Mutual Fund Distribution
Whether it’s fund distribution or compliance, let’s face it, you need an expert
to guide you through the maze and protect your fund, your employees, and even your
shareholders from costly mistakes. As a company born and managed from investment
advisor roots, our sister company, Northern Lights Distributors, LLC (“NLD”), understands
the challenges you face. What affects you affects them. Accessibility and agility
are key traits embodied by NLD, which enables them to quickly turn around your advertising
review, help your fund embrace changes in regulations, and provide solutions to
your other distribution needs.
Benefits To You
Partnering with an industry expert will allow you to focus your time on where it
should be spent – on managing the assets in your fund. NLD can:
- Assist you in understanding applicable regulatory requirements
- Review and file all fund-related sales and advertising materials with FINRA
- Maintain records of all filed sales and advertising materials
- Assist your registered representatives in obtaining and maintaining appropriate
licensing in accordance with FINRA and State laws
- Arrange and maintain all dealer related selling agreements
- Assist your fund in getting set up on various distribution platforms
- Obtain an NSCC number for your fund, using our membership, saving you time
- Support expanded distribution efforts to help you develop, activate and market your
fund to the public, other investment advisors and broker/dealer representatives