Are we at an inflection point for sustainable investing?
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 and change is ahead. The [...]
THE NEED FOR YIELD — Why Should Asset Managers Consider Launching an INTERVAL or TENDER OFFER FUND, and What Do They Need to Know
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, regardless of the wealth and [...]
Mutual Funds: Ascertaining the Total Cost of Ownership
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 fees and “other expenses” such [...]
SEC Filings for Mutual Funds: A Reference Guide
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 the fund world, an adviser [...]
3 E’s: Best Practices for Engaging Clients
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 deploy, monitor and adapt have [...]
Top Five Trending Topics for Mutual Fund Boards
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 popular with boards of mutual [...]
Non-transparent, Semi-transparent and Transparent ETFs
Authored by Alma Piscitello, EVP Relationship Management and Larie Lydick, VP ETF & Mutual Fund Services Exchange-traded funds, or ETFs, are generally known for their low costs, tax efficiency potential, security-like trading and [...]
Conversion Considerations for Alts Managers
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 other asset class. In fact, [...]
COVID-19’s Long Reach: Tax-Related Implications for RICs
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 and economic relief benefited RICs [...]
Fair Market Value: How to Craft the Best Policies and Procedures in Today’s Environment
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 shareholders. We have witnessed unprecedented [...]