We manage fund formations to ensure a fund's regulatory, compliance, tax and operational requirements are fully satisfied. We manage the start-up process from beginning-to-end.
- Draft and file registration statements with SEC
- Prepare agreements and plans (i.e. Advisory Agreements, Rule 12b-1 Plan)
- Coordinate 15(c) process with Board
- Provide guidance on operational matters such fund name, fiscal year end
- Prepare fund operating expense projections
- Obtain cusip, ticker and IRS tax identification number
- Register fund with industry tracking organizations (Lipper, ICI, Morningstar)