Listed funds

Choosing an experienced service provider is crucial for the effective governance of listed funds, given the constant evolution in regulations, governance, and risk management, alongside heightened investor scrutiny. 

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With a cross-jurisdictional network of governance, fund administration, and other financial services specialists with substantial expertise in traditional and alternative asset classes, we can help.  

As a partner to you and your advisors, we can deliver a proactive and tailored-for-listed-funds-service underpinned by leading technology, providing peace of mind to your boards, investment managers, and shareholders.  

Our unique single-source solution covering fund, financial, and corporate services will make it easier for you to streamline your operations and focus on achieving your business goals. 

Services include 

Pre-Initial Public Offering services 

• Assisting in the operational set up for the fund 
• Providing input on prospectus and other launch documentation 
• Overseeing the drafting of the financial position and prospects procedures memorandum 

Fund administration 

• Preparing net-asset values and management accounts 
• Drafting interim and annual financial statements 
• Operating bank accounts 
• Providing Special Purpose Vehicle administration and other general administration duties 

Company secretarial services 

• Preparing Annual General Meeting, board and committee meetings 
• Providing ongoing secretarial support to the board of directors 
• Guidance on application of relevant corporate governance codes, listing rules, disclosure guidance, transparency rules, and industry best practice 
• Drafting and release of stock exchange announcements 
• Assisting with annual board, committee, and director performance evaluations 
• Liaising with key service providers and advisers 
• Liaising with proxy voting agencies 
• Providing project management for the audit of interim and annual financial reporting process 
• Drafting the governance sections of the financial statements 
• Drafting of policies and procedures 
• Drafting of terms of reference for board committees 
• Providing local regulatory and compliance support 
• Provision of a suitably qualified and experienced employee to act as the fund’s company secretary 
• Preparing and delivering quarterly fund compliance reports 
• Provision of regular governance updates 

Alternative Investment Fund Managers Directive (“AIFMD”) depositary 

• Supporting safekeeping and verification of documentation and assets 
• Providing safe custody services 
• Maintaining of comprehensive asset registers 
• Supporting operational oversight 
• Facilitating cash monitoring and document tracking 
• Providing AIFMD reporting and liquidity monitoring 

Financial services 

Providing online banking and foreign exchange services. 

Tax compliance 

• Corporation tax returns 
• VAT 
• Payroll