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. [...]
Cyber Security Fundamentals: What Advisers Should Know
Due to a very well-received Cyber Security panel conversation held at a recent Ultimus client event in Cincinnati, Secure Cyber Defense CEO Shawn Waldman and Melvin Van Cleave, Vice President of Ultimus’ Technology Infrastructure, [...]
SEC Makes It Easier to Launch ETFs
NEW RULING ANNOUNCED FROM THE SEC: The Securities and Exchange Commission (SEC) voted unanimously on September 26 to modernize the regulatory framework for Exchange-Traded Funds (ETFs). The new ETF Rule will level the playing [...]
Launching a Registered Fund: Is it Right for You?
This is part one of a series about determining if you’re a fit to start a registered product and how to get it off the ground. You have a successful investment strategy idea. Perhaps you’re [...]
Five Steps to Effective Branding and Marketing for Smaller Asset Managers
At the May 2018 Ultimus Client Summit, Paul Leibowitz of Leibowitz Branding & Design presented on the topic of “Developing Your Story for PR and Marketing Momentum.” To assist asset managers with their branding [...]
Ultimus’ Top Blog Posts of 2018
In 2018 Ultimus published a variety of educational and insightful blog posts to help investment advisers manage various aspects of their firm. Written by subject matters experts at Ultimus, in addition to occasional business [...]
UK & EU Investment Manager Considerations for Entering the U.S. Market
Controlling Key Factors That Appear Insurmountable At the end of 2017, total assets under management in the US were $37.4 trillion USD, which compares to the UK/EU combined $22.2 trillion USD (2018 Boston Consulting [...]
An Overview of Liquidity Risk Management Programs
In October 2016 the SEC adopted new rules, a new form and other amendments designed to promote effective liquidity risk management throughout the open-end investment company industry. The goal is to reduce the risk [...]
Five Top Tips for Assessing Sales Reporting and Data Management Solutions
As an asset manager, you probably have spent countless hours researching and testing the tools needed to find the ideal sales reporting and data management solution for your business. Whether it be a formal [...]
Fund Servicing Conversations: Benefits May Outweigh the Perceived Burden
Conquering or Overcoming FOCO Let’s be honest: When someone starts talking to an investment adviser about transitioning their back-office servicing relationship from one service provider to another, the first reaction of that firm’s decision [...]