Administration

A key component of ALPS’ Fund Administration services is our seamless coordination of all operations that contribute to a fund family’s success.  Our commitment to high-quality service is driven by our experienced staff who maintain a focus on effectively integrating all fund functions.

• Act as a liaison between the fund, adviser and other service providers
• Consult with the adviser on compliance issues
• Maintain and adhere to the fund’s corporate calendar

Monthly

• Perform prospectus compliance and IRS/SEC diversification tests
• Calculate performance figures
• Monitor expense ratios
• Manage fund invoice approval and bill payments
• Review and approve 12b-1 payments

Quarterly

• Analyze budget vs. actual expenses
• Assist in preparation of reports for quarterly Board of Trustee meetings
• Attend Board meetings and facilitate Trustee questions

• Prepare financial statements
• Coordinate layout and printing of reports
• Prepare and submit required financial filings, including Forms N-SAR, N-CSR and N-Q

• Prepare expense budget
• Host independent audits
• Provide support and facilities for SEC exams
• Support legal counsel in preparation of SEC filings, including Forms N-1A and N-PX
• Coordinate renewal of the fund’s Fidelity Bond and E&O policy

• Manage special projects related to creation of new portfolios/classes, proxies and mergers/liquidations
• Assist in renewal of contractual arrangements, including comparative fee analyses