How Technology is Helping Business Finance

Sep 3, 2020 2:00:00 PM

by Lucy Lee Financial technology or fintech for short is extremely beneficial for businesses due to its widespread utility. It refers to software, algorithms, and applications that are used on desktop and mobile platforms. These are used to manage investments, deposit checks, move money across accounts, and make payments. Without being aware of it, almost all consumers use fintech on a daily basis...

Managing Risk

Aug 13, 2020 2:00:00 PM

Foreword by Dina Tantra: As we all continue to navigate the choppy waters of the global pandemic, managing and mitigating risk is yet another cause for sleepless nights.  Our guest blogger, Charlene Aldridge, CEO of Aldridge, Kerr & Associates, helps us to approach this through "Doable, Chewable Chunks®."  Charlene walks us through the way to identify, evaluate, prioritize and mitigate risk. Charl...

CCPA Enforcement Begins July 1 – Are You Ready?

Jun 5, 2020 10:30:00 AM

There are many aspects to compliance and from time to time, I like to bring in complementary experts to share their perspectives and knowledge. This week, I’m delighted to have Michael Williams from Clym (pronounced like “climb”) tell you more about data privacy on your website and an important new regulation from California that can affect any firm in the country. I hope you enjoy this post. Afte...

Who Starts a Business During a Pandemic?

May 7, 2020 3:00:00 PM

By Jody Foster, President of Symphony Consulting Foreword by Bo Howell: I’m delighted to feature guest bloggers from time to time, especially when it’s someone that brings a complementary perspective to our compliance expertise. Jody Foster has been a supporter of Joot from our earliest days. She discusses some of the considerations to keep in mind if you’re planning to start your own fund or RIA....

Rise of the Machines, Part 2: Changing Portfolio Management

Nov 21, 2019 12:30:00 PM

Introduction By John Simmons In Part 1: Rise of the Machines: How increased Automation in financial services impacts society, we discussed some of the benefits and dangers of increased automation with asset managers. In Part 2, we will dive deeper into the key adaptations of an investment advisor. Specifically, we look at how automation is changing portfolio management and what future portfolio ma...

A  Fresh Look at Vendor Due Diligence

Sep 26, 2019 12:44:00 PM

By Nick Horvath Vendor due diligence, an oldie… but a goodie.  Vendor due diligence has been a risk mitigation technique since the words Caveat Emptor were first spoken.  But what about today? How much emphasis should your firm place on vendor due diligence? Why should you care? Let us count the ways. Risk identification is increasingly difficult in our global, digital economy Most small firms don...

An Analysis of the SEC's Proposed Fund of Funds Rule

Apr 19, 2019 11:00:00 AM

SEC’s Proposed Fund of Funds Rule Simplifies Fund of Funds Compliance, But Creates Liquidity Concerns By John Yoder and Bo Howell For over a decade now exchange-traded Funds (“ETFs”) have become a primary investment for asset managers to gain low-cost access to broad segments of the markets. More recently, ETFs have grown to focus on more niche parts of the investment universe (e.g., sector ETFs, ...

Introduction to the Titan Platform – The New Kid on the Block

Sep 7, 2018 9:15:40 AM

An Interview with Principal Michelle Morgan What do you do when you’ve been looking for software for your fund administration company but can’t find anything that does everything you want?  If you’re Michelle Morgan and Peter McKiernan, Canadian chartered accountants with 25 years industry experience each, you build your own. The business partners are proud to introduce Titan, an all-in-one, cloud...

Introduction: Michelle Morgan and Titan Technology

Sep 6, 2018 4:00:06 PM

Dear Readers, I'm pleased to introduce our newest guest author, Ms. Michelle Morgan. As you know, IM Cincy seeks to cover all aspects of the investment management industry, and Michelle brings a unique perspective, particularly on offshore funds and technology. Michelle is the principal and founder of Titan Technology Group, Ltd. ("Titan"), a Cayman affiliate of Advanced Alternative Investment Sys...