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 [...]
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, [...]