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 [...]
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 [...]
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 [...]
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 [...]