ETFs – Legal Administration

Gemini’s highly skilled Legal Team handles all the necessary internal legal documents required for each fund and works closely with the fund’s chosen outside counsel on all matters pertaining to fund launch, conversion or continued operations.

Fund Launch
  • Coordination of establishment of trust entity in the state of client choice
  • Obtaining of EDGAR access codes for initial registration statement filing with the SEC
  • Filing of initial registration statement with the SEC via EDGAR in conjunction with fund counsel
  • Preparation of declaration of trust and bylaws
  • Obtaining of insurance, audit and custody proposals for Board consideration
  • Preparation and facilitation of organizational Board meeting materials in conjunction with fund counsel
  • Participation in organizational Board meeting to take notes and draft minutes
  • Upon Board approval, coordination of execution and maintenance of all fund servicer provider agreements.
Continued Operations (Quarterly Board Meeting Coordination)
  • Creation of a Board meeting agenda checklist to ensure that all Board approval or review items are scheduled on the quarterly meeting calendar following the conclusion of the organizational meeting
  • Drafting of meeting agendas and proposed resolutions
  • Collection of meeting materials from various fund service providers
  • Printing and mailing of a hard copy Board book to meeting participants or posting materials to a secure online website
  • Participation in each meeting to take notes and draft minutes
SEC Filing Coordination
  • In conjunction with each fund’s advisor, counsel and auditor, annually updating of the fund’s registration statement on Form N-1A or Form N-2, including the creation of XBRL files
  • Drafting and filing of supplements to the fund’s registration statement, as necessary
  • Filing of each fund’s annual proxy voting record on Form N-PX
  • Filing of a copy of each fund’s fidelity bond on EDGAR
  • Filing of proxy related materials for shareholder meetings