Compliance Administration. ● Perform daily prospectus & SAI, SEC investment restriction monitoring ● Provide warning/Alert notification with supporting documentation ● Provide quarterly compliance testing certification to Board of Directors
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Sources: Administration, Bookkeeping and Pricing Services Agreement (Rivernorth Opportunities Fund, Inc.)
Compliance Administration. ● Perform daily prospectus & SAI, SEC investment restriction monitoring ● • Provide warning/Alert notification with supporting documentation ● • Provide quarterly compliance testing certification to Board of Directors
Appears in 1 contract
Compliance Administration. ● Perform daily prospectus & SAI, SEC investment restriction monitoring ● • Provide warning/Alert notification with supporting documentation ● • Create monthly comprehensive compliance summary reporting • Calculate section 18 derivative exposure and asset coverage reporting • Provide quarterly compliance testing certification to Board of Directors
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Compliance Administration. ● (i) Perform daily monthly prospectus & SAI, SEC investment restriction monitoring ● monitoring
(ii) Provide warning/Alert notification with supporting documentation ● documentation
(iii) Calculate section 18 derivative exposure and asset coverage reporting
(iv) Provide quarterly compliance testing certification to Board of DirectorsTrustees
a. Fund Administration
(i) Preparation of consolidated financial statements
(ii) Auditor coordination
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Compliance Administration. ● (i) Perform daily prospectus & SAI, SEC investment restriction monitoring ● monitoring
(ii) Provide warning/Alert alert notification with supporting documentation ● documentation
(iii) Create monthly comprehensive compliance summary report
(iv) Calculate Section 18 derivative exposure and asset coverage reporting
(v) Provide quarterly compliance testing certification to Board of DirectorsBoard
Appears in 1 contract