1940 Act Mutual Funds

In order, to efficiently address legal matters, our ’40 Act mutual fund attorneys and professionals draft filings, coordinate board meetings, prepare board materials, record minutes and liaise with clients and fund/trustee counsel. Our accounting professionals manage fund expenses and prepare shareholder reports and SEC filings.

Services include:


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.


Financial Administration



  • 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.


Fund Treasury



  • Prepare fund expense forecasts and budgets.
  • Validate service provider charges.
  • Monitor expense accruals.
  • Initiate expense payments.

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