Sarbanes-Oxley, Fund Officer Service
You can enlist Foreside Management Services, LLC to provide qualified persons to serve as Sarbanes-Oxley/Principal Officers (President/PEO and Treasurer/PFO) of your fund. Alternatively, your can hire us (consulting services) to help review the existing SOX controls and procedures of your Fund.
- As of Jan 2008, Foreside staff hold more than 120 SOX officer positions for more than 100 funds including both series trusts as well as individual funds and ETFs totaling almost $30bn in assets;
- Our services include a review and certification of Form N-CSR (shareholder report) and Form N-Q, as well as Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 ("SOX");
- We undertake a substantive review and certification under the Sarbanes-Oxley Act of 2002 of fund filings on Form N-CSR and Form N-Q;
- We will liaise with the Fund’s auditor and Audit Committee, providing appropriate management representations;
- We will establish, maintain and/or supervise mutual fund disclosure controls and procedures (designed to ensure that information on Form N-CSR and Form N-Q is recorded, processed, summarized and reported timely); and
- We will establish, internal controls over financial reporting (i.e., provide reasonable assurance regarding the reliability of financial reporting and financial statements for external purposes in accordance with GAAP).
Why chose Foreside?
- Outstanding service and close attention to your needs;
- An appropriate 'compliance program' approach to the role of President/PEO and Treasurer/PFO;
- Existing professional and productive relationships with the major fund service providers.
Please see a success story. For further information on how we can help you, please contact:
TRUDI L.C. BAKKE
Director, Fund Financial Reporting, Foreside Financial Group, LLC
News
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
May 27 2008
Rich Berthy will assume the role of President, Foreside Financial Group, LLC from May 30th, 2008. more
May 07 2008
Foreside leases new office space in Columbus, OH to meet expansion plans. more
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Success Stories
Read about the successful experiences that our clients have had with our services.