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Ultimus Blog 2019-07-25T15:26:27-04:00
2407, 2018

FINDING AND DEVELOPING YOUR STORY

July 24, 2018|Industry|

For investment advisers focused on managing a portfolio, the idea of developing public relations and marketing materials is not always top of mind, a high priority, or an easy undertaking. During Ultimus’ Client Summit earlier [...]

3105, 2018

The Importance of SEC Mock Exams

May 31, 2018|Compliance, Registered Funds|

Recently, the U.S. Securities and Exchange Commission (SEC) has been showing up unannounced at registered investment advisers’ (RIA) offices to conduct surprise investigations in order to: Better understand how an RIA operates on an everyday [...]