Categorized Insight Articles



Soaring Across the Big Blue Yonder Known as Blue Sky Laws

Arm yourself with the tools to navigate 50-state mutual fund registration requirements while managing fund expenses By Frank Newbauer and Sue Pilcher…

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How Will Small and Mid-Sized Advisers Survive the Pending Regulation Changes?

The investment required to comply with the new SEC Modernization and DOL Fiduciary Rules, the Form ADV Part 1 Amendments, and to continue to maintain a…

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Building Your Compliance Muscle

Building Your Compliance Muscle - Why the SEC’s New Initiative Means RIAs Need to Get Into Better Regulatory ShapeBy Dave Carson, VP Director of Client…

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Rebooting the SOX Discussion

Key Compliance Considerations as the SEC Renews Efforts to Stem Accounting Fraud By Bo Howell, VP Director of Fund Administration, Ultimus Fund Solutions The…

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The New Rules of Board Engagement

How to Take Your Governance Relationship to the Next Level By Bo Howell, VP Director of Fund Administration, Ultimus Fund Solutions It’s no secret that…

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How to Balance Cost and Compliance in the New Regulatory Normal

By Dave Carson, President of Ultimus Managers Trust and VP, Director of Client Strategies of Ultimus Fund Solutions. A little over 10 years ago the SEC…

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Complexity, Competition and the Increasing Importance of Operations

Complexity, Competition and the Increasing Importance of Operations By Todd Heim, Client Implementation Manager, Ultimus Fund Solutions In the wake of…

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Critical Considerations To Help Every Manager Keep Up With Regulatory Scrutiny

Compliance is no longer an industry buzzword, it is a business imperative. By Dave Carson, Director of Client Strategies, Ultimus Fund Solutions; President,…

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