Legal Administration

Legal Administration 2018-05-22T16:19:32+00:00

Gemini’s highly skilled legal administration team handles all internal legal documents for your fund and works closely with your fund’s chosen outside counsel on all matters pertaining to launch, conversion, or continued operations. Specific services we provide include:

Fund Launch

  • Assist with prospectus and statement of additional information (SAI) drafting, as well as completing of SEC filings

  • Prepare and maintain contracts, including:

    • Investment Advisory Agreement
    • Sub-Advisory Agreements
    • 15c Memo & Advisory Contract Approval Materials
    • Underwriting Agreement
    • Transfer Agent Agreement
    • Administration and Fund Accounting Agreement
    • Custody Agreement
    • 12b-1 Agreement
  • Obtain insurance, audit, and custody proposals for board consideration

  • In conjunction with fund counsel, prepare and facilitate organizational board meeting materials

  • Upon board approval, coordinate execution and maintenance of all fund service provider agreements

Ongoing Operations

  • Work in conjunction with you, your fund counsel, and your fund’s auditor to annually update your fund’s registration statement on Form N-1A

  • Draft and file supplements to your fund’s registration statement, as necessary

  • File a copy of your fund’s fidelity bond on Form 40-17G

  • Prepare proxy-related materials for shareholder meetings

  • Draft board meeting agendas and proposed resolutions

    • Collect all meeting materials from service providers
    • Print and mail hard copy board books to participants or provide secure electronic posting
  • Attend all meetings to take notes and draft minutes

  • Serve as liaison between you and the board to follow up on and assist in the implementation of board directives

In addition, in the event of an SEC or regulatory exam, our legal administration group will work with you every step of the way to prepare, provide document production support, and provide guidance throughout the exam.