Fund actions and fund events
- Initial consultation regarding project scope and development of project plan.
- Production of briefing documents and the briefing of FCA, Trustee/Depositary, Auditors, Legal Advisers, Registrars, HM Revenue & Customs and TPAs.
- Project management and liaison with third parties and internal
- Liaison with IMA and performance measurement agencies.
- Capturing and production of fund information to be included in circulars including portfolio information, performance and yield data, tables of charges etc.
- Coordination of Depositary/Trustee, Legal Advisers, Auditors, TPAs, Registrars in respect of documentation.
- Obtaining tax clearances and necessary advice.
- Production of all necessary applications and notifications to FCA and trustee/depositary.
- Review of Prospectus changes.
- Preparation of notices of reconvened meetings for inquorate meetings changes.
- Technical workshops with regulatory input for UCITS KIIDs and PRIIPs KIDs.
- Drafting of all client communications including covering letter, Circular and voting forms.
- Managing and coordination of third party print, mailing, voting companies and other suppliers.
- Checking and auditing all mailing data to ensure smooth communications.
- Managing voting process.
- Internal communications
- Daily analysis of voting numbers during merger mailing period.
- Review of changes to Key Investor Information Documents and other marketing literature.
- Post fund action communications to market regarding fund closures and the results of voting.
- Liaison with investment desk on any mandate changes
- Review of portfolios to identify inappropriate stocks and consequent advice to investment managers