NEW! eBook: Investment Data Compliance & the New SEC Advertising Rules
At the end of 2020, the SEC finally released their new Advertising rules. What does this mean for investment data management & distribution? A lot, it turns out. Because investment data published to the industry databases is used for both client acquisition and retention, it should be considered advertising and thus falls within the SEC […]
Investment Data Marketing: Creating a Cohesive, Data-Driven Story for Your Firm
When meeting and consulting with clients, most investment data specialists refer to 5 datasets managers need to populate in their investment database profiles: Performance, AUM, Holdings, Characteristics, and Personnel. These are the quantitative datasets. And yes, they are each very important. However, we at APX Stream believe there are, in fact, 7-9 datasets for which […]
Establishing Differentiation with Investment Data Marketing
As you know, the investment management industry is facing unprecedented headwinds. Establishing differentiation is among the most effective ways for managers to come out the other side stronger than ever. But differentiation is more than simply having a nice brochure and a pretty website. It requires investment data marketing, and lots of it. When it […]
Why Consulting is Vital to Outsourced Investment Data Distribution
When investment management firms outsource components of their back office business functions, they should have certain expectations. In absolute terms, it’s another line item in the budget nobody really wants to pay, but if the decision has been carefully considered, it’s usually worth the investment. Broadly, what should an outsourcing relationship accomplish? Numbers 1 and […]
Effective Due Diligence: Evaluating an Investment Data Distribution Partner
Honestly, this piece could easily apply to any outsourcing relationship an investment manager might find itself contemplating; after all, whenever an investment manager decides to outsource a part of their business function, performing effective due diligence is key. The whole point of outsourcing is to free up internal resources that have more valuable application elsewhere […]
Five Things You Should Expect From Your Investment Data Distribution Partner
Outsourcing your firm’s investment data management and distribution strategy is a liberating experience. When investment managers partner with the right vendor, its data marketing strategy can become, at once, more professional, more consistent, more thorough, and more accurate. The caveat here, of course, is that data distributors have a wide range of capabilities and degrees […]
Electronic Due Diligence & Investment Data Compliance
How do gatekeepers utilize data? The same way managers do – it’s all about the search and assess process.
Whereas investment managers look to metrics such as growth rates, financial ratios, profitability, and a company’s balance sheet, consultants and other database subscribers look at the data that results from a manager’s operations to guide their search.
Article: New SEC Guidance Means an Evolving Landscape for Investment Data Compliance
As we have explained in recent posts, the SEC has introduced new proposed guidelines for investment management advertising and marketing.
While the reasons for these proposed enhancements are numerous, the SEC has clearly stated the three main factors for their issuance:
Investment Data Compliance: Using Performance to Enhance Growth
Summary: Despite proposed enhancements to its advertising rules, the SEC’s focus on datasets related to manager performance remains paramount. And because performance is among the most powerful testaments to an investment management firm’s approach and execution, ensuring that data is reconciled and accurately portrays a firm’s position is a pressing, yet underrated, compliance responsibility. So, […]