Investment Transactions & Documentation

One of the greatest challenges for any institution is resource management. Some jobs are just time consuming and eat away your ability to focus on other areas of your operations.  This is why so many of our clients turn to us for help with investment transactions & regulatory documentation.

Investment Transactions

We handle investment transactions in the same way that you would…by comparing bids and/or offerings amongst several brokerage firms to find both the structure and the pricing that best fits the needs of the credit union’s overall portfolio objectives.

We search through multitudes of offerings to come up with the ones that fit the credit union’s objectives the best. We discuss these offerings with our clients and then allow them to make the final purchase decision. We do not have discretionary authority over the final selection process, but instead strive to empower our clients with enough information that they feel very comfortable making these decisions for themselves.

Once the decision has been made, we take care of all of the transactional details on your behalf.

Regulatory Documentation

Let’s face it, the key to regulatory compliance is to document what you’re doing and why you are doing it. It’s about showing that you have completed your due diligence and have made your decisions based on the information you have collected and analyzed.
After each investment transaction is finalized, we send our clients a file folder containing supporting documentation for the transaction, including many of the descriptive pages that are available on Bloomberg. This packet is intended to satisfy all of the regulatory requirements specified by NCUA.
Comparing offerings from various brokerage firms is one of the more time-consuming parts of managing an institutional investment portfolio.  Another is compiling all of the necessary regulatory documentation.  Let us help by doing these tasks for you. 
Objective Advisors, Inc. is a Registered Investment Advisory firm that is regulated by the Securities & Exchange Commission.