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. [...]
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 [...]