Mutual Funds

 

• Formation and Development
• Strategy and Management Support
• Regulatory Filings

• Compliance Program
• Code of Ethics
• Technology Services & Support

 

 

Formation and Development

 

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Oyster consultants have helped launch dozens of mutual funds.  If you are considering starting a fund, it is important to have a trusted partner to help you understand what happens at each stage of the formation process.  Oyster will assist you in selecting the right service providers to help you start and grow your fund.  Our independent process will help you find a appropriate administrator, auditor, accountant, legal counsel, custodian, underwriter and distributor.  Oyster will assist in the filing and registration process, including drafting your prospectus or private placement offering memorandum and offering materials.  

 

Strategy and Management Support

 

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Oyster Consulting has the experience to help you run and grow your Firm while managing resources wisely.  Oyster can design a process to measure the health, risk and success of your business.  Oyster has a wide network of service providers to support your evaluation and selection of a custodian, transfer agent, underwriter, distributor, or administrator.  Whether you need help analyzing distribution options or preparing and coordinating quarterly board meetings, Oyster wants to make your business thrive.  Oyster experts will assist you in the selection of board directors, trustees and counsel.  

Regulatory Filings

 

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In addition to the support in developing and filing a prospectus and Statement of Additional Information, Oyster can help you coordinate and file your annual and semi-annual reports required the Investment Company Act.  Oyster will also help you prepare and amend your:

• N-1A: Registration From for Investment Companies (effectively the Prospectus and SAI along with other required exhibits)
• N-CSR: Annual Report
• N-SAR: Semi-Annual Report
• N-Q: Quarterly Schedule of Portfolio Holdings
• N-PX: Annual Report of Proxy Voting Record

 

Compliance Program

 

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The Oyster Consulting team is ready to help you implement, refine and test your compliance program.  Oyster’s approach will help build the right program for your firm that is fully customized for your business.  Oyster’s will help design and development of your code of ethics, create or modify your policies and procedures, create a customized compliance calendar, and assist with testing your controls.  Oyster will give you the tools to ensure that your firm’s books and records meet the regulatory requirements, are organized, and easily produce them upon request.

 

Code of Ethics

 

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Oyster has the technology and tools to help you fully implement the requirements under your code of ethics.  Oyster uses Protegent PTA to assist clients with personal trade reviews, gift tracking, political contributions approval, and monthly, quarterly and annual certifications.  This robust tool has the flexibility to support your business, enhance compliance with your policies, and document results.  

 

Technology Services and Support

 

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Oyster can assist in identifying technology service providers to help you run an efficient operation, identify issues, supervise your business and retain your records.  Oyster’s disciplined approach to selecting vendors, planning the implementation, testing, training, and post implementation support will help you achieve your desired results while controlling costs.  Oyster’s team can help you avoid costly and time consuming mistakes that come from selecting the wrong vendor or not using your technology to its fullest extent.