HOW TO LEVERAGE BIG DATA AND SERVICE PROVIDERS’ TECHNOLOGY TO ADMINISTER YOUR MUTUAL FUND’S COMPLIANCE PROGRAM
“The SEC staff is currently using these [big data] computing environments and is also planning to scale them up to accommodate future applications that will be on a massive scale…We have utilized both machine learning [...]
WHAT ADVISERS NEED TO KNOW ABOUT IMPACT INVESTING: ESG/SRI
Even though the terminology ‘impact investing’ is relatively new in the last 10 years, the concept is not. There are many in the investment arena who are not familiar with details of what impact investing [...]
Q&A: WHY ASSET MANAGERS SHOULD CONSIDER INBOUND MARKETING IN THEIR MUTUAL FUND STRATEGY
Ultimus’ Director of Distribution Strategies, Kevin Guerette, sat down for a quick Q & A session with Stacy Havener, Founder and CEO of Havener Capital, a sales and marketing agency representing undiscovered mutual funds from some of [...]
FINDING AND DEVELOPING YOUR STORY
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 [...]
WARNING SIGNS YOU MAY NEED A NEW FUND ADMINISTRATION PROVIDER
Sticking with the Status Quo May Cost More Than Converting As an investment manager, is your mutual fund administrator a transaction processor fulfilling basic functions? Or is your service provider engaged and strategic, providing high [...]
ROBOTS IN FUND ADMINISTRATION, REALLY.
An analysis of robotic technology benefits in fund administration for Investment Advisers - which also begs the question - is your service provider employing robots to stay ahead of the technology curve? The thought of [...]
EXAMINING THE PRICING VENDOR DUE DILIGENCE PROCESS IN THE MUTUAL FUND SPACE
Rule 38a-1, under the Investment Company Act of 1940, commonly called the “Compliance Rule,” identifies the investment adviser, principal underwriter, administrator and transfer agent as the “significant” service providers to a mutual fund. The Rule [...]
The Importance of SEC Mock Exams
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 [...]
PART 3 – LAUNCHING A MUTUAL FUND: COMPLIANCE & REGULATORY INSIGHTS
This three-part series covers not only what it takes to launch a fund, but what it takes to launch a potentially successful fund. If you missed the first two installments, they can be accessed here: [...]
PART 2 – LAUNCHING A ’40 ACT MUTUAL FUND: TOP 5 FAQS
In part 1, we reviewed the considerations for long-term success when launching a fund, not just the immediate costs to organize and operate a fund. In the next two parts, we answer the top 10 [...]