News and Views

In the News

Industry Presentations

  • State Street Bank & Trust Collective Trust Fund Forum -- (Shields, 10/29/08)
    John Shields participated on a Consultants’ Panel entitled "Welcome to the Mainstream" during this client conference attended by more than 90 State Street clients and industry leaders. Topics discussed included marketing trends and flow, ideas for broadening distribution, a comparison of Collective Trust Funds versus Mutual funds, and an outlook of the marketplace over the next several years.
  • PFPC, Inc. Client Summit 2007 -- (Shields, 10/09/07)
    Panelist presenting on innovations, drivers of change, and challenges to come in the financial services industry.
  • Vestmark, Inc. Summit 2007 -- (Shields, 9/20/07)
    "The Managed Accounts Marketplace - A Consultant's View". Keynote Speaker discussing challenges, trends and best practices in operations, technology and distribution for SMA/UMA sponsors, advisors and service providers.
  • American Bankers Association Wealth Management Conference -- (Shields, 3/27/07)
    "Operating a Successful Managed Accounts Business " . Moderated a panel of industry experts in operations, technology and distribution discussing the key attributes of an efficient and effective separately managed accounts business.
  • National Investment Company Service Association Annual Conference -- (Shields, 2/21/06)
    Panelist presenting on "A Comparison and Contrast of Investment Vehicle Structures " examining the legal, regulatory and tax complexities of various investments.
  • Industry Service Provider Client Roundtable -- (Shields, 1/9/06)
    "SMA Operations and Technology Issues".
  • Financial Research Associates Managed Accounts Compliance Forum -- (Shields, 11/29/05)
    "Patriot Act, Regulation S-P, and Investment Adviser Regulatory Compliance Issues".
  • Securities Operations Forum 7th Annual Buy Side Conference -- (Shields, 10/6/05)
    "Building Compliance Into Your Daily Process".
  • Great Lakes Investment Management Operations Group -- (Shields, 9/28/05)
    "Developing & Implementing Effective Compliance Programs".
  • Money Management Institute/Source Media Third Annual SMA Conference -- (Shields, 9/27/05)
    Panel moderator for "Preserving Margins While Improving Efficiency" session.
  • Money Management Institute Compliance Conference -- (Shields, 6/2/05)
    "Applicability of Gramm-Leach-Bliley to the SMA Industry and Current Obstacles to Compliance with Regulation S-P".
  • Chicago Area Chief Compliance Officers Meeting -- (Shields, 1/13/05)
    "Role of the CCO".
  • Money Management Institute Webinar -- (Shields, 7/14/04)
    "Distribution of Bank Investment Products".

White Papers

  • "Gramm-Leach-Bliley – What Managed Accounts Participants Need to Know". June 2005.

For more information regarding presentation topics or our qualifications, please Contact Us.