Mutual Fund Solutions

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  • Regulatory Administration Services

    balance and gavelWith a highly tenured team of attorneys and paralegals, we provide risk-mitigating disclosure and compliance services to meet the unique needs of every client and support their legal counsel.

    We follow a collaborative business approach and provide industry guidance and suggestions specific to each fund’s investment strategy. Offering complete startup assistance to new registrants and funds, we manage the ongoing disclosure requirements, including the annual update process for registration statements for various types of open-end investment companies.

    In addition to managing communication with the SEC, we’ll coordinate every step of the process with the fund’s adviser, auditor, legal counsel and administrator. Drawing on our extensive network of SEC and industry contacts, we provide a broad and diverse perspective.

    Our clients can rely on our legal team for complete support
    • Product design, launch and implementation
    • SEC registration drafting and filing
    • External legal counsel liaison
    • Regulatory filings
    • Daily Blue Sky compliance
    • Exemptive applications