During 2020 the financial industry experienced unforeseen challenges from remote work environments to market fluctuation, cyber security risks and much more. In response, Ultimus published a variety of informative [...]
Introduction Performing due diligence on vendors is a critical risk mitigation measure. For fund sponsor and investment managers, vendors should act as an extension of your business, and as [...]
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 [...]
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, [...]
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 [...]
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 [...]
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 [...]
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 [...]
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 [...]
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 [...]