Legal Services

In today’s highly regulated environment, ALPS is committed to effectively oversee the legal process in order to minimize a fund’s liability and expense. Amidst the intricacies of mutual fund compliance and regulation, ALPS ensures comprehensive communications to both our clients and their shareholders.

• Review and/or draft required fund contracts and agreements
• Prepare and update annual SEC filings (registration statements, N-PX and N-CSR)
• Coordinate and draft materials for quarterly Board of Trustee meetings
• Prepare proxy materials, as applicable
• Coordinate and monitor BlueSky filings
• Oversee Code of Ethics reporting
• Provide legal advice on fund-related matters
• Coordinate and collaborate with outside counsel