Mutual funds are highly regulated, highly technical, and even skilled professionals require assistance given the degree of regulatory scrutiny. Our experienced team can assist with everything from creating and implementing a testing program for Rule 38a-1 reports to the Board, to providing regulatory examination support prior to and during the SEC review. Our comprehensive services include policy and procedure drafting, review and testing, with special attention hot button issues of the day such as valuation, review of derivative strategies, and cross-trade analysis. On behalf of the Board of the Directors, we can engage in independent reviews of the adviser compliance program, sub-advisers, vendors, anti-money laundering review and well as targeted projects.
Our services include, but are not limited to the following