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Forum Funds – ‘N-CSR’ for 3/31/18 – ‘EX-99.CERT’

On:  Monday, 6/4/18, at 3:38pm ET   ·   Effective:  6/4/18   ·   For:  3/31/18   ·   Accession #:  1435109-18-370   ·   File #:  811-03023

Previous ‘N-CSR’:  ‘N-CSR’ on 3/2/18 for 12/31/17   ·   Next:  ‘N-CSR’ on 6/26/18 for 4/30/18   ·   Latest:  ‘N-CSR’ on 3/1/24 for 12/31/23

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 6/04/18  Forum Funds                       N-CSR       3/31/18    4:10M                                    Atlantic Fd Admi… LLC/FA
          → Absolute Capital Opportunities Fund ⇒ Institutional Shares (CAPOX)
          → Absolute Convertible Arbitrage Fund ⇒ Institutional Shares (ARBIX)
          → Absolute Strategies Fund ⇒ Institutional Shares (ASFIX) — R Shares (ASFAX)
          → Adalta International Fund ⇒ ADAQX
          → Beck, Mack & Oliver Partners Fund ⇒ BMPEX
          → LMCG Global Market Neutral Fund ⇒ Institutional Shares (GMNIX) — Investor Shares (GMNRX)
          → LMCG Global MultiCap Fund ⇒ Institutional Shares (GMCIX) — Investor Shares (GMCRX)
          → LMCG International Small Cap Fund ⇒ Institutional Shares (ISMIX) — Investor shares (ISMRX)
          → Merk Absolute Return Currency Fund ⇒ Institutional Share Class (MAAIX) — Investor (MABFX)
          → Merk Hard Currency Fund ⇒ Institutional Share Class (MHCIX) — Investor Shares (MERKX)
          → Payson Total Return Fund ⇒ PBFDX

Certified Annual Shareholder Report by a Management Investment Company   —   Form N-CSR
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-CSR       Certified Annual Shareholder Report by a            HTML   2.85M 
                          Management Investment Company                          
 4: EX-99.906 CERT  Miscellaneous Exhibit                           HTML      8K 
 3: EX-99.CERT  Miscellaneous Exhibit                               HTML     17K 
 2: EX-99.CODE ETH  Miscellaneous Exhibit                           HTML     67K

EX-99.CERT   —   Miscellaneous Exhibit

This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]

 C: 

Exhibit 1A
Forum Funds

I, Jessica Chase, certify that:

1. I have reviewed this report on Form N-CSR of Forum Funds (Absolute Capital Opportunities Fund, Absolute Convertible Arbitrage Fund, Absolute Strategies Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global MultiCap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fund, Merk Hard Currency Fund, and Payson Total Return Fund);

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.   Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, and changes in net assets of the Registrant as of, and for, the periods presented in this report;

4. The Registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the "Act")) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Act ) for the Registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(c) Evaluated the effectiveness of the Registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the Registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the Registrant's internal control over financial reporting; and

5. The Registrant's other certifying officer and I have disclosed to the Registrant's auditors and the audit committee of the Registrant's board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Registrant's ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the Registrant's internal control over financial reporting.

Date:
May 29, 2018
  
/s/ Jessica Chase
  
     
Jessica Chase
  
     
Principal Executive Officer
  

 
Exhibit 1B
Forum Funds

I, Karen Shaw, certify that:

1. I have reviewed this report on Form N-CSR of Forum Funds (Absolute Capital Opportunities Fund, Absolute Convertible Arbitrage Fund, Absolute Strategies Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global MultiCap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fund, Merk Hard Currency Fund, and Payson Total Return Fund);

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.   Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, and changes in net assets of the Registrant as of, and for, the periods presented in this report;

4. The Registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the "Act")) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Act) for the Registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(c) Evaluated the effectiveness of the Registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the Registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the Registrant's internal control over financial reporting; and

5. The Registrant's other certifying officer and I have disclosed to the Registrant's auditors and the audit committee of the Registrant's board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Registrant's ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the Registrant's internal control over financial reporting.

Date:
May 29, 2018
  
/s/ Karen Shaw
  
     
Karen Shaw
  
     
Principal Financial Officer
  

 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘N-CSR’ Filing    Date    Other Filings
Filed on / Effective on:6/4/18
5/29/18N-CSRS
For Period End:3/31/18N-CSRS,  N-Q,  NSAR-A,  NSAR-B
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Filing Submission 0001435109-18-000370   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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