Focus on your fund's everyday details.
At Ultimus we provide comprehensive fund administration services so you can focus on your strengths: investment management and asset gathering.We offer a complete range of specialized, cost-effective administration services customized to meet your individual needs.
What We Provide ...
Management and Supervision of Fund Operations
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Provide overall day-to-day fund administrative management, including coordination of investment advisory, custody, transfer agent, distribution, and accounting and pricing services
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Provide officers for the fund, if desired
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Assist fund management in obtaining fidelity bond and directors and officers professional liability insurance coverage
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Prepare and maintain fund expense projections, and report expense projections and variances to fund management
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Assist with the layout and printing of shareholder communications, including prospectuses and financial reports to shareholders
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Act as liaison with the fund’s independent accountants, custodian, outside counsel and the Board of Trustees
Board of Trustees Meetings
- Coordinate the scheduling of Board of Trustees’ meetings and prepare materials for the meetings, including agendas, minutes, and reports
- Attend and participate in Board of Trustees’ meetings
- Prepare minutes of the Board of Trustees’ meetings
Regulatory and Compliance
- Prepare and supervise the filing of all federal and state reports on behalf of the fund,
including:
- Post-effective amendments under the Securities Act of 1933 and the Investment Company Act of 1940
- Form N-SAR, the semiannual report for registered investment companies
- Semiannual and annual financial statements (Form N-CSR)
- Quarterly filings of portfolio holdings (Form N-Q)
- Annual proxy voting record filing (Form N-PX)
- Rule 24f-2 notice filing regarding sales of securities
- Rule 17g-1 filing regarding fidelity bond coverage
- Ongoing monitoring and filing of state blue sky registrations
- Prepare, file and arrange for the mailing of reports to shareholders, including prospectuses, financial statements and other reports as required by law
- Maintain all books and records of the fund as required by federal and state law
- Establish and maintain procedures for compliance with federal and state regulations
- Assist the adviser in monitoring for compliance with the fund’s investment limitations and restrictions, as outlined in the prospectus
- Supervise and coordinate materials, communications and other matters in connection with compliance examinations of the fund by the SEC and other regulatory agencies
- Assist the fund’s Chief Compliance Officer in fulfilling his/her duties
Next, Fund Accounting...
