Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator: a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board; b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act; c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer; d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses; e. Prepare for review and approval by officers of the Fund the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders; f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon; g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants; h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request; i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate; j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent; k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund; l. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the Administrator; m. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon; n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement; o. Review and provide assistance on shareholder communications; p. Maintain general corporate calendar; q. Maintain copies of the Fund's charter and by-laws; r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel); s. Organize, attend and prepare minutes of shareholder meetings; t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members; u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate; v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents; w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel: x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law; y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A; z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters; aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 2 contracts
Samples: Administration Agreement (Monument Series Fund Inc), Administration Agreement (Monument Series Fund Inc)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee Calculate, submit for review by officers of the Fund, and review calculations arrange for the payment of fees paid to the Fund's investment adviser, custodian custodian, sub-administrator and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar, and with respect to each Investment Fund create and maintain all records required by Section 31 of the 1940 Act and Rule 31a-1 and 31a-2 thereunder, except those records that are maintained by the Fund's custodian, transfer agent, adviser or sub-administrator;
q. p. Maintain copies of the Fund's charter and by-laws;
r. q. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
r. Prepare and furnish the Fund (at the Fund's request) with performance information (including yield and total return information) calculated in accordance with applicable U.S. securities laws and report to external databases such information as may reasonably be requested.
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; . Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and;
bbaa. Prepare and file with the SEC Form N-SAR and Rule 24f-2 notices;
bb. Review and provide assistance on Fund advertisements, sales literature and shareholder communications; and
cc. Prepare and file state notice filings of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein. In performing its duties hereunder, the Administrator shall act in accordance with the charter, bylaws and prospectus of the Fund and with instructions of the Board of Directors of the Fund and will conform to and comply with the requirements of the 1940 Act and all other applicable federal and state laws and regulations, and will consult with legal counsel to the Fund, as necessary and appropriate.
Appears in 2 contracts
Samples: Administration Agreement (St Clair Funds Inc), Administration Agreement (St Clair Funds Inc)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A N-2 and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee Calculate, submit for review by officers of the Fund, and review calculations arrange for the payment of fees paid to the Fund's investment adviser, custodian custodian, sub-administrator and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services o. Oversee, prepare reports and provide periodic testing of the liquidity of the Fund's portfolio with respect to limitations imposed by period tender offers by the Fund pursuant to Rule 23c- 3 under the specific instructions of 1940 Act and to work in conjunction with the Fund Fund's Adviser and legal counsel as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communicationsnecessary or appropriate;
p. Maintain general corporate calendar, and with respect to each Investment Fund create and maintain all records required by Section 31 of the 1940 Act and Rule 31a-1 and 31a-2 thereunder, except those records that are maintained by the Fund's custodian, transfer agent, adviser or sub-administrator;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Prepare and furnish the Fund (at the Fund's request) with performance information (including yield and total return information) calculated in accordance with applicable U.S. securities laws and report to external databases such information as may reasonably be requested.
t. Organize, attend and prepare minutes of shareholder meetings;
t. u. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. v. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. w. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. x. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; . Subject to review and comment by the Fund's legal counsel:
x. y. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-Awhere applicable;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-follow- up on matters raised at Board meetings; and;
bb. Prepare and file with the SEC Form N-SAR and Rule 24f-2 notices;
cc. Review and provide assistance on Fund advertisements, sales literature and shareholder communications;
dd. Prepare and file state notice filings of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule B to this Agreement; and
ee. Prepare and file with the SEC Form N-23-c. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein. In performing its duties hereunder, the Administrator shall act in accordance with the charter, bylaws and prospectus of the Fund and with instructions of the Board of Trustees of the Fund and will conform to and comply with the requirements of the 1940 Act and all other applicable federal and state laws and regulations, and will consult with legal counsel to the Fund, as necessary and appropriate.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the Administrator;Fund; C/M 10675.0002 350708.1
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services o. Subject to review and comment by the fund's legal counsel, prepare and file with the SEC Rule 24f-2 notices; and
p. Prepare and file state registrations of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, services subject to the control, supervision and direction of the Fund Company and the review and comment by the FundCompany's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund Company and the Administrator:.
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the FundCompany's independent accountants and filing by the FundCompany's treasurer;
d. Review the calculation, submit for approval by officers of the Fund Company and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund Company financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund Company the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reportsreports , forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the FundCompany's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. 1. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the FundCompany's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Subchapter M of the Internal Revenue Code mandatory Code, qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain a general corporate calendar;
q. Maintain copies of the FundCompany's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters "Presidents' letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);,
s. OrganizeSubject to review and comment by the Company's legal counsel, organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the FundCompany's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agentsagents with applicable legal requirements;
w. Counsel and assist Assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:;
x. Prepare and file Assist with the SEC filing of amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereofInformation, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation statements and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;dividend
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;; Subject to review and comment by the Fund's legal counsel:
n. Perform Blue Sky services o. Prepare and file with the SEC Rule 24f-2 notices.
p. Prepare and file state registrations of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee Calculate, submit for review by officers of the Fund, and review calculations arrange for the payment of fees paid to the Fund's investment adviser, custodian custodian, sub-administrator and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar, and with respect to each Investment Fund create and maintain all records required by Section 31 of the 1940 Act and Rule 31a-1 and 31a-2 thereunder, except those records that are maintained by the Fund's custodian, transfer agent, adviser or sub-administrator;
q. p. Maintain copies of the Fund's charter and by-laws;
r. q. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
r. Prepare and furnish the Fund (at the Fund's request) with performance information (including yield and total return information) calculated in accordance with applicable U.S. securities laws and report to external databases such information as may reasonably be requested.
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; . Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and;
bbaa. Prepare and file with the SEC Form N-SAR and Rule 24f-2 notices;
bb. Review and provide assistance on Fund advertisements, sales literature and shareholder communications; and
cc. Prepare and file state notice filings of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein. In performing its duties hereunder, the Administrator shall act in accordance with the charter, bylaws and prospectus of the Fund and with instructions of the Board of Trustees of the Fund and will conform to and comply with the requirements of the 1940 Act and all other applicable federal and state laws and regulations, and will consult with legal counsel to the Fund, as necessary and appropriate.
Appears in 1 contract
Samples: Administration Agreement (Munder Framlington Funds Trust)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the BoardBoard and as may be set forth in the Fund's prospectus and statement of additional information;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer: the Fund's Federal tax return on Form 1120-RIC and related schedules; the Fund's state and local income tax returns and franchise tax returns, where applicable; and the Fund's Federal excise tax return on Form 8613;
d. Review calculationPrepare and file U.S. Treasury Form 1099 MISC;
e. Consult with the Fund's Treasurer regarding tax policies;
f. Coordinate all communications and data collection with regard to annual audits by Fund's independent accountants.
g. Prepare Fund's annual budget; analyze expenses and accruals; and review calculation of, submit for approval by Fund's officers of the Fund and arrange for payment of the Fund's expenses;
e. h. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. i. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. j. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. k. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. l. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. m. Oversee and review calculations of fees paid to the Fund's investment adviser, subadvisers, custodian and Transfer Agent;
k. n. Consult with the Fund's officers, independent accountantsaccountant, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. o. Review implementation of any dividend reinvestment programs authorized by the Board;
p. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. Provide periodic testing of portfolios q. Monitor investment and fund operating compliance and provide summary reports to assist the Fund's investment adviser in complying with Internal Revenue Code ensuring compliance with: appropriate GAAP/Tax treatment; IRC Section 851 mandatory requirements for qualification requirementsas a regulated investment company (i.e., the requirements of the asset diversification tests, qualifying income tests, 50% foreign securities test, if applicable and 50% tax-exempt tests, if applicable); 1940 Act requirements including asset diversification tests, collateral requirements and if applicable, Rule 2a-7 requirements; and certain Fund prospectus limitations investment limitations, as may be mutually agreed upon;
n. Perform Blue Sky services pursuant r. Compute and recommend distribution amount necessary to satisfy the specific instructions requirements of the Fund IRC Section 852 and as detailed in Schedule C to this Agreement4982;
o. s. Prepare such management reports and Board of Trustees materials as may be mutually agreed upon (e.g., unaudited financial statements, portfolio holdings expense ratio analysis, distribution summaries and if applicable, xxxx-to market reporting);
t. Review and provide assistance on shareholder communications;
p. u. Maintain general corporate calendar;
q. v. Maintain copies of the Fund's charter and by-laws;
r. w. File annual and semisimi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. x. Organize, attend and prepare minutes of shareholder meetings;
t. y. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. z. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. aa. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. bb. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. cc. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.edd. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aaee. Prepare agenda and background materials for Board meetings, make presentations where appropriateattend Board meetings, prepare minutes and follow-up on matters raised at Board meetings; and
bbff. Prepare and file with the SEC Rule 24f-2 notices, and gg. Assist in the evaluation and obtaining of fidelity bond and trustees and officers errors and omissions liability insurance coverage. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A [N-1A/N-2] and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the and Fund's registration statementstatement and amendments thereto, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and;
bbaa. Prepare and file with the SEC Rule 24f-2 notices; and
bb. Prepare and file necessary documentation to allow the Fund to offer and sell its shares in various states pursuant to the specific instructions of the Fund and as detailed in Schedule B to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A [N-1A/N-2] and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
; i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
; o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statementstatement and amendments thereto, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bbaa. Prepare and file with the SEC Rule 24f-2 notices; and
bb. Prepare and file necessary documentation to allow the Fund to offer and sell its shares in various states pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A [N-1A/N-2] and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
; i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
; o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statementstatement and amendments thereto, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bbaa. Prepare and file with the SEC Rule 24f-2 notices; and
bb. Prepare and file necessary documentation to allow the Fund to offer and sell its shares in various states pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Samples: Administration Agreement (Kobrick HFS Investment Trust)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports statements required to be filed with the Securities and Exchange Commission ("SEC") on as parts of Form N-SAR 10K and 10Q. Branxxxx Xxxital Corporation is responsible for preparing Forms 10K and 10Q other than the financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed uponstatements;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance . The Administrator will rely on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to adviser's determination that an investment is an Eligible Portfolio Company under the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices1940 Act. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant ; [Items o through aa to the specific instructions of the Fund and as detailed in Schedule C be inserted only if Legal Administration Services are to this Agreement;be provided.]
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bbaa. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Samples: Administration Agreement (Monument Series Fund Inc)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b31a-l(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A [N-lA/N-2] and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. 1. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant ; [Items o through aa to the specific instructions of the Fund and as detailed in Schedule C be inserted only if Legal Administration Services are to this Agreement;be provided.]
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bbaa. Prepare and file with the SEC Rule 24f-2 notices. [bb. Prepare and file state registrations of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement.] [Item bb to be inserted only if Blue Sky services are to be provided.] The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Samples: Administration Agreement (Sierra Prime Income Trust)
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
; i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee Calculate, submit for review by officers of the Fund, and review calculations arrange for the payment of fees paid to the Fund's investment adviser, custodian custodian, sub-administrator and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar, and with respect to each Investment Fund create and maintain all records required by Section 31 of the 1940 Act and Rule 31a-1 and 31a-2 thereunder, except those records that are maintained by the Fund's custodian, transfer agent, adviser or sub-administrator;
q. p. Maintain copies of the Fund's charter and by-laws;
r. q. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
r. Prepare and furnish the Fund (at the Fund's request) with performance information (including yield and total return information) calculated in accordance with applicable U.S. securities laws and report to external databases such information as may reasonably be requested.
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; . Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bbaa. Prepare and file with the SEC Form N-SAR and Rule 24f-2 notices;
bb. Review and provide assistance on Fund advertisements, sales literature and shareholder communications; and
cc. Prepare and file state notice filings of the Fund's securities pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein. In performing its duties hereunder, the Administrator shall act in accordance with the charter, bylaws and prospectus of the Fund and with instructions of the Board of Directors of the Fund and will conform to and comply with the requirements of the 1940 Act and all other applicable federal and state laws and regulations, and will consult with legal counsel to the Fund, as necessary and appropriate.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee Calculate, submit for review by officers of the Fund, and review calculations arrange for the payment of fees paid to the Fund's investment adviser, custodian custodian, sub-administrator and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Review implementation of any dividend reinvestment programs authorized by the Board;
m. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFund;
m. n. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar, and with respect to each Investment Fund create and maintain all records required by Section 31 of the 1940 Act and Rule 31a-1 and 31a-2 thereunder, except those records that are maintained by the Fund's custodian, transfer agent, adviser or sub-administrator;
q. p. Maintain copies of the Fund's charter and by-laws;
r. q. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of "President's letters letters" to shareholders and sections of "Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto Fund Performance" (which shall also be subject to review by the Fund's legal counsel);
r. Prepare and furnish the Fund (at the Fund's request) with performance information (including yield and total return information) calculated in accordance with applicable U.S. securities laws and report to external databases such information as may reasonably be requested.
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; . Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto)Information, and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable lawwhere applicable;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. z. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and;
bbaa. Prepare and file with the SEC Form N-SAR and Rule 24f-2 notices;
bb. The Administrator shall Review and provide assistance on Fund advertisements, sales literature and shareholder communications; and
cc. Prepare and file state notice filings of the office facilities Fund's securities pursuant to the specific instructions of the Fund and the personnel required by it as detailed in Schedule C to perform the services contemplated hereinthis Agreement.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:
a. Oversee the determination and publication of the Fund's net asset value in accordance with the Fund's policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's custodian of certain books and records of the Fund as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's federal, state and local income tax returns for review by the Fund's independent accountants and filing by the Fund's treasurer;
d. Review calculation, submit for approval by officers of the Fund and arrange for payment of the Fund's expenses;
e. Prepare for review and approval by officers of the Fund financial information for the Fund's semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for the Fund the Fund's periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the Fund as may be mutually agreed upon and not otherwise prepared by the Fund's investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the Fund;
l. Respond to, or refer to the Fund's officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the Administrator;
m. Provide periodic testing of portfolios to assist the Fund's investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund and as detailed in Schedule C to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
Administration Services. The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund Funds and the review and comment by the Fund's Funds' auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund Trust and the Administrator:
a. Oversee the determination and publication of the Fund's each Funds' net asset value in accordance with the Fund's Funds' policy as adopted from time to time by the Board;
b. Oversee the maintenance by the Fund's each Funds' custodian of certain books and records of the Fund Funds as required under Rule 31a-1(b) of the 1940 Act;
c. Prepare the Fund's each Funds' federal, state and local income tax returns for review by the Fund's Funds' independent accountants and filing by the Fund's Funds' treasurer;
d. Review calculation, submit for approval by officers of the each Fund and arrange for payment of the Fund's each Funds' expenses;
e. Prepare for review and approval by officers of each Fund financial information for the Fund the Fund's Funds' semi-annual and annual reports, excluding any applicable disclosure required by sections (a) and (c) of Item 5A of Form N1-A (Management's Discussion of Fund's Performance) and President's letters to shareholders, financial information for proxy materials statements and other communications required or otherwise to be sent to Fund shareholders, and arrange for the printing and dissemination of such reports and communications to shareholders;
f. Prepare for review by an officer of and legal counsel for each Funds the Fund the Fund's Funds' periodic financial reports required to be filed with the Securities and Exchange Commission ("SEC") on Form N-SAR and financial information required by Form N-1A and such other reports, forms or filings as may be mutually agreed upon;
g. Prepare reports relating to the business and affairs of the each Fund as may be mutually agreed upon and not otherwise prepared by the Fund's Funds' investment adviser, custodian, legal counsel or independent accountants;
h. Make such reports and recommendations to the Board concerning the performance of the independent accountants as the Board may reasonably request;
i. Make such reports and recommendations to the Board concerning the performance and fees of the Fund's each Funds' custodian and transfer and dividend disbursing agent ("Transfer Agent") as the Board may reasonably request or deems appropriate;
j. Oversee and review calculations of fees paid to the Fund's each Funds' investment adviser, custodian and Transfer Agent;
k. Consult with the Fund's each Funds' officers, independent accountants, legal counsel, custodian and Transfer Agent in establishing the accounting policies of the FundFunds;
l. Respond to, or refer to the Fund's each Funds' officers or Transfer Agent, any shareholder inquiries relating to the Fund received by the AdministratorFunds;
m. Provide periodic testing of portfolios to assist the Fund's each Funds' investment adviser in complying with Internal Revenue Code mandatory qualification requirements, the requirements of the 1940 Act and Fund prospectus limitations as may be mutually agreed upon;
n. Perform Blue Sky services pursuant to the specific instructions of the Fund Funds and as detailed in Schedule C B to this Agreement;
o. Review and provide assistance on shareholder communications;
p. Maintain general corporate calendar;
q. Maintain copies of the Fund's charter and by-laws;
r. File annual and semi-annual shareholder reports with the appropriate regulatory agencies; review text of President's letters to shareholders and sections of Management's Discussion of Fund's Performance not already prepared by the Administrator pursuant hereto (which shall also be subject to review by the Fund's legal counsel);
s. Organize, attend and prepare minutes of shareholder meetings;
t. Provide consultation on regulatory matters relating to portfolio management, Fund operations and any potential changes in the Fund's investment policies, operations or structure; act as liaison to legal counsel to the Fund and, where applicable, to legal counsel to the Fund's independent Board members;
u. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect the Fund, update the Board and the investment adviser on those developments and provide related planning assistance where requested or appropriate;
v. Develop or assist in developing guidelines and procedures to improve overall compliance by the Fund and its various agents;
w. Counsel and assist the Fund in the handling of routine regulatory examinations and work closely with the Fund's legal counsel in response to any non-routine regulatory matters; Subject to review and comment by the Fund's legal counsel:
x. Prepare and file with the SEC amendments to the Fund's registration statement, including updating the Prospectus and Statement of Additional Information (and any supplements thereto), and arrange for the printing and dissemination of Prospectuses (and any supplements thereto) to existing shareholders, at least annually, or more often if required by applicable law;
y. To the extent not already prepared pursuant to 5.e. hereof, prepare prospectus disclosure pertaining to Management's Discussion of Fund's Performance excluding any disclosure required by sections (a) and (c) of Item 5A of Form N1-A;
z. Prepare and file with the SEC proxy materials including proxy statements; provide consultation on proxy solicitation and tabulation matters;
aa. Prepare agenda and background materials for Board meetings, make presentations where appropriate, prepare minutes and follow-up on matters raised at Board meetings; and
bb. Prepare and file with the SEC Rule 24f-2 notices. The Administrator shall provide the office facilities and the personnel required by it to perform the services contemplated herein.
Appears in 1 contract
