Defining Adviser Awareness: Key Elements for Creating Effective Distribution Campaigns
June 2, 2020
In the newest installment of our #TALKtoUltimus podcast series, Alma Piscitello, EVP, Relationship Management at Ultimus, interviewed Clay Thompson, President at On-Demand Wholesaling. You can listen to the full podcast *HERE. The podcast focuses on three key elements for creating effective distribution campaigns including expanding client segmentation beyond AUM, how to distill and test […]
Disrupting the ’40 Act Transfer Agent and Fund Administration Services Landscape
May 19, 2020
Even before the events that have transpired recently with unstable financial markets and worries over the coronavirus, fund sponsors have been increasingly evaluating their current mutual fund transfer agent (TA) and fund administrator relationships due to a few developing factors. Larger bank-affiliated providers, as well as those affiliated with larger and more diversified financial […]
Volatility Reminds Us to Hedge – There May Be a Better Way to Do That
May 5, 2020
Many investment managers and asset owners are struggling with a new reality and working to restructure portfolios, all while trying to shrug off a 10-year bull market euphoria-induced hangover. For the last decade, it seemed like the U.S. equities market knew no limits, with active managers struggling to even come close to meeting their […]
Interest in Collective Investment Trusts Growing in Uncertain Market
April 21, 2020
With the current state of the financial markets, worries over the coronavirus, and a heightened awareness by fund sponsors and investors about the cost of doing business, interest in Collective Investment Trusts (CITs) is growing and may lead to expanded adoption by asset managers. A CIT is an investment vehicle that bears many similarities […]
Spending Too Much Time Managing Data? Reevaluating Your Middle Office Environment
April 7, 2020
With the high volume and complexity of investment products and asset types in the current volatile and uncertain market, many asset managers may be spending too much time on middle office functions, while missing opportunities to improve client relationships and focus more on core business decision-making in today’s constantly changing industry. In a world […]
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 […]
Cyber Security Threats: Top Five Priorities Advisers Should Know
February 25, 2020
Did you know that the FBI is the lead federal agency for investigating cyber attacks by criminals, overseas adversaries, and terrorists? Cyber threats are serious and growing, and intrusions are becoming more commonplace, more dangerous, and more sophisticated. In fact, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) recently alerted […]
Operational Takeaways from the 2020 Inside ETFs Conference
February 13, 2020
During the recent Inside ETF Conference, more than 2,300 financial advisers, institutional investors, investment managers, representatives from academia, and many other industry experts gathered in Hollywood, Florida to participate in and learn from a spectrum of forward-looking agenda topics. Professionals from Ultimus Fund Solutions attended the four-day event, met with ETF sponsors and industry […]
New Examination Priorities Released by SEC’s OCIE for 2020
February 4, 2020
The Securities and Exchange Commission’s (SEC) Office of Inspections and Examinations (OCIE) released its 2020 examination priorities in January, identifying key areas of potential risk to investors and the capital markets. As in recent years, OCIE highlighted familiar risks like cyber security and anti-money laundering with a focus on protecting retail investors. OCIE also […]