ETF Services

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  • Legal Administration Services

    tax formsAs a leader in the industry, our legal administration services group provides guidance and assistance to support ETF managers.

    Our skilled ETF attorneys and support staff are dedicated to meeting the diverse demands of each client. We have experience assisting new ETF managers with applying for a variety of forms of exemptive relief and are prepared to meet all ETF relief requirements in compliance with various sections and rules under the Investment Company Act of 1940. From launching and listing new passive (index-based) or actively-managed funds to servicing existing ETFs, our comprehensive approach to identifying legal needs and crafting matching solutions sets us apart.

    Our legal administration team will keep you up-to-date on the evolving regulatory changes under review by the various regulatory agencies and ensure that we implement modifications to your servicing program before the required deadlines. In addition to providing ongoing education, you can leverage our legal administration team’s expertise regarding regulatory updates, the preparation of board materials, and participation in board meetings.

    • Start-Up Services
      • Trust formation and origination 
      • Fund registration and disclosure preparation
      • Exemptive relief (passive, active, fund of funds, multi-manager, etc.)
      • Coordination with authorized participants, index providers, exchanges, external legal firms, auditors, and distributors
      • Assistance in contract negotiations
      • Legal requirement consultation 
      • Review of ETF sponsor management process 
    • Ongoing Services
      • Fund performance reporting
      • Fund expense management
      • Regulatory reporting
      • Financial audit support
    • Shareholder Matters
      • Delisting
      • Mergers
      • Proxy actions