Regulatory Administration Services
With an extensively tenured, in-house team, we provide risk-mitigating compliance services to meet the unique needs of every client.
We follow a collaborative business approach and provide guidance and suggestions specific to each fund’s investment strategy. Offering complete start-up assistance to new registrants, we manage the ongoing legal disclosure requirements, including the annual update process for registration statements for numerous and varied open-end investment companies.
In addition to managing communication with the SEC, we will coordinate every step of the way with the fund’s adviser, auditor, counsel, and administrator. Drawing on our extensive network of SEC and industry contacts, we provide a broad and diverse perspective.