff Naylor, Director, Operations and Distribution, Investment Company Institute Jonathan Wowak, Chief Operating Officer, Cipperman Compliance Services Teresa Ward, Vice President, Retirement Plans Moderator / Panelists
- 3. www.nicsa.org Today’s Agenda Review Key Messages from Webinars 1 & 2 1 TA Operations, Investor Servicing & Compliance Impact 2 Questions & Answers 3
- 4. www.nicsa.org DOL Fiduciary Rule 101 • Financial advisors and their firms become fiduciaries • Advisors must recommend investments solely on client’s best interest • New rules begin April 2017 • Applies to IRA and employer-sponsored retirement plans, not 529 plans or taxable accounts Impact on Distribution • Major impact to dealer firms and advisory platforms • May change aspects of the dealer – fund business model • Expected to prompt funds to reevaluate offering Session Recaps 1 2
- 5. www.nicsa.org Discussion Topics • Industry planning and preparation • Approach • Resources available • Key challenges and decisions • Investor servicing and communications • Managing direct investors • Maintaining efficiency and servicing standards • Operational oversight & compliance • Share class mix and transition • Dealer / advisor engagement & coordination Transfer Agency Operations, Servicing & Compliance