Simplify Exchange Traded Funds identifies Simplify Asset Management as adviser, Foreside Financial Services as distributor and The Bank of New York Mellon in several administrative roles. The report also lists funds including Simplify Aggregate Bond ETF, Simplify Ancorato Target 25 Distribution ETF, Simplify Barrier Income ETF and Simplify Bitcoin Strategy ETF.

Key Highlights

  • Simplify Asset Management is identified as adviser, while Foreside Financial Services handles distributor functions.
  • The fund lineup includes Simplify Aggregate Bond ETF, Simplify Barrier Income ETF and Simplify Bitcoin Strategy ETF.
  • Foreside Financial Services is identified as distributor, with an address in Portland, Maine.

Simplify Exchange Traded Funds identifies its principal service providers and lists a range of exchange-traded funds, including Simplify Aggregate Bond ETF, Simplify Ancorato Target 25 Distribution ETF, Simplify Barrier Income ETF and Simplify Bitcoin Strategy ETF. Simplify Asset Management is named as adviser, while Foreside Financial Services is associated with distribution functions. The Bank of New York Mellon is assigned several operational roles across the fund group. The report also names Cohen & Company (AMEX: COHN), Ltd. as auditor. The filing identifies fund-related activities involving debt, derivatives, common Equity and short-term Investment vehicles.

Simplify’s Fund Structure

Foreside Financial Services is identified as distributor. Its address is Three Canal Plaza, Suite 100, Portland, Maine 04101. The records associated with Foreside relate to its distribution functions. Its address is 240 Greenwich Street, New York, New York 10,286. The listed roles establish the named parties responsible for distribution, investment advice, fund administration, transfer agency, custody, accounting and audit functions.

Funds Named In Report

Simplify Aggregate Bond ETF appears as an exchange-traded fund. The report associates it with debt, interest-rate derivatives, common equity and short-term investment vehicles. Ancorato, Legacy Investment Solutions, LLC is identified alongside Simplify Asset Management in the adviser-related information. Simplify Barrier Income ETF is listed separately as an exchange-traded fund. Its associated investment categories include debt, equity derivatives, common equity and short-term investment vehicles. The Depository Trust Company is also named in connection with securities depository functions for this fund. Simplify Bond Bull ETF is another exchange-traded fund in the listed group. Simplify China A Shares PLUS Income ETF is also included among the named funds.

Trading And Custody Roles

The report names The Bank of New York Mellon as the bank associated with section 17(f)(1) functions. The same institution is listed in custody-related information for the funds. L.P. Intercontinental Exchange, Inc. and Refinitiv are named in connection with reference or pricing-related information. The Bank of New York Mellon is also identified in that section. The report lists numerous broker-dealers and execution firms, including Interactive Brokers, Virtu Americas, J.P. Morgan Securities, Goldman Sachs, Nomura Securities International, Morgan Stanley, Barclays Capital, StoneX Financial, Jane Street Execution Services, BofA Securities, IMC Financial Markets, Wolverine Execution Services, Old Mission Markets, BNP Paribas Securities, HSBC Securities, CitiGroup Global Markets, Optiver US, Tigress Financial Partners and BNY Mellon Capital Markets. The named parties cover distribution, advisory, administration, custody, accounting, securities depository and execution functions across the listed ETFs.