Mutual Fund Solutions

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  • Regulatory Administration Services

    balance and gavelWith 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.

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