Mutual Fund Legal, Regulatory and Financial Administration

Mutual Fund Legal, Regulatory and Financial Administration

Apex’s 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 to efficiently address legal matters. Our accounting professionals manage fund expenses and prepare shareholder reports and SEC filings.

Legal and Regulatory Administration Services include:

  • Draft initial offering documents, annual updates and supplements
  • File registration statements and updates with the SEC
  • Draft periodic tender offers and file with the SEC
  • Assess legal and regulatory matters and escalate as appropriate
  • Administer annual Section 15(c) Board reviews
  • Manage fund compliance calendars
  • Provide corporate governance
  • Prepare Board materials and provide Board support
  • Record Board meeting minutes
  • Manage proxy solicitation process and reporting
  • Provide regulatory examination support

Financial Administration Services include:

  • Prepare periodic financial statements
  • Produce shareholder reports
  • Prepare and file Forms N-CSR, N-CEN, N-Q, N-PX and N-PORT
  • Coordinate independent audits
  • Prepare fund fact sheets

Fund Treasury Services include:

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