Mutual Fund Administration
Gemini Fund Services, LLC ("Gemini") administrators actively work with clients to
manage expenses, compliance mandates, performance measurements, board materials,
and much more. For example, our administrators will not only develop treasury budgets,
but will actively assist the advisor in managing and reducing expenses, such as
printing, insurance, EDGAR filing fees, and other costs.
Your administrator will also:
- Actively seek proposals and work with you to select the most efficient services.
- Create a compliance program that is proactive in identifying exceptions and actively
work with you to avoid violations.
- Provide such reports as blue sky compliance, reconciliations, and accounting records
through our web site.
- Attend all board meetings.
- Hold quarterly meetings with you.
- Conduct on-site visits for you and your staff.
- Take minutes from our quarterly meetings.
- Be accessible at all times to answer questions.
What We Provide
- Registration preparation for prospectus, SAI and state blue sky registration filings
- Preparation of articles/by-laws, declaration of trust
- Preparation of fund governance procedures including Code of Ethics, valuation procedures,
clearing agencies, distribution policy
- Preparation and facilitation of organizational board meetings and materials
- Assistance and response with SEC exams and comments
- Independent legal and audit firm search and selection
- Financial statement preparation
- Legal entity preparation and filings
- Maintain fund activity and compliance calendar
- Monitor fund budgets and expenses
- Proposals of insurance coverage and fidelity bond requirements
- Assistance for: class structures, distribution and servicing plan agreements, tax-free
conversions, IRA prototype plans
- Assistance in monitoring SEC compliance, SAI and prospectus compliance and IRS code
compliance and support
- Offshore administration services
Benefit To You
All of your filings are handled by dedicated fund administrators with decades of
industry experience. We efficiently handle all of your filings and meet the various
deadlines, while you focus on your portfolio.
You have a direct line of communication to your fund administrator. If you have
a question about a new strategy or regulation or just want to toss ideas around
with an industry expert, we are accessible to you at any time. We strive to provide
same-day responses and our phones are answered by qualified representatives, not
machines.