New SEC Regulations for Broker-Dealers Coming in June
March 24, 2020
During the current market volatility and uncertain times, investment firms and asset managers must be vigilant to remember their regulatory obligations and review pending guidelines to assist with all aspects of financial services. Currently, implementation of Regulation Best Interest (Reg BI) compliance is still on course for June 30, 2020. The rule establishes new […]
Securities Lending: A Possible Alpha-Generating Source of Fund Revenue
March 10, 2020
In the newest installment of #TALKtoUltimus, a podcast series from Ultimus Fund Solutions, James McGuire, Senior Manager for Adviser Services at Ultimus, interviewed Brooke Gillman, the Managing Director of Client Relationship Management for eSecLending. You can listen to the full podcast *HERE. The information below is an introductory overview of Mr. McGuire’s discussion with […]