Organize your fund right from the start.
At Ultimus, we offer complete organizational services for your fund. We provide everything you need to meet your requirements, as well as those of your shareholders.
Ultimus furnishes a comprehensive set of start-up services to get your fund up and running quickly - so you can stay focused on your core business.
What We Provide ...
- Advice and research regarding technical and operational matters, including vendor selection, breakeven analysis, and product pricing
- Prepare and file the Agreement and Declaration of Trust, Bylaws and other necessary documents to establish the fund
- Prepare and file the registration statement on Form N-1A
- Prepare and/or review the following fund agreements:
- Investment Advisory, Underwriting, Administration, Accounting and Pricing, Transfer Agent and Custody Agreements
- Distribution (Rule 12b-1) plans
- Prepare the seed money balance sheet and coordinate the seed money audit
- Coordinate and prepare Board of Trustees’ materials for the organizational meeting
- Respond to comments of the Securities and Exchange Commission with respect to the fund’s registration statement
- File documents necessary to qualify the fund for sale in the various states selected by the Adviser
- Prepare Code of Ethics and related reporting and pre-clearance procedures for the fund, the adviser and the servicing entities
- Prepare anti-money laundering policies and procedures, including a customer identification program
- Secure fidelity bond and errors and omissions insurance coverage for trustees, officers and employees
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