Investor Servicing & AML Monitoring

Our Investor Services offering includes the follwoing:

  • Maintain the investor records and respective share and partnership registers
  • Monitor ERISA asset levels in accordance with the terms of the Offering Document
  • Process subscriptions/contributions, redemptions/withdrawals and share/capital account transfers, if any, in accordance with KYC/AML/ATF procedures
  • Reconcile and confirm payments of subscriptions/contributions and redemptions/withdrawals
  • Process and disburse the payment of any dividends declared by the Board of Directors
  • Process share transfers subject to Board of Directors approval, as required
  • Seek to ensure investor compliance with the money laundering regulations of the jurisdiction where the fund is domiciled and the applicable regulations in the domicile of the administrator
  • Distribute confirmations of investor holdings
  • Issue and cancel share certificates, if any
  • Report to investors by email, web or fax their respective holdings and values at each period end
  • Distribute Investment Management Reports to Investors as and when required
  • Publish the Net Asset Value per share as requested by the Funds
  • Deal with and reply to all investor correspondence and other communications to the Funds relating to subscriptions/contributions, redemptions/withdrawals and transfer of securities
  • Distribute all Investor notifications including updated offering documents
  • Distribute Audited Financial Statements to Investors each year and any interim statements as requested
  • Disburse payments of approved third party fees and expenses incurred by the Funds
  • Facilitate the payment of duly authorized redemptions
  • Facilitate the transfer of subscription monies to the Fund’s accounts with its prime broker/custodian

Manage Investor due diligence: anti-money laundering (AML) and USA PATRIOT Act compliance (KYC) review

  • Verification that Investor’s funds are remitted from a Financial Action Task Force (“FATF”) recognized bank and if a redemption request is made, that the funds are sent back to the wire instructions on file.
  • Utilize World-Check© to run investor names and associated parties through a database that checks names against different anti-terrorism government lists.
  • Our processes also include ensuring that our staff is current on the latest AML/KYC laws and ensuring that our policies and procedures are current.