In order, to efficiently address legal matters, our ’40 Act mutual fund attorneys and professionals draft filings, coordinate board meetings, prepare board materials, record minutes and liaise with clients and fund/trustee counsel. Our accounting professionals manage fund expenses and prepare shareholder reports and SEC filings.

Services include:

Legal and Regulatory Administration

  • Drafting initial offering documents, annual updates and supplements
  • Filing registration statements and updates with the SEC
  • Drafting periodic tender offers and file 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

Get in touch with our team

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