U.S. Bank Global Fund Services
Dylan Curley
Global Head of Business Development
433 Hackensack Avenue
Hackensack NJ 07601
201-708-9750
Year RC services began: 1994
At U.S. Bank Global Fund Services, we provide comprehensive fund services to investment managers, banks and broker-dealer firms sponsoring mutual funds, exchange-traded funds and alternative investments. Our suite of services includes fund accounting, fund administration, regulatory administration, tax administration, transfer agent, dealer clearing, custody and compliance. We service all product types including open-end, multi-class, closedend, international, domestic, master-feeder, multi-manager, sub-advised, leveraged, managed futures strategy, and MLP funds, ETFs, and C corporation entities.
Chief Compliance Officer (CCO) and
Rule 38a-1 support
Our Regulatory Support Services department maintains a Rule 38a-1 compliance support program for 1940 Act services provided to our clients. To support our clients’ compliance programs, we provide the following through a secure web-based portal:
• Critical business line policies, procedures, compliance controls, and related risk assessments, and testing results, including SOC reviews where applicable
• Quarterly Rule 38a-1 certifications
• Annual Rule 38a-1 reviews
• Universal due diligence questionnaire
• Quarterly teleconferences/webinars and periodic forums and roundtables highlighting compliance related topics, program enhancements, regulatory updates and industry best practices
• AML Reporting
Fund and tax regulatory support
Our dedicated regulatory administration team monitors anticipated, pending and final legislative and regulatory changes within the financial services industry and provides guidance and risk-mitigating compliance services. We have experience in annual registration statement updates, multiple series trusts, load and multiple-class structures, prior related performance, conversions/reorganizations/proxies and more.
Our fund administration and tax professionals provide a full range of services and guidance in planning strategies and compliance, including:
• Fidelity bond and liability insurance coverage monitoring
• Calculation of eligible dividends for corporate shareholders
• Calculation of required distributions for fiscal and excise tax purposes
• Service provider coordination
• Preparation and filing of required financial information and annual forms
• Blue Sky compliance monitoring and state filings
• Full tax consulting and income tax preparation services available for RIC funds, hedge funds, managed futures funds, and MLP RIC and C Corp structures.