Disrupting the ’40 Act Transfer Agent and Fund Administration Services Landscape
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 (TA) and fund administrator relationships [...]
Volatility Reminds Us to Hedge – There May Be a Better Way to Do That
Many investment managers and asset owners are struggling with a new reality and working to restructure portfolios, all while trying to shrug off a 10-year bull market euphoria-induced hangover. For the last decade, it [...]
Interest in Collective Investment Trusts Growing in Uncertain Market
With the current state of the financial markets, worries over the coronavirus, and a heightened awareness by fund sponsors and investors about the cost of doing business, interest in Collective Investment Trusts (CITs) is [...]
Spending Too Much Time Managing Data? Reevaluating Your Middle Office Environment
With the high volume and complexity of investment products and asset types in the current volatile and uncertain market, many asset managers may be spending too much time on middle office functions, while missing [...]
New SEC Regulations for Broker-Dealers Coming in June
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 aspects of financial services. Currently, [...]
Securities Lending: A Possible Alpha-Generating Source of Fund Revenue
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 Client Relationship Management for eSecLending. [...]
Cyber Security Threats: Top Five Priorities Advisers Should Know
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 are becoming more commonplace, more [...]
Operational Takeaways from the 2020 Inside ETFs Conference
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 in and learn from a [...]
New Examination Priorities Released by SEC’s OCIE for 2020
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 capital markets. As in recent [...]
Key Considerations: Comparing Mutual Funds and ETFs
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 quickly without having to apply [...]