Mutual Funds
Registration and administration with a focus on client service
We can expertly handle the registration of a new mutual fund or help you expand your existing fund family. Our experienced staff can manage every facet of mutual fund registration, and administration, including minutes and proxy support. Our people offer a tremendous depth of knowledge and dedication to client service, so that our clients can focus on the critical issues of their work.
Comprehensive registration
We have guided the registration of over 115 U.S. mutual funds, including all aspects of registration with the SEC under The Investment Company Act of 1940 and related Blue Sky registration in all 50 states.
Our in-house legal staff works directly with investment advisers and fund sponsors to draft the registration documents. We then forward completed draft documents for review by one of the experienced law firms we use for specific structures or jurisdictions. By completing much of the time consuming document drafting in-house, we help clients reduce the initial cost of organization significantly.
Organizational services
- Draft and file initial registration statement
- Prepare all contracts and operating agreements for execution
- Coordinate Blue Sky registration
- Assist with the formation of the Board of Trustees, including the organizational meeting
- Establish and maintain fund polices and procedures for federal and state compliance
Ongoing administration
- Maintain books and records of the fund as required by federal and state laws
- Prepare financial statements and supporting documentation
- Work closely with external audit and tax return preparation
- Manage the preparation, filing and distribution of proxy materials and periodic reports
- Coordinate and prepare documentation for Board of Trustees' meetings and draft minutes for approval
- Secure and monitor insurance coverage
- Coordinate service providers
Compliance Services
- Provide support for Chief Compliance Officers to fulfill new SEC compliance regulations
- 1940 Act compliance
- Prospectus and SAI compliance
- Regulatory filings
- Blue Sky compliance
- Pre-tax and after-tax calculations and performance reporting
- IRS compliance
Custom client web design and secure on-line access
Our highly qualified MIS and web development staff can custom design an entire website or develop a customized page that links to an existing website. We provide each investment portfolio with a password protected page on its internal website—to provide secure, online access for advisers and shareholders. Advisers can access an administrative view to view various reports and daily updates for their funds. Shareholders can view their individual accounts and general fund information. Potential shareholders can research and request fund information, but proprietary private information is always completely secure.
Copyright © 2008 The Nottingham Company