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 [...]
Redefining Innovation: The Ongoing Creation of New Ideas That Generate Value for Clients
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 culture of innovation. Many investment [...]
Interval and Tender Offer Funds: Reaching Market Acceptance?
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 fast-growing investment vehicle that is considered [...]
Best-in-Class Customer Service: The Intersection Between Strategy and Culture
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, Tim outlines what it means [...]
Evaluating Your Legal Fund Administration: Best Value Tips to Consider
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 that have internal legal departments. [...]