Are we at an inflection point for sustainable investing?
December 2, 2020
Michael Jantzi, Founder of Sustainalytics, spoke at the Morningstar Virtual Conference and shared his insights on the current market and impact on sustainable investing. He believes we’re at an inflection point and change is ahead. The time is NOW A recent Morningstar study showed that over 70% of investors were interested in discussing sustainable investing with their advisor. […]
THE NEED FOR YIELD — Why Should Asset Managers Consider Launching an INTERVAL or TENDER OFFER FUND, and What Do They Need to Know
November 10, 2020
As we have returned to a period of ultra-low interest rates, investors have a genuine need for products that may offer reasonable yields. That need is across the board, regardless of the wealth and education level of the investor. Yet under typical fund structures investors either see the benefit of the compliance and risk […]
Mutual Funds: Ascertaining the Total Cost of Ownership
October 13, 2020
Mutual fund sponsors and board members have a fiduciary responsibility to their shareholders to oversee and monitor, amongst other things, the fund’s annual operating expenses, including management fees, distribution fees and “other expenses” such as fund administration costs. As the fund sponsor or a board member, you may wish to know if your fund’s […]
SEC Filings for Mutual Funds: A Reference Guide
September 22, 2020
The Securities and Exchange Commission (SEC) requires mutual funds—and similar investment companies—to submit various filings throughout each year. Whether you’re a trustee on a fund board, a newcomer to the fund world, an adviser trying to keep track of new types of filings, or just someone looking for a quick refresh, the following provides […]
3 E’s: Best Practices for Engaging Clients
September 9, 2020
During the past few months, we have all ridden an emotional rollercoaster, with ups, downs, loops and lots of adrenaline. Business continuity plans have proved essential and readiness to deploy, monitor and adapt have become the necessary norm. But this is also a time when client and prospect engagement is paramount to the sustainability […]
Top Five Trending Topics for Mutual Fund Boards
August 25, 2020
As is the case with many of conversations in 2020, the ongoing COVID-19 pandemic, with its attendant market volatility and work-place logistical considerations, has shaped recent topics of discussion popular with boards of mutual funds. Along with that, boards are grappling with viewing many long-favored focus areas through a new lens. At the same […]
Non-transparent, Semi-transparent and Transparent ETFs
July 28, 2020
Authored by Alma Piscitello, EVP Relationship Management and Larie Lydick, VP ETF & Mutual Fund Services Exchange-traded funds, or ETFs, are generally known for their low costs, tax efficiency potential, security-like trading and transparency. It is the transparent aspect of ETFs that has long been a deterrent to traditional active managers. ETF Choices […]
Conversion Considerations for Alts Managers
July 14, 2020
In case you haven’t heard, the retail alternatives space is growing – faster than the hedge fund market, faster than the mutual fund market, faster than just about any other asset class. In fact, according to Cerulli’s May 2020 monthly trends report, the interval fund space has seen several brand-name managers roll out interval […]
COVID-19’s Long Reach: Tax-Related Implications for RICs
June 30, 2020
COVID-19’s impact on financial markets has highlighted the need for active monitoring of legislation as well as tax and post-trade compliance for regulated investment companies, or RICs. COVID-19-related tax and economic relief benefited RICs directly and indirectly. In addition, market volatility has led to asset valuations that could push RICs out of compliance with […]
Fair Market Value: How to Craft the Best Policies and Procedures in Today’s Environment
June 16, 2020
The coronavirus pandemic is changing the market today in many ways, particularly how advisers and investment firms are reevaluating client portfolios and looking for the best outcomes for their shareholders. We have witnessed unprecedented levels of market volatility resulting in an increased focus on a fund’s valuation policies and procedures used in determining a […]