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NICSA's Publications

NICSA
NICSA

NICSA has published various materials on the mutual fund industry since 1989, including annual mutual fund shareholder surveys from 1989 to 2008, textbooks on the industry in 2001 and 2005/2011, translations of the textbooks into Japanese and Chinese, guides on transfer agent compliance from 2003 to 2009, white papers on topics like operational risk and beneficiary designations, and introductions to new regulations. NICSA works with outside firms and committees made up of industry members to produce these publications on industry trends and best practices.

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NICSAS PUBLICATIONS A visual history from 1989 to the present
1989 Mutual Fund Shareholder Survey In 1989, NICSA published its first annual survey of mutual fund shareholder customer service satisfaction.
2000 Mutual Fund Shareholder Survey We eventually hired an outside firm to conduct the survey, which had become a massive project involving mailings to thousands of shareholders.
2008 Mutual Fund Shareholder Survey The survey was produced for 21 years, but was discontinued after the 2008 edition as transfer agents moved to more continuous methods of surveying customers.
A Purely American Invention Our first textbook on the mutual fund industry, published in 2001. The book was a gift to NICSA from author Lee Gremillion, partner at PricewaterhouseCoopers.
Japanese edition The book was published in a Japanese language edition in 2002.
Chinese edition A Chinese language edition appeared as well.
First Edition | TA Compliance Guide The first edition of the NICSA Transfer Agent Compliance Guide was produced in 2003.
2005 Edition | TA Compliance Guide The TA Guide became a more formal publication in 2005.
Mutual Fund Industry Handbook The mutual fund industry textbook was updated in 2005 and reissued by Wiley with a new title and a foreword by Jack Bogle.
Operational Risk White Paper NICSAs Risk and Compliance Committee wrote our first white paper in 2009, on assessing and mitigating operational risk in a changing environment.
2009 Edition | TA Compliance Guide A new look for the NICSA Transfer Agent Compliance Guide.
The Fund Industry In 2011, a new textbook written by Bob Pozen and NICSA President Theresa Hamacher, with a foreword by Don Phillips of Morningstar, is published by Wiley.
2011 Edition | Online TA Compliance Guide In 2011, the NICSA Transfer Agent Compliance Guide goes electronic, with an online edition now available in addition to print copies.
Beneficiary Designations White Paper NICSAs Retirement Committee publishes a white paper on best practices in beneficiary designations based on a survey of committee members.
Intermediary Governance White Paper The Intermediary Discussion Forum outlines some best practices in oversight of omnibus accounts. The white paper is accompanied by an audio slide show.
The Fund Industry | Chinese Edition The new fund industry textbook is published in a Chinese language edition in 2012.
Introduction to AIFMD A guide to the new hedge fund regulations in Europe, published as a slide presentation in collaboration with NICSAs partner, the Luxembourg fund industry association ALFI.

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NICSA's Publications

  • 1. NICSAS PUBLICATIONS A visual history from 1989 to the present
  • 2. 1989 Mutual Fund Shareholder Survey In 1989, NICSA published its first annual survey of mutual fund shareholder customer service satisfaction.
  • 3. 2000 Mutual Fund Shareholder Survey We eventually hired an outside firm to conduct the survey, which had become a massive project involving mailings to thousands of shareholders.
  • 4. 2008 Mutual Fund Shareholder Survey The survey was produced for 21 years, but was discontinued after the 2008 edition as transfer agents moved to more continuous methods of surveying customers.
  • 5. A Purely American Invention Our first textbook on the mutual fund industry, published in 2001. The book was a gift to NICSA from author Lee Gremillion, partner at PricewaterhouseCoopers.
  • 6. Japanese edition The book was published in a Japanese language edition in 2002.
  • 7. Chinese edition A Chinese language edition appeared as well.
  • 8. First Edition | TA Compliance Guide The first edition of the NICSA Transfer Agent Compliance Guide was produced in 2003.
  • 9. 2005 Edition | TA Compliance Guide The TA Guide became a more formal publication in 2005.
  • 10. Mutual Fund Industry Handbook The mutual fund industry textbook was updated in 2005 and reissued by Wiley with a new title and a foreword by Jack Bogle.
  • 11. Operational Risk White Paper NICSAs Risk and Compliance Committee wrote our first white paper in 2009, on assessing and mitigating operational risk in a changing environment.
  • 12. 2009 Edition | TA Compliance Guide A new look for the NICSA Transfer Agent Compliance Guide.
  • 13. The Fund Industry In 2011, a new textbook written by Bob Pozen and NICSA President Theresa Hamacher, with a foreword by Don Phillips of Morningstar, is published by Wiley.
  • 14. 2011 Edition | Online TA Compliance Guide In 2011, the NICSA Transfer Agent Compliance Guide goes electronic, with an online edition now available in addition to print copies.
  • 15. Beneficiary Designations White Paper NICSAs Retirement Committee publishes a white paper on best practices in beneficiary designations based on a survey of committee members.
  • 16. Intermediary Governance White Paper The Intermediary Discussion Forum outlines some best practices in oversight of omnibus accounts. The white paper is accompanied by an audio slide show.
  • 17. The Fund Industry | Chinese Edition The new fund industry textbook is published in a Chinese language edition in 2012.
  • 18. Introduction to AIFMD A guide to the new hedge fund regulations in Europe, published as a slide presentation in collaboration with NICSAs partner, the Luxembourg fund industry association ALFI.