10 Things Execs Lose by Not Outsourcing their RIA’s Back Office Operations

Ever have that feeling of regret when there’s a missed opportunity? Buying too late? Selling too soon? Those feelings are excusable, especially when the decisions are difficult and not so obvious. Even the best investment managers feel that way from time to time. What’s inexcusable is not picking the low-hanging fruit right in front of you, and outsourcing your RIA’s operations is just that. Here are 10 things you are missing out on by not…

Checklists in Investment Operations: Lessons from the World Health Organization

By Stephen Van de Wetering Checklists can save lives – literally. A study by the World Health Organization found at least half a million deaths each year could be prevented by implementing a simple surgical safety checklist. This finding was backed up by a study in the Netherlands, which discovered that using a checklist reduced surgery complications by more than a third, and deaths by almost half. It’s a simple concept, but immensely effective – and…

Are You a Good Candidate for Hedge Fund Operations Outsourcing?

Many small hedge funds, asset managers and wealth management firms are seeing big returns from outsourcing their back office, reconciliation, reporting and compliance functions. This white paper describes how to tell if outsourcing makes sense for your company. By Stephen Van de Wetering, Founder of Empaxis Data Management _______________ The fundamental reason to outsource all or part of your operations is to allow you and your key team to focus on those areas you truly shine:…

How to Get the Most from Your Investment Operations’ Back Office Outsourcing Provider

Many small hedge funds, financial services and wealth management firms are seeing big returns from outsourcing their back office, reconciliation, reporting and compliance functions. Read on to learn how to generate the best return on your partnership with an outsourcing provider. By Stephen Van de Wetering, Founder of Empaxis Data Management _______________ Many investment organizations are now partnering with an external organization to help manage their back-office operations like reporting, reconciliation and compliance functions. Outsourcing…

How to Prepare for an SEC Audit

For many in operations, when you’re notified of a pending SEC audit, your first instinct might be worry and panic. But, like any regulated industry, periodic examinations will take place, so why not put a system in place to ready your organization? The following are the steps we recommend when an office is first notified of its pending audit. These steps are designed to help you prepare and take the stress out of the situation….

Cyber Security–It’s Not an IT Problem

  For many organizations, investment offices and otherwise, cyber security is somewhat of a mystery. This lack of clarity surrounding cyber security for investment offices has, unfortunately, created a number of misconceptions across management as to the best approaches. It’s important for all organizations to hold the notion that cyber security isn’t just an IT problem. So many organizations make that assumption because they have in-house technical expertise, their cyber exposure is something for the…

Employee Turnover: Is the Person Who Knew How to Do Everything Gone?

Outsourcing critical, routine tasks can help you to avoid the headaches turnover can cause in your daily operations. Unexpected employee turnover—we’ve all been there. It can wreak havoc on your firm, impacting far more than just the recruiting and hiring tasks. The untimely departure of key team members charged with critical tasks like reconciliation can push you to levels of frustration you rarely reach under normal conditions. Your employees are the foundation of everything you…

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