AML Services5 Sample Clauses

AML Services5. 3.1 Consistent with the Transfer Agency services provided and with respect to the ownership of Shares in the Funds for which SS&C maintains the applicable Shareholder information, and as described in the AML Procedures SS&C shall provide the following denoted AML Services: Customer Identification Program Services including Beneficial Ownership -USA PATRIOT Act (USAPA) Section 326 X Special Measures Imposed by the Secretary of the Treasury Processing – USAPA Section 311 X 1 Generally the Bank Secrecy Act and USA PATRIOT Act of 2001, as amended 2 Prohibited transactions are trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute. Because each sanction program is based on different foreign policy and national security goals, prohibitions may vary between programs. 3 As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Collectively, such individuals and companies are called “Specially Designated Nationals” or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from dealing with them. 4 Modifications deemed administrative, ministerial or immaterial require no notice. Notice precedes modifications deemed material. 5 The persons, account holders, accounts and transaction activity subject to review are subject to certain standard exclusions as set forth in written procedures provided to the Funds and that may be modified from time to time. Suspicious Activity Monitoring (Transaction Monitoring) - USAPA Section 356 X Recordkeeping obligations imposed by AML/BSA; OFAC X Sanctions Program Screening (OFAC; OSFI; EU;FATF) X Due Diligence for Correspondent Accounts - USAPA Section 312 X Enhanced Due Diligence for Certain Foreign Bank Correspondent Accounts - USAPA Section 312 X Suspicious Activity Report (“SAR”) Preparation & Filing6 and 7 X PEP Screening X SS&C will permit the Fund and, subject to an NDA with SS&C, its duly authorized agents, as well as duly authorized federal examiners to make periodic inspections of its operations as such would involve a Fund to obtain, inter alia, information and records relating to SS&C’s performance of its Compliance + Program or Identity Theft Program obligations...
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AML Services5. 3.1 Consistent with the Transfer Agency services provided and with respect to the ownership of Shares in the Funds for which the Transfer Agent maintains the applicable shareholder information, and as described in the AML Procedures SS&C shall provide the following denoted AML Services:
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AML Services5. 3.1 Consistent with the Transfer Agency services provided and with respect to the ownership of Shares in the Fund for which the Transfer Agent maintains the applicable Shareholder information, and as described in the AML Procedures, SS&C shall provide the following denoted AML Services: SERVICE Performed (X) Customer Identification Program Services including Beneficial Ownership -USA PATRIOT Act (USAPA) Section 326 X Special Measures Imposed by the Secretary of the Treasury Processing – USAPA Section 311 X Suspicious Activity Monitoring (Transaction Monitoring) - USAPA Section 356 X Recordkeeping obligations imposed by AML/BSA; OFAC X Sanctions Program Screening (OFAC; OSFI; EU;FATF) X Mandatory Information Sharing with Law Enforcement - USAPA Section 314(a) X Due Diligence for Correspondent Accounts - USAPA Section 312 X Enhanced Due Diligence for Certain Foreign Bank Correspondent Accounts - USAPA Section 312 X Suspicious Activity Report (“SAR”) Preparation & Filing6 and 7 X PEP Screening X 5 The persons, account holders, accounts and transaction activity subject to review are subject to certain standard exclusions as set forth in written procedures provided to the Fund and that may be modified from time to time. 6 Reporting of known or suspected violations of law or suspicious activity observed by financial institutions related to criminal behavior, such as money laundering, fraud, the financing of terrorism, etc. 7 Promptly following the filing of each SAR, the Transfer Agent shall send to Fund (or its designee) at certain email addresses provided from time to time by the Fund, a copy of the SAR and evidence of filing; material in support of the SAR is available upon request.
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AML Services5. 3.1 Consistent with the Transfer Agency services provided and with respect to the ownership of Shares in the Funds for which the Transfer Agent maintains the applicable Shareholder information, and as described in the AML Procedures SS&C shall provide the following denoted AML Services: Customer Identification Program Services including Beneficial Ownership - USA PATRIOT Act (USAPA) Section 326 X Special Measures Imposed by the Secretary of the Treasury Processing – USAPA Section 311 X Suspicious Activity Monitoring (Transaction Monitoring) - USAPA Section 356 X Recordkeeping obligations imposed by AML/BSA; OFAC X Sanctions Program Screening (OFAC; OSFI; EU; FATF) X Mandatory Information Sharing with Law Enforcement - USAPA Section 314(a) X Due Diligence for Correspondent Accounts - USAPA Section 312 X Enhanced Due Diligence for Certain Foreign Bank Correspondent Accounts - USAPA Section 312 X Suspicious Activity Report (“SAR”) Preparation & Filing6 and 7 X PEP Screening X 5 The persons, account holders, accounts and transaction activity subject to review are subject to certain standard exclusions as set forth in written procedures provided to the Fund and that may be modified from time to time.
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AML Services5 
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Related to AML Services5

  • Legal Services If this Agreement is for legal services, this section is applicable. Contractor shall: (i) adhere to legal cost and billing guidelines designated by the JBE; (ii) adhere to litigation plans designated by the JBE, if applicable; (iii) adhere to case phasing of activities designated by the JBE, if applicable; (iv) submit and adhere to legal budgets as designated by the JBE; (v) maintain legal malpractice insurance in an amount not less than the amount designated by the JBE; and (vi) submit to legal bill audits and law firm audits if so requested by the JBE, whether conducted by employees or designees of the JBE or by any legal cost-control provider retained by the JBE for that purpose. Contractor may be required to submit to a legal cost and utilization review as determined by the JBE. If (a) the Contract Amount is greater than $50,000, (b) the legal services are not the legal representation of low- or middle-income persons, in either civil, criminal, or administrative matters, and (c) the legal services are to be performed within California, then Contractor agrees to make a good faith effort to provide a minimum number of hours of pro xxxx legal services, or an equivalent amount of financial contributions to qualified legal services projects and support centers, as defined in section 6213 of the Business and Professions Code, during each year of the Agreement equal to the lesser of either (A) thirty (30) multiplied by the number of full time attorneys in the firm’s offices in California, with the number of hours prorated on an actual day basis for any period of less than a full year or (B) the number of hours equal to ten percent (10%) of the Contract Amount divided by the average billing rate of the firm. Failure to make a good faith effort may be cause for nonrenewal of this Agreement or another judicial branch or other state contract for legal services, and may be taken into account when determining the award of future contracts with a Judicial Branch Entity for legal services.

  • Surgery Services This plan covers surgery services to treat a disease or injury when: • the operation is not experimental or investigational, or cosmetic in nature; • the operation is being performed at the appropriate place of service; and • the physician is licensed to perform the surgery. This plan covers reconstructive surgery and procedures when the services are performed to relieve pain, or to correct or improve bodily function that is impaired as a result of: • a birth defect; • an accidental injury; • a disease; or • a previous covered surgical procedure. Functional indications for surgical correction do not include psychological, psychiatric or emotional reasons. This plan covers the procedures listed below to treat functional impairments. • abdominal wall surgery including panniculectomy (other than an abdominoplasty); • blepharoplasty and ptosis repair; • gastric bypass or gastric banding; • nasal reconstruction and septorhinoplasty; • orthognathic surgery including mandibular and maxillary osteotomy; • reduction mammoplasty; • removal of breast implants; • removal or treatment of proliferative vascular lesions and hemangiomas; • treatment of varicose veins; or • gynecomastia.

  • Educational Services Any service or supply for education, training or retraining services or testing including: special education, remedial education; cognitive remediation; wilderness/outdoor treatment, therapy or adventure programs (whether or not the program is part of a Residential Treatment facility or otherwise licensed institution); job training or job hardening programs; educational services and schooling or any such related or similar program including therapeutic programs within a school setting.

  • Special Services Should the Trust have occasion to request the Adviser to perform services not herein contemplated or to request the Adviser to arrange for the services of others, the Adviser will act for the Trust on behalf of the Fund upon request to the best of its ability, with compensation for the Adviser's services to be agreed upon with respect to each such occasion as it arises.

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