Regulatory Administration Services
We offer top regulatory administration services to support the legal counsel of your ETP.
With skilled attorneys and knowledgeable support staff, we’re prepared to help guide you through ETP relief requirements, as well as compliance with various sections and rules under the Investment Company Act of 1940.
What sets us apart is the comprehensive approach we take to identifying legal needs and crafting matching solutions in conjunction with your legal counsel.
We’ll keep you up to date on evolving regulatory changes. This helps ensure we implement modifications to your servicing program before the required deadlines. We also provide ongoing education and best practices regarding the preparation of board materials and participation in board meetings.
- Start-up services
- Trust formation and origination
- Fund registration and disclosure preparation
- Exemptive relief drafting
- Ongoing services
- Regulatory reporting and performance reporting
- Fund expense management and financial audit support
- Exchange listing matters
- Listing rules compliance oversight
- Mergers and proxy actions