About The Author

Kim Froio

About Kim Froio

With more than 25 years of transfer agency and shareholder servicing experience, Kim has been instrumental in delivering new products and services to help strengthen the position of asset managers. As Vice President of Enterprise Compliance Solutions, Kim has helped shape the compliance strategy and introduced a number of compliance solutions including Boston Financial’s 22c-2 solution, Unclaimed Property and State Inactivity Solicitation, and Blue Sky Administration. Kim was integral to the design and launch of Boston Financial’s E-Business practice and the deployment of the Boston Financial KnowledgeBaseTM. Kim, AKA “Mom” or “Coach,” treasures the moments she spends with her three children, Noah, Reese, and Mia, and husband, Paul. She is a member of the NICSA East Coast Regional Committee, and earned her degree from Aquinas College.

Category: Client Forum, Compliance, Conferences and Events, Industry Trends

Despite Uncertainty and Debate Around the Fiduciary Rule, It’s Time to Act

“Putting customers first is no longer a marketing slogan. It’s the law.” Labor Secretary Thomas Perez referring to the DOL Fiduciary Rule A simple concept, right? Unfortunately, as most pundits…

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Category: Industry Trends, Innovation, Technology

Disruption Ahead: Is Blockchain the Next Disruptor to Hit Financial Services?

Well-known disruption guru and management expert Clayton Christensen describes disruption as being both creative and destructive. And therein lies the catch. Being able to grasp and embrace the possibilities that…

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Category: Compliance, Conferences and Events, Industry Trends

Finding Your Sweet Spot – Enterprise Compliance

There has never been a better time for organizations to manage and coordinate compliance across varying lines of business in our industry. There has been massive change in our industry…

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Category: Conferences and Events, Innovation

“If you’re not failing you’re not trying hard enough”

Do you take risks? Big risks, or small risks? If you’re like me you take calculated risks. Ones where I feel fairly confident I’ll be successful.  I must admit, I’m pretty confident, but…

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