During the current market volatility and uncertain times, investment firms and asset managers must be vigilant to remember their regulatory obligations and review pending guidelines to assist with all [...]
In the newest installment of #TALKtoUltimus, a podcast series from Ultimus Fund Solutions, James McGuire, Senior Manager for Adviser Services at Ultimus, interviewed Brooke Gillman, the Managing Director of [...]
Did you know that the FBI is the lead federal agency for investigating cyber attacks by criminals, overseas adversaries, and terrorists? Cyber threats are serious and growing, and intrusions [...]
During the recent Inside ETF Conference, more than 2,300 financial advisers, institutional investors, investment managers, representatives from academia, and many other industry experts gathered in Hollywood, Florida to participate [...]
The Securities and Exchange Commission’s (SEC) Office of Inspections and Examinations (OCIE) released its 2020 examination priorities in January, identifying key areas of potential risk to investors and the [...]
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 [...]
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 [...]
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 [...]
Ultimus recently kicked off a new interview series entitled, #TALKtoUltimus. Below is an introduction to an interview leadership coaching expert, Tim Kight, Founder/CEO of Focus 3. In this podcast, [...]
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 [...]