1940 Act Mutual Funds

Legal and regulatory administration 

• Drafting initial offering documents, annual updates, and supplements 
• Filing registration statements and updates with the U.S Securities and Exhange Commission (“SEC”) 
• Drafting periodic tender offers and filinge with the SEC 
• Assessing legal and regulatory matters and escalate as appropriate 
• Administering annual Section 15(c) board reviews 
• Managing fund compliance calendars 
• Providing corporate governance 
• Preparing board materials and provide board support 
• Recording board meeting minutes 
• Managing proxy solicitation process and reporting 
• Providing regulatory examination support

Financial administration 

• Preparing periodic financial statements 
• Producing shareholder reports 
• Preparing and filing Forms N-CSR, N-CEN, N-Q, N-PX, and N-PORT 
• Coordinating independent audits 
• Preparing fund fact sheets 

Fund treasury 

• Prepare fund expense forecasts and budgets 
• Validate service provider charges 
• Monitor expense accruals 
• Initiate expense payments