Category Archives: Compliance
As is often the case, it’s what people do, rather than what they say, that’s most telling.
Let’s get this out of the way early.
If an investment manager
- does good work
- has responsive client service, and
- keeps a decent track record
then there is no reason why they should struggle to grow their assets under management.
If they do, then the problem is the marketing. Full. Stop.
But it’s not because investment management marketers don’t get it – they do. The problem is that marketing is either poorly understood or severely undervalued by the portfolio management team/firm management.Read More
New SEC regulations like Form ADV and N-PORT are putting even more pressure on registered investment companies to examine their regulatory enterprise risk management practices. Fund Operations reported that “RICs need to embrace the mandate of the new regulatory initiatives and proactively develop, implement and maintain robust Regulatory ERM systems to comply with…reporting obligations.”
As regulators continue to amp-up their scrutiny, many asset managers are taking a hard look at how they’re managing disclosures. Read More
When it comes to the automation of marketing materials like fact sheets, people often have a hard time letting go of their InDesign templates. This is understandable. Preserving the InDesign functionality gives marketers a sense of security, especially if they’ve been using this program for years. We see this scenario all the time in both large and small investment company marketing departments.
(To read our blog on Trends in Asset Management Marketing for 2017, click here.)
You know that guy who always has something interesting to share and teaches you something new in each conversation? The guy that always seems to have a pulse on what’s currently going on in the industry? Andrew Corn, CEO of E5A Integrated Marketing, is “that guy” for me.Read More