Key Considerations: Comparing Mutual Funds and ETFs
January 21, 2020
The Securities and Exchange Commission (SEC) approved a new rule in September 2019 under the Investment Company Act of 1940 (’40 Act) allowing Exchange-Traded Funds (ETFs) to go-to-market more quickly without having to apply for specific exemptive relief. The new rule went into effect on December 23, 2019. Because of this new rule, advisers […]
Redefining Innovation: The Ongoing Creation of New Ideas That Generate Value for Clients
January 6, 2020
In our latest installment of #TALKtoUltimus, we interview Bill Hortz, Founder and Dean of the Institute for Innovation Development, and explore best practices for companies wanting to create a culture of innovation. Many investment firms and managers use the words innovation and tech-driven as a brand promise. While there are many ways to define […]
Interval and Tender Offer Funds: Reaching Market Acceptance?
December 10, 2019
Market interest has increased rapidly in the last few years regarding two types of registered closed-end funds – interval funds and tender offer funds. These structures represent a fast-growing investment vehicle that is considered by many advisers as one of the best ways of supporting client access to alternatives moving into 2020. What […]
How to Demystify Client-Focused Organizations
November 25, 2019
Ultimus recently kicked off a new podcast series entitled, #TALKtoUltimus. The series is being promoted on social media, via our Blog posts and on a new Podcast page on the website. Below is an introduction to a recent interview with Tim Kight, Founder and Chief Executive Officer of Focus 3, discussing what it means […]
Evaluating Your Legal Fund Administration: Best Value Tips to Consider
November 12, 2019
The fund administration industry is a complex world, and regulatory burdens seem to grow with each passing year. This specialized work can be daunting, even for larger investment firms that have internal legal departments. Investment professionals interested in outsourcing this work should consider letting legal fund administration professionals worry about the rules and regulations […]
Cyber Security Fundamentals: What Advisers Should Know
October 29, 2019
Due to a very well-received Cyber Security panel conversation held at a recent Ultimus client event in Cincinnati, Secure Cyber Defense CEO Shawn Waldman and Melvin Van Cleave, Vice President of Ultimus’ Technology Infrastructure, agreed to share the following tips and other relevant information in honor of October’s National Cyber Security Awareness Month. The […]
SEC Makes It Easier to Launch ETFs
October 15, 2019
NEW RULING ANNOUNCED FROM THE SEC: The Securities and Exchange Commission (SEC) voted unanimously on September 26 to modernize the regulatory framework for Exchange-Traded Funds (ETFs). The new ETF Rule will level the playing field for ETF providers so that, with few exceptions, they are operating under the same rules (i.e., instead of unique […]
Cybersecurity can be intimidating…but it doesn’t have to be
June 25, 2019
As a follow-up to one of our hottest and most talked about discussions at the 2018 Ultimus Client Summit, Shawn Waldman shares more insightful knowledge and tips regarding cybersecurity. Over the years, cybersecurity has become more and more complex because the threats have also heightened in complexity. Years ago, just installing anti- virus on computers […]
5 steps to effective branding and marketing for smaller asset managers
June 19, 2019
At the May 2018 Ultimus Client Summit, Paul Leibowitz of Leibowitz Branding & Design presented on the topic of “Developing Your Story for PR and Marketing Momentum.” To assist asset managers with their branding and marketing efforts, Paul summarizes his presentation and provides valuable tips in the following article. In it he discusses the importance […]
ULTIMUS’ TOP BLOG POSTS OF 2018
June 12, 2019
In 2018 Ultimus published a variety of educational and insightful blog posts to help investment advisers manage various aspects of their firm. Written by subject matters experts at Ultimus, in addition to occasional business partner and industry experts, our blogs cover topics such as ’40 Act products, regulatory issues, distribution challenges, fund structure and data […]