Gemini Connection

Interested in Starting a Mutual Fund? Don’t Forget Compliance.

February 13, 2018

By Lynn Bowley, Senior Compliance Officer, Northern Lights Compliance Services

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The Importance of Mock SEC Exams

January 30, 2018

By Mike Wagner, President, Northern Lights Compliance Services 

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Amendments to Form ADV and the Books and records rule become effective on October 1, 2017

July 27, 2017

By Kristin McCann, Senior Vice President & Chief Compliance Officer

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The Ever-changing role of a fund administrator

July 6, 2017

By Rom Beneche, CPA, Vice President, Business Development

The role of the fund administrator has evolved from a service provider into a partnership.

I have spent quite a bit of time as a fund administrator and I remember the days when a fund administrator would simply calculate your NAV every month and that was basically...

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Don't Let Malware make You "Wanna Cry"

June 27, 2017

On May 12, 2017, an unprecedented wave of ransomware spread via the internet hitting organizations and individuals around the world. The ransomware known as “WannaCry” quickly became front page news.  The purpose of the ransomware, developed by cyber-criminals, was to extort money. The way it accomplished this was to infect...

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The 3 P's (plus a few) of Fund Distribution

June 15, 2017

By Jace Schuppan, National Sales Manager

It’s no secret that fund distribution has become increasingly difficult in today’s market. The universe of products is much larger, technology/data requirements are ever-growing, and regulatory changes are impacting the model of distribution we have come to know. For the most part,...

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What Are Managed Futures?

June 8, 2017

By Tyler Resch, Vice President, IASG

If an average investor were asked what a futures contract is, he or she would probably answer, “I am not really sure, but it sounds complicated and probably doesn’t impact me.”  Futures contracts are agreements to buy or sell a specific item, in a specific quantity, of a defined quality,...

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It's Graduation Time!

May 25, 2017

By Josh Kohn and Vicki Todd 

It’s that time of year when many people are ending one chapter of their life and getting ready to start a new one outside of school.  And, while they may have picked their degree major, they don’t always know what they want to do in the real-world workplace. 

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A Gemini Evolution

May 10, 2017

The latest issue of the Exchange is online now! If you are not subscribed to the newsletter, click here!

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What's the Best Way to Manage Risk?

May 4, 2017

By Andrew Rogers, The Gemini Companies


There are many different methods to calculate and monitor portfolio risk. However, many believe that the best approach starts with, and is generally driven by, the philosophy and requirements of the investor within the context of the investment mandate and portfolio goals. Effective...

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