A visual history from 1989 to the present

1. NICSA’S 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
NICSA’s 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
NICSA’s 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 NICSA’s partner, the Luxembourg fund
industry association ALFI.