Legal and regulatory administration
- Drafting initial offering documents, annual updates, and supplements
- Filing registration statements and updates with the U.S Securities and Exhange Commission (“SEC”)
- Drafting periodic tender offers and filinge 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
