LEGAL

Legal Services

Quarterly Board Meeting Services - organize and lead planning sessions; board book preparation and distribution; participate in your meeting and prepare the minutes.
Contract Management - negotiate your distribution contracts and maintain executed agreements electronically. ALPS customized database manages document images and provides reporting capabilities.
Regulatory Filings - manage and coordinate SEC Fund filings via EDGAR including N-Q, N-CSR, N-SAR, 24f-2, 40-17g, and 485 filings. Provide annual review of and update to registration statement. Proxy statements and rights offerings.

Under ALPS' structure, clients have access to legal professionals who are intimately familiar with client's products and who are responsible for the client's funds day-to-day.
Dedicated resources providing the client with customized services to meet their specific needs.
Regulatory monitoring which is made available to the client. The ALPS Legal team also provides guidance to clients concerning new regulatory initiatives.
Blue Sky administration is provided on a client by client basis to ensure that the funds are registered for sales in states in which shares are sold.
Planning sessions with clients for board meetings and regulatory filings, to discuss: Preparation and maintenance of compliance calendars, timelines, compliance calendars, responsibilities and action items.