State Street Global Services

Fund Administration

Legal Services

Overview

For mutual funds, staying current with securities and other applicable laws in this fast-changing regulatory landscape is more challenging than ever.  With extensive expertise in the fund industry, State Street is uniquely positioned to provide your mutual funds with timely information about varying rule interpretations and best practices — virtually as they’re created.

Our comprehensive corporate and regulatory services include SEC and public disclosure assistance, corporate services for planning and preparation for fund board meetings, consultation and business planning on regulatory matters relating to portfolio management, fund operations and any potential changes in the fund’s investment policies, operations or structure.

When you outsource your legal administration needs to us, you’ll be assigned a team comprising a senior attorney and a junior attorney or paralegal, all dedicated to servicing your company’s needs, including:

>

Regulatory and board meeting tasks (preparing board materials and minutes)

>

Preparation of SEC filings

>

Support of product development

>

Best practices for legal and fund compliance matters

>

Draft, review and/or rewrite Rule 38a compliance programs

>

Evaluate board book content and provide best practice recommendations

>

Assistance with identifying and establishing relationships with new counsel, auditors or financial printers


Our legal staff has broad experience administering even the most complex funds, averaging more than 13 years of mutual fund expertise from various sources including law firms, investment advisors, mutual fund complexes and other third-party service providers.

 

 

 

 

Client Login
Related Downloads
Related Services