Legal and Regulatory Administration
- Drafting initial offering documents, annual updates and supplements.
- Filing registration statements and updates with the SEC.
- Drafting periodic tender offers and file with the SEC.
- Assessing legal and regulatory matters and escalate as appropriate.
- Administering annual Section 15(c) Board reviews.
- Managing fund compliance calendars.
- Providing corporate governance.
- Preparing Board materials and provide Board support.
- Recording Board meeting minutes.
- Managing proxy solicitation process and reporting.
- Providing regulatory examination support.
- Preparing periodic financial statements.
- Producing shareholder reports.
- Preparing and filing Forms N-CSR, N-CEN, N-Q, N-PX and N-PORT.
- Coordinating independent audits.
- Preparing fund fact sheets.
- Prepare fund expense forecasts and budgets.
- Validate service provider charges.
- Monitor expense accruals.
- Initiate expense payments.
Global Compliance Regulatory Update Q2 2021
UK announces financial services roadmap- A New Chapter for Financial Services
FATF has added Malta to the ‘Increased Monitoring’ List