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Services & Solutions
Services
Mutual Fund Administration
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Chief Compliance Officers
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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.
  • Work with you to ensure your fund and shareholders are receiving the best service.
  • 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

Benefit To You

All of your filings are handled by dedicated fund administrators with a combined total of almost 60 years of industry experience. We worry about 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 humans, not machines.