• Fund actions and fund events
  • Planning phase
    • 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.
  • Technical phase
    • 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.
  • Communications phase
    • 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.
  • Investment management
    • Liaison with investment desk on any mandate changes
    • Review of portfolios to identify inappropriate stocks and consequent advice to investment managers