The Pulse on Tailored Shareholder Reports Implementation: Impacts and Outlooks

Recorded On: 09/19/2024

Join us for a compelling webinar as we unpack the diverse experiences of creating Tailored Shareholder Reports through the lenses of fund administrators, fund companies and service providers.

We will discuss:

• How increased report volumes were handled effectively

• Effects on resources and operational workflows

• Implications of future regulatory reporting changes


Gain a thorough understanding of post-implementation priorities and engage in insightful conversations alongside NICSA members, sharing best practices and actionable advice.


Learning Outcomes:

• Key success factors that led to smooth implementations

• Innovative data management strategies

• Best practices used to create TSRs via automation

• Expert tips to improve iXBRL tagging and timely filing


This program is sponsored by:

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CPE Credits Redeemable with NASBA

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: Information Technology – Technical

Program Level: Basic 

Delivery Method: Group-Internet Based

Advanced Preparation: None 



CE Credits Redeemable with Investments & Wealth Institute™ (IWI)

Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.

To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf. 

The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.

CPEs Earned: 1 

Continuing Education Topic: Applicable Regulations: Compliance and Legal Implications

Program Format: Live Webinar 



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.


Michael Donowitz (Moderator)

Vice President of Regulatory Affairs, Broadridge

Broadridge

Mike Donowitz joined Broadridge Financial Solutions in 2018.  He heads Broadridge’s Washington DC Office and is responsible for government relations, regulatory affairs, and works on the firm’s broker dealer, mutual fund and public company investor communications initiatives, including digital capabilities.  

Prior to joining Broadridge, Mr. Donowitz worked in the legal department at Fidelity Investments as Vice President and Associate General Counsel.  He advised on broker dealer sales practice issues, including market timing, late trading, breakpoint pricing, disclosure of revenue sharing arrangement and related ‘shelf space’ issues.  He supported broker dealer back office operations and responded to regulatory inquires and exams.  He also provided advice and guidance on all aspects of mutual fund distribution for one of the largest third party fund supermarkets and was lead counsel on a number of large outsourcing projects. 

Mr. Donowitz is a graduate of Tufts University and earned a Juris Doctorate from New England School of Law.  

Anu Patil

Vice President, Vendor Management Oversight

J.P. Morgan Asset Management

Anu Patil, CPA joined J.P. Morgan Asset Management in October of 2014 and has been part of many teams within U.S. Business Platform such as Accounting Policy, Financial Reporting, and Regulatory & Business Controls. Currently, she is the Vendor Oversight Manager, where she is responsible for the oversight and relationship management of the key vendors that provide services to the Funds, including the regulatory report print and distribution process.

Prior to joining J.P. Morgan, Anu began her career at Ernst & Young as a financial services auditor for approximately five years on Mutual Funds, ETFs, and Private Equity clients.

Anu received her Masters in Accounting and B.S. in Corporate Finance and Accounting from Bentley University.

Harsh Choudhary

Head of Product Management, Regulatory Communications

Broadridge

Harsh Choudhary is an experienced Product Leader who is currently serving as the Head of Product Management, Regulatory Communications at Broadridge.

With five years of experience at Broadridge, Harsh has been a valuable member of the team, leveraging his expertise in financial services to develop innovative solutions for the company's clients. Prior to joining Broadridge, Harsh held several leadership positions in various organizations focused on financial services. He has worked as a Chief Product Officer and Chief Technology Officer, where he gained valuable insights into the workings of the industry and developed a keen understanding of the needs of financial services clients.

Throughout his career, Harsh has demonstrated a passion for innovation and a commitment to delivering superior results. He has a strong track record of developing and launching successful products that meet the evolving needs of clients.

Amy M. Fothergill

Vice President, Asset Servicing Product Developer

State Street

Amy Fothergill is a Vice-President in State Street’s Asset Servicing Product division, focused on the Financial and Regulatory Reporting Product. For the last 6 years Amy has been responsible for development work of new and existing financial and regulatory reporting products for the Asset Manager and Asset Owners segments. 

Amy began her career here at State Street in Fund Administration in 2001 where she has spent most of her career. She focused on operations, conversions, and new business for both Financial Reporting, Compliance and Treasury Services within Fund Administration. 

Amy received a Bachelor of Science in Accounting from Bentley University.

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The Pulse on Tailored Shareholder Reports Implementation: Impacts and Outlooks
Recorded 09/19/2024  |  60 minutes
Recorded 09/19/2024  |  60 minutes
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