US Mutual Fund Start Ups and Conversions

US Mutual Fund Start Ups and Conversions

At Apex we meticulously manage fund conversions and start-ups to ensure a fund’s regulatory, compliance, tax and operational requirements are fully satisfied. Our specialist teams manage the conversion and start-up process end-to-end, and provide financial transparency of fund operating costs.

Fund Start Up Services include:

  • Provide guidance on mutual fund requirements and regulations
  • Prepare detailed fund operating expense projections
  • Evaluate proposed portfolio for compliance with SEC and IRS regulations
  • Identify registered fund related advisor compliance procedure enhancements
  • Manage the fund launch including coordinating service providers and tracking deliverables
  • Provide best practice and cost management guidance

Fund Conversion Services include:

  • Provide guidance on converting target fund performance
  • Assist with tax analysis of converting accounts
  • Support in-kind conversions
  • Draft plan of reorganization