COMPLIANCE SUPPORT
Nottingham is pleased to offer in-house legal counsel and an internal audit and tax compliance department, affording our clients significant savings of time and money. Both of these departments are instrumental in the organization of a new fund or the conversion of an existing fund that decides to make the administration switch to Nottingham.
Our in-house legal counsel assists with draft prospectuses, annual reports, initial prospectuses, and most notably Trustee and Shareholder meeting coordination and board materials preparation. They also coordinate with outside special counsel in filing fund documentation for both mutual and hedge funds.
The internal audit group is a critical component to Nottingham’s proprietary operations, tying all other departments together and ensuring that funds under our watch are in full compliance. A major portion of this department’s responsibilities is working with advisors to produce requested performance reports, which often are built into a client’s online fund portal, as well as the production of a fund’s quarterly and annual reports.
As a valuable added service to our clients, Nottingham offers:
- Support for Chief Compliance Officers to fulfill new SEC compliance regulations
- 1940 Act compliance
- Prospectus and SAI compliance
- Regulatory filings
- Blue Sky compliance
- Pre-tax and after-tax calculations and performance reporting
- IRS compliance