UK & EU INVESTMENT MANAGER CONSIDERATIONS FOR ENTERING THE US MARKET
February 12, 2019
Controlling Key Factors That Appear Insurmountable At the end of 2017, total assets under management in the US were $37.4 trillion USD, which compares to the UK/EU combined $22.2 trillion USD (2018 Boston Consulting Group: Global Asset Management 2018: The Digital Metamorphosis). As 2019 begins, both markets face political headwinds with the partial US government […]
AN OVERVIEW OF LIQUIDITY RISK MANAGEMENT PROGRAMS
January 22, 2019
In October 2016 the SEC adopted new rules, a new form and other amendments designed to promote effective liquidity risk management throughout the open-end investment company industry. The goal is to reduce the risk that funds will be unable to meet their redemption obligations and mitigate dilution of the interests of fund shareholders. The amendments […]
5 TOP TIPS FOR ASSESSING SALES REPORTING AND DATA MANAGEMENT SOLUTIONS
November 27, 2018
As an asset manager, you probably have spent countless hours researching and testing the tools needed to find the ideal sales reporting and data management solution for your business. Whether it be a formal product offering or home-grown process, the act of finding the right solution does not need to be as daunting as it […]
FUND SERVICING CONVERSIONS: BENEFITS MAY OUTWEIGH THE PERCEIVED BURDEN
November 13, 2018
Conquering or Overcoming FOCO Let’s be honest: When someone starts talking to an investment adviser about transitioning their back-office servicing relationship from one service provider to another, the first reaction of that firm’s decision maker is somewhere among stomach ache, dizziness and downright fear. Am I right? Whether one admits it out loud or not, […]
HOW ADVISER’S WEBSITES CAN ATTRACT MORE INVESTORS
October 30, 2018
In a digitally wired world, having a website that is attractive, dynamic and compelling is essential. After all, it is the hub of a firm’s online presence where as much as 80 percent of the marketing and sales cycle takes place. In an industry that controls trillions of dollars in investor assets, there is no […]
Launching a Registered Fund: Is it Right for You?
October 2, 2018
This is part one of a series about determining if you’re a fit to start a registered product and how to get it off the ground. You have a successful investment strategy idea. Perhaps you’re currently using it in your SMAs. You’ve done the math and know that you’re missing out on revenue by turning […]
Launching a Registered Fund: Is it Right for You?
This is part one of a series about determining if you’re a fit to start a registered product and how to get it off the ground. You have a successful investment strategy idea. Perhaps you’re currently using it in your SMAs. You’ve done the math and know that you’re missing out on revenue by turning […]
Launching a Registered Fund: Is it Right for You?
This is part one of a series about determining if you’re a fit to start a registered product and how to get it off the ground. You have a successful investment strategy idea. Perhaps you’re currently using it in your SMAs. You’ve done the math and know that you’re missing out on revenue by turning […]
NAVIGATING MARKETPLACE CHANGES TO AN ADVISER’S ADVANTAGE
An Update on Product Trends in the Mutual Fund Industry Investment advisers with longstanding mutual funds, as well as advisers looking to make their first foray into the ’40 Act Fund world, usually have distinct opportunities when it comes to growing their assets under management (AUM). In both cases, innovation is always a key component […]
The Important of SEC Mock Exams
May 31, 2018
Recently, the U.S. Securities and Exchange Commission (SEC) has been showing up unannounced at registered investment advisors’ (RIA) offices to conduct surprise investigations in order to: Better understand how an RIA operates on an everyday basis. Avoid allowing the RIA to “clean up” its compliance program and records after receiving notice of an impending SEC […]