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.
Interactive Approach
- 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.

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