Fund Administration & Compliance Services
Our commitment to technology paired with our experienced team allows our clients to increase efficiency and minimize their business and regulatory risks.
With comprehensive fund administration services, our clients can rely on us for management of business and compliance issues.
We utilize a consultative approach to guide the effective launch and management of our clients’ fund products. Our technology systems are integrated with our data warehouse, enabling administrators to provide a consistent, high-quality view of client investment data. Additionally, clients have the ability to receive various financial, compliance, and operational reports.
We take pride in providing superior services tailored to meet the unique needs of our clients, and work to ensure they are receiving the best possible solutions and support. For example, we reviewed one client's fair value method for a security and notified them when a corporate action might affect the yield of a comparable security used in the model. In another instance, when directors wanted more insight into the 15(c) peer group selection, we invited them to our office and led a demonstration on how Morningstar Direct was utilized to screen for peers.
Our complete suite of services provides support to clients in a quality-driven and efficient manner
- Fund compliance services
- Monitor and review all SEC, CFTC, IRS, Prospectus, and SAI compliance
- Compliance calendar management
- Code of ethics compliance
- Insurance coverage monitoring
- Portfolio valuation support including writing meeting minutes and assisting with price challenges
- Financial reporting
- Automated financial statement preparation
- Fund performance reporting
- Regulatory reporting
- Financial audit support
- Proactive FASB interpretation and disclosure
- Fund budgets and expenses
- Prepare fund budgets and annual income/expense projections
- Prepare, monitor, trend, and adjust expense accruals
- Coordinate approval and payment of fund expenses
- Fund board services
- Prepare board materials and attend meetings
- Draft meeting agendas, minutes, and resolutions
- Section 15(c) reporting