Foreside // Investment Company Services // SOX Fund Officer Service

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 December 2008, Foreside staff hold more than 150 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:
David Whitaker vCard DAVID WHITAKER
Chief Operating Officer, Foreside Financial Group, LLC

News

Sep 30 2009

Foreside is pleased to announce Susan Mosher has joined Foreside as President of Foreside Alternative Investment Services ("FAIS"). more

Sep 25 2009

Foreside is pleased to expand its current relationship with Turner Investment Partners. more

Sep 21 2009

Foreside is pleased to expand its current relationship with Bridgeway Capital Management, Inc. more

Sep 15 2009

Foreside welcomes Ardmore Investment Partners LLC as a new client to our firm. more

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Success Stories

Read about the successful experiences that our clients have had with our services.