Linkedin Twitter About Resources Clients Contact Us Blogs Home>Resources>Ultimus Insights The Rise of ESG and the Importance of ESG Data November 18, 2021|Data Management, Registered Funds Introduction ESG is a hot topic. That’s not surprising given the sums of money flowing into Environmental, Social and Governance (ESG) strategies. Investments in ESG strategies grew 42% from 2018 to 2020. Today, one [...] Read More The DOE Man (or Woman) Cometh: How to Prepare for an SEC Exam November 2, 2021|Compliance, Legal Fund Administration, Regulatory Receiving an examination notice, particularly for the first time, from the Securities and Exchange Commission’s (“SEC”) Division of Examinations (DOE, formerly known as OCIE, Office of Compliance Inspections and Examinations), can be unsettling. Rest [...] Read More Top Five Questions to Ask a Third-Party Marketer – Before Engaging Them for Fund Distribution October 19, 2021|Distribution, Registered Funds Over the years registered fund managers have made the decision to outsource some or all of their distribution efforts. During that time, a number of new models for external, active distribution have emerged and [...] Read More An Alternative Fund Solution for RIAs August 17, 2021|Hedge/Alternative Funds, Registered Funds Today there are about 6,000 companies that trade publicly on the NYSE and Nasdaq. Public listings surged recently from a 2016 low of 3,600, benefitting from a wave of SPAC mergers. However, in total [...] Read More Private Equity: Outsourcing Fund Administration in the New Normal July 27, 2021|Uncategorized In the new normal, outsourcing presents the opportunity for strategic partnerships that provide solutions to investment managers experiencing increasingly formidable fund administration requirements and challenges. The pandemic of 2020-2021 continues to affect the private [...] Read More ETF Market Drivers. Why fund managers are launching exchange-traded funds. June 29, 2021|Exchange-Traded Funds, Registered Funds Why do exchange-traded funds (ETFs) make sense for today’s investors? Maybe it’s tax efficiencies, availability, lower fees, diversification, or a mixture of all of these and more. Today’s ETF market segment is rapidly evolving, [...] Read More Essential Elements of a Fund Compliance Program June 15, 2021|Regulatory In the world of investment company compliance, one can have all of the essential elements of a great compliance program, but without the intangible ingredient of a highly-experienced and attentive Chief Compliance Officer (CCO), [...] Read More SPAC Primer. Workings and Terminology. June 2, 2021|Uncategorized SPACs, also known as blank check companies, are not a new concept; they have been around for more than 30 years. However, 2020 was a record year for SPACs in the U.S., and 2021 [...] Read More Fund M&A Activity is Booming. Things to Know Before You Go. May 18, 2021|Registered Funds Savvy asset managers regularly re-evaluate their business and the market to identify acceleration or pivot strategies that will preserve or enhance their business model. Recently, we’ve seen an increase in asset manager consolidation as [...] Read More Mutual Fund Board Considerations for Insurance in 2021 April 27, 2021|Registered Funds, Uncategorized With 2021 well underway, fund boards will inevitably meet to consider insurance renewals at some point in the near future. Here are a few items for fund boards to consider and ask about heading [...] Read More 12Next Blog Categories Back-Office Services Client-Centric Collective Investment Trusts Compliance Cyber Security Data Management Distribution Exchange-Traded Funds Fund Structure Hedge/Alternative Funds Legal Fund Administration Liquid Alts Managed Account Platforms Middle Office Public Plans Registered Funds Regulatory Series Trust Technology and Innovation Uncategorized Popular Launching a Registered Fund: Is it Right for You? June 24, 2019 The Importance of SEC Mock Exams May 31, 2018 Amendments to Form ADV and the Books and Records Rule July 23, 2017 Blog Archives Blog Archives Select Month November 2021 October 2021 August 2021 July 2021 June 2021 May 2021 April 2021 March 2021 February 2021 January 2021 December 2020 November 2020 October 2020 September 2020 August 2020 July 2020 June 2020 May 2020 April 2020 March 2020 February 2020 January 2020 December 2019 November 2019 October 2019 June 2019 February 2019 January 2019 November 2018 October 2018 September 2018 August 2018 July 2018 June 2018 May 2018 April 2018 January 2018 November 2017 October 2017 August 2017 July 2017 June 2017 May 2017 April 2017 March 2017 February 2017 September 2016 July 2016 March 2016 February 2016 January 2016 October 2015 September 2015 August 2015 July 2015 May 2015 February 2015 January 2015 The Ultimus Group, LLC is an Equal Opportunity Employer. All rights reserved. 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