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Regulatory and Compliance Service

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Regulatory & Compliance Service

All regulatory filings including, but not limited to:

  • Initial and Annual Registration Statement drafting as well as EDGARization and completion of SEC filings
  • Drafting and filing Supplements to the Registration Statement
  • Preparation, coordination and solicitation of proxy-related materials
  • Board of Trustees Services including preparation of board materials and meeting minutes
  • Compliance review and management of marketing and advertising materials
  • SEC Audits
  • Other regulatory and compliance services

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    +1 (844) 986-7700

    A One Stop Shop Platform

    Clients receive the distribution and economics qualities of an asset manager, with the full support of an ETF platform.

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    Tidal Financial Group (Tidal) is a leading ETF investment and technology platform facilitating the creation, operation and growth of ETFs

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    Important Considerations: An investor should consider the investment objectives, risks, charges, and expenses carefully before investing. Please read the prospectus carefully before investing. All investments are subject to risks, including the loss of money and the possible loss of the entire principal amount invested. Additional information regarding the risks of an investment is available in the fund’s prospectus. This site is intended for residents of the U.S. only. The information on the website does not constitute an offer for products or services or a solicitation of an offer to any person outside of the United States who is prohibited from receiving such information under the laws applicable to their place of citizenship, domicile, or residence.

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