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 [...]
Defining Adviser Awareness: Key Elements for Creating Effective Distribution Campaigns
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 podcast *HERE. The podcast focuses [...]
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 [...]