Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement. 2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth. 3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent: (a) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto; (b) A certified copy of the By-Laws of the Fund; (c) A certified copy of a resolution of the Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement; (d) A Certificate signed by the Secretary of the Fund specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund; (e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval; (f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and (g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor). 4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 11 contracts
Samples: Transfer Agency Agreement (New York Daily Tax Free Income Fund Inc), Transfer Agency Agreement (North Carolina Daily Municipal Income Fund Inc), Transfer Agency Agreement (Connecticut Daily Tax Free Income Fund Inc)
Appointment of Transfer Agent. 1. The 2.1 Each Fund hereby constitutes appoints Trust Company to act as sole Transfer Agent and registrar for all Shares and as administrator of Plans in accordance with the terms and conditions hereof and appoints Computershare as the Transfer Agent service provider to Trust Company and as transfer agent processor of all the Shares payments received or made by or on behalf of the Fund and as dividend disbursing agent during the period of under this Agreement.
2. The Transfer Agent hereby accepts each such appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. 2.2 In connection with such appointmentthe appointments herein, the each Fund shall deliver will provide the following appointment and corporate authority documents to the Transfer Agent:
(a) A certified copy Copies of resolutions appointing Trust Company as the Articles of Incorporation of the Fund and all amendments theretoTransfer Agent;
(b) A certified copy If applicable, specimens of the By-Laws all forms of the Fund;
(c) A certified copy of a resolution of the Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Series: the number of authorized Sharesoutstanding Share certificates, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for each class of Shares in the form forms approved by the Board of Directors of the Fund, together with a certificate signed by of the Secretary of the Fund as to such approval;
(fc) Copies Specimens of the Fund's Registration Statement, as amended to date, and signatures of the most recently filed Post-Effective Amendment thereto, filed by officers or other authorized persons of the Fund with authorized to sign Written Instructions and requests and, if applicable, sign Share certificates;
(d) Any and all opinions of counsel issued to the Securities underwriter for any new Fund or future original issuance of Shares for any Fund added after the Effective Date for which Transfer Agent will act as transfer agent hereunder that may include:
(i) Fund is duly organized, validly existing and Exchange Commission in good standing under the laws of its state of organization;
(ii) All Shares issued and outstanding on the date hereof were issued as part of an offering that was registered under the Securities Act of 1933, as amendedamended (“1933 Act”) and any other applicable federal or state statute or that was exempt from such registration;
(iii) All Shares issued and outstanding on the date hereof are duly authorized, validly issued, fully paid and under non-assessable; and
(iv) The use of facsimile signatures by Transfer Agent in connection with the Investment Company Act countersigning and registering of 1940Share certificates has been duly authorized by the Fund and is valid and effective.
(e) A certificate of each Fund as to the Shares authorized, issued and outstanding, as amended, together with any applications filed in connection therewithwell as a description of all reserves of unissued Shares relating to the exercise of options;
(f) A completed Internal Revenue Service Form 2678; and
(g) Opinion A completed W-8 or W-9, as applicable.
2.3 Fund shall, if applicable, inform Transfer Agent as soon as possible in advance as to: (a) the existence or termination of counsel for any restrictions on the Fund with respect to the validity transfer of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status application to or removal from any Share of any legend restricting the transfer of such Shares under (subject, in the Securities Act case of 1933removal of any legend, as amendedto delivery of a legal opinion from counsel to Fund in form and substance acceptable to Transfer Agent), or the substitution for such Share of a Share without such legend; (b) any authorized but unissued Shares reserved for specific purposes; (c) any outstanding Shares which are exchangeable for Shares and the basis for exchange; (d) reserved Shares subject to option and the details of such reservation; (e) any Share split or Share dividend; (f) any other applicable federal law relevant event or regulation special instructions which may affect the Shares; and (i.e.g) any bankruptcy, if subject to registration, that they have been registered and that insolvency or other proceeding regarding Fund affecting the Registration Statement has become effective or, if exempt, the specific grounds therefor)enforcement of creditors’ rights.
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the 2.4 Fund shall furnish the perform, execute, acknowledge and deliver or cause to be performed, executed, acknowledged and delivered all such further and other acts, documents, instruments and assurances as Transfer Agent with a sufficient supply of blank Share certificates and from time may reasonably require in order to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile carry out or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereofperform its obligations under this Agreement.
Appears in 10 contracts
Samples: Transfer Agency and Services Agreement (Western Asset Global High Income Fund Inc.), Transfer Agency and Services Agreement (Western Asset Managed Municipals Fund Inc.), Transfer Agency and Services Agreement (Western Asset High Income Fund Ii Inc.)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby xxxxxx accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth, including those set forth on Appendices C(1) and C(2) for the fees set forth therein.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Fund's Agreement and Declaration of Trust or Articles of Incorporation of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Fund's Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of authorized Shares issuedXxxxxx, and the number of such authorized Shares Xxxxxx issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates certificates, if any, for each class of Shares in the form approved by the Board of Directors of the Fund's Board, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, Statement and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and;
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor); and
(h) Such other documents as may reasonably be requested by the Transfer Agent in order for it to properly perform its duties under this Agreement.
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the The Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew replenish such supply upon within 30 days after receiving a request of therefor from the Transfer Agent. Such blank Alternatively, at the Transfer Agent’s option, the Transfer Agent may use generic certificate stock. Blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the byBy-laws Laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 7 contracts
Samples: Transfer Agency Agreement (Dreyfus Manager Funds Ii), Transfer Agency Agreement (Dreyfus Investment Funds), Transfer Agency Agreement (Advantage Funds, Inc.)
Appointment of Transfer Agent. 1. The Effective as of the date of this Agreement, the Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
thereto certified by the Secretary of the Fund; (bii) A certified copy of the By-Laws laws of the Fund certified by the Secretary of the Fund;
; (ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
; (div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
; (ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
; (fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
and (gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 7 contracts
Samples: Transfer Agency Agreement (Babson Enterprise Fund Ii Inc /Mo/), Transfer Agency Agreement (Babson D L Bond Trust), Transfer Agency Agreement (Babson Enterprise Fund Ii Inc /Mo/)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Bull & Bear Funds Ii Inc), Transfer Agency Agreement (First American Funds Inc)
Appointment of Transfer Agent. 1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Trust and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund Trust and all amendments theretothereto (the "Declaration") certified by the Secretary of the Trust;
(bii) A certified copy of the By-Laws of the FundTrust certified by the Secretary of the Trust;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust certified by the Secretary of the Trust appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesTrust specifying: the number of authorized SharesShares or, if applicable, the fact that the number of authorized Shares is unlimited, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Trust; and the name and address of the legal counsel for the FundTrust;
(ev) Specimen Share certificates certificates, if any, for each series or class of Shares in the form approved by the Board of Directors Trustees of the FundTrust (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund Trust as to such approval;
(fvi) Copies of the FundTrust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Morgan Grenfell Investment Trust), Transfer Agency Agreement (Morgan Grenfell Investment Trust)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby hxxxxx accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth, including those set forth on Appendices C(1) and C(2) for the fees set forth therein.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Fund's Agreement and Declaration of Trust or Articles of Incorporation of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Fund's Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of authorized Shares issuedSxxxxx, and the number of such authorized Shares Sxxxxx issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates certificates, if any, for each class of Shares in the form approved by the Board of Directors of the Fund's Board, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, Statement and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and;
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor); and
(h) Such other documents as may reasonably be requested by the Transfer Agent in order for it to properly perform its duties under this Agreement.
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the The Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew replenish such supply upon within 30 days after receiving a request of therefor from the Transfer Agent. Such blank Alternatively, at the Transfer Agent’s option, the Transfer Agent may use generic certificate stock. Blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the byBy-laws Laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Dreyfus Laurel Tax Free Municipal Funds), Transfer Agency Agreement (Dreyfus Laurel Funds Trust)
Appointment of Transfer Agent. 1. 2.1 The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent for the Fund during the period term of this Agreement.
2. 2.2 The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. 2.3 In connection with such appointment, upon or prior to executing this Agreement, the Fund shall deliver to the Transfer Agent such of the following documents as have not already been furnished to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(b) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(c) A certified copy of a resolution resolutions of the Board of Directors Trustees of the Fund appointing Fund, certified by the Transfer Agent and Secretary of the Fund, authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for Shares of each class series of Shares the Fund in the form approved by the Board of Directors Trustees of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment theretoto the Fund's Registration Statement, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications for exemptive relief from any of the provisions of such laws filed in connection therewithby the Fund and the record of any formal action of the Securities and Exchange Commission with respect to all such applications; and
(g) Opinion of counsel Counsel for the Fund with respect to the validity effect that (1) beneficial interest in each Fund is divided into an unlimited number of shares of beneficial interest, (2) the issue and sale of the Fund's authorized and but unissued Shares have been duly authorized under Massachusetts law, (3) the outstanding Shares, whether such Shares are fully paid and non-assessable and (4) upon the status issue and sale of such any authorized and unissued Shares under and upon receipt of the Securities Act of 1933, as amended, and any other applicable federal law authorized consideration therefor in an amount not less than either the Shares' net asset value or regulation (i.e.par value, if subject to registrationany, that they have been registered established and that in force at the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectustime of their sale, the Fund Shares so issued will be validly issued, fully paid and non-assessable.
2.4 The Fund shall either (a) furnish the Transfer Agent with a sufficient supply supplies of blank Share share certificates in the form approved from time to time by the Board of Trustees of the Fund, and from time to time will renew such supply supplies upon request of the Transfer Agent, or (b) authorize the Transfer Agent to itself create laser-printed Share certificates in the form approved by the Board of Trustees of the Fund. Such Any such blank Share certificates shall be properly signed, by facsimile or otherwise, by authorized Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal of the Fund or a facsimile thereof. Notwithstanding the death, resignation or removal of any Officer authorized to sign such Share certificates, the Transfer Agent may continue to countersign and issue Share certificates bearing such Officer's signature until otherwise directed by the Fund. The Fund agrees to indemnify and exonerate, save and hold the Transfer Agent harmless, from and against any and all claims or demands that may be asserted against the Transfer Agent with respect to the genuineness of any Share certificate supplied to the Transfer Agent by the Fund pursuant to this Agreement.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Nuveen Flagship Municipal Trust), Transfer Agency Agreement (Nuveen Flagship Multistate Trust Ii)
Appointment of Transfer Agent. 1. The Fund Company hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund as indicated above and as dividend disbursing agent for such shares during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund Company's Charter and all amendments theretothereto certified by the Secretary of the Company;
(bii) A certified copy of the By-Laws of the FundCompany certified by the Secretary of the Company;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund Company certified by the Secretary of the Company appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesCompany specifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Company; and the name and address of the legal counsel for the FundCompany;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(fv) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvi) Opinion of counsel for the Fund Company with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Effective as of the date of this Agreement, the Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
(b) A thereto certified copy of by the By-Laws Secretary of the Fund;
(cii) A copy of the By-laws of the Fund certified by the Secretary of the Fund;
(iii) A copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Investors Mark Series Fund Inc)
Appointment of Transfer Agent. 1. 2.1 The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent for the Fund during the period term of this Agreement.
2. 2.2 The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. 2.3 In connection with such appointment, upon or prior to executing this Agreement, the Fund shall deliver to the Transfer Agent such of the following documents as have not already been furnished to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(b) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(c) A certified copy of a resolution resolutions of the Board of Directors Trustees of the Fund appointing Fund, certified by the Transfer Agent and Secretary of the Fund, authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for Shares of each class series of Shares the Fund in the form approved by the Board of Directors Trustees of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment theretoto the Fund's Registration Statement, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications for exemptive relief from any of the provisions of such laws filed in connection therewithby the Fund and the record of any formal action of the Securities and Exchange Commission with respect to all such applications; and
(g) Opinion of counsel Counsel for the Fund with respect to the validity effect that (1) beneficial interest in each Fund is divided into an unlimited number of shares of beneficial interest, (2) the issue and sale of the Fund's authorized and but unissued Shares have been duly authorized under Massachusetts law, (3) the outstanding Shares, whether such Shares are fully paid and non-assessable and (4) upon the status issue and sale of such any authorized and unissued Shares under and upon receipt of the Securities Act of 1933, as amended, and any other applicable federal law authorized consideration therfor in an amount not less than either the Shares' net asset value or regulation (i.e.par value, if subject to registrationany, that they have been registered established and that in force at the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectustime of their sale, the Fund Shares so issued will be validly issued, fully paid and non-assessable.
2.4 The Fund shall either (a) furnish the Transfer Agent with a sufficient supply supplies of blank Share share certificates in the form approved from time by the Board of Trustees of the Fund, and from time to time will renew such supply supplies upon request of the Transfer Agent, or (b) authorize the Transfer Agent to itself create laser-printed Share certificates in the form approved by the Board of Trustees of the Fund. Such Any such blank Share certificates shall be properly signed, by facsimile fascimile or otherwise, by authorized Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal of the Fund or a facsimile thereof. Notwithstanding the death, resignation or removal of any Officer authorized to sign such Share certificates, the Transfer Agent may continue to countersign and issue Share certificates bearing such Officer's signature until otherwise directed by the Fund. The Fund agrees to indemnify and exonerate, save and hold the Transfer Agent harmless, from and against any and all claims or demands that may be asserted against the Transfer Agent with respect to the genuineness of any Share certificate supplied to the Transfer Agent by the Fund pursuant to this Agreement.
Appears in 1 contract
Samples: Transfer Agency Agreement (Nuveen Investment Trust)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth, including those set forth on Appendices C(1) and C(2), and Exhibit 1 - "System Report Output," for the fees set forth therein. The Transfer Agent also agrees to perform the anti-money laundering duties set forth on Appendix C(3) for the fees set forth therein.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Fund's Articles of Incorporation of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Fund's Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund's Board, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and;
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor); and
(h) Such other documents as may reasonably be requested by the Transfer Agent in order for it to properly perform its duties under this Agreement.
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the The Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew replenish such supply upon within 30 days after receiving a request of therefor from the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the byBy-laws Laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Dreyfus Dynamic Alternatives Fund, Inc.)
Appointment of Transfer Agent. 1. The Effective as of the date of this Agreement, the Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
(b) A thereto certified copy of by the By-Laws Secretary of the Fund;
(cii) A copy of the By-laws of the Fund certified by the Secretary of the Fund;
(iii) A copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they ---- have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 12.1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the each Fund and as dividend disbursing agent for each Fund during the period term of this Agreement.
22.2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
32.3. In connection with such appointment, upon or prior to executing this Agreement the Fund Trust shall deliver to the Transfer Agent such of the following documents as have not already been furnished to the Transfer Agent:
(a) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund Trust and all amendments theretothereto certified by the Clerk of the Trust;
(b) A certified copy of the By-Laws of the FundTrust certified by the Clerk of the Trust;
(c) A certified copy of a resolution resolutions of the Board of Directors Trustees of the Fund appointing Trust, certified by the Transfer Agent and Clerk of the Trust, authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary Clerk of the Fund Trust specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the FundTrust;
(e) Specimen Share certificates for Shares of each class series of Shares each Fund in the form forms approved by the Board of Directors Trustees of the FundTrust, together with a certificate Certificate signed by the Secretary Clerk of the Fund Trust as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment theretoto the Trust's Registration Statement, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications for exemptive relief from any of the provisions of such laws filed in connection therewithby the Trust and the record of any formal action of the Securities and Exchange Commission with respect to all such applications; and
(g) Opinion An opinion of counsel for the Fund with respect Trust to the validity effect that (1) beneficial interest in each Fund is divided into an unlimited number of shares of beneficial interest, (2) the issue and sale of the Trust's authorized and but unissued Shares have been duly authorized under Massachusetts law, (3) the outstanding Shares, whether such Shares are fully paid and non-assessable and (4) upon the status issue and sale of such any authorized and unissued Shares under and upon receipt of the Securities Act of 1933, as amended, and any other applicable federal law consideration therefor in an amount not less than either the Shares' net asset value or regulation (i.e.par value, if subject to registrationany, that they have been registered established and that in force at the Registration Statement has become effective or, if exempttime of their sale, the specific grounds therefor)Shares so issued will be validly issued, fully paid and non-assessable.
42.4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund The Trust shall furnish the Transfer Agent with a sufficient supply supplies of blank Share certificates in the forms approved from time to time by the Trustees of the Trust, and from time to time will renew such supply supplies upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by authorized Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal of the Trust or a facsimile thereof. Notwithstanding the death, resignation or removal of any Officer authorized to sign such Share certificates, the Transfer Agent may continue to countersign and issue Share certificates bearing such Officer's signature until otherwise directed by the Trust. The Trust agrees to indemnify and exonerate, save and hold the Transfer Agent harmless, from and against any and all claims or demands that may be asserted against the Transfer Agent with respect to the genuineness of any Share certificate supplied to the Transfer Agent by the Trust pursuant to this Agreement.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent for all of all the Shares of issued by the Fund and as dividend disbursing agent Trust during the period of this AgreementAgreement as the same shall from time to time be constituted.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust shall deliver or in the case of item (e), make available upon request, the following documents to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust or other document evidencing the Trust's form of organization (such document hereinafter being referred to as the Fund "Charter") and all amendments thereto;
(b) A certified copy of the By-Laws of the FundTrust;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust appointing the Transfer Agent and authorizing appointing an Authorized Officer of the execution of Trust to execute this Transfer Agency Agreement;
(d) A Certificate certificate signed by the Secretary of the Fund Trust specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, of the Trust and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers officers of the Fund, Trust and the name and address of the legal counsel for the FundTrust;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration StatementStatements, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and;
(f) A certified copy of the order or consent of each governmental or regulatory authority, required by law for the issuance of the Shares of the Trust, and an opinion of legal counsel for the Trust that the order or consent of no other governmental or regulatory authority is required;
(g) Opinion opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable of the Trust and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal or state law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).; and
4. To (h) A signature card bearing the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request signatures of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Authorized Officers of the Fund Trust who will be the only persons authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereofWritten Instructions and requests.
Appears in 1 contract
Samples: Transfer Agency Agreement (Merrill Lynch Usa Government Reserves)
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund Trust and all amendments theretothereto certified by the Secretary of the Trust;
(bii) A certified copy of the By-Laws laws of the FundTrust certified by the Secretary of the Trust;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust certified by the Secretary of the Trust appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesTrust specifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Trust and the name and address of the legal counsel for the FundTrust;
(ev) Specimen Share certificates certificate for each series or class of Shares in the form approved by the Board of Directors Trustees of the FundTrust (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund Trust as to such approval;
(fvi) Copies of the FundTrust's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Company hereby constitutes and appoints the Transfer Agent as transfer agent and as dividend disbursing agent of all the Shares of the Fund Company (except SRF Shares of the Company's Intermediate Bond Fund- Class M-Special Series 7, Blue Chip Fund- Class N Special Series 7, and Asset Allocation Fund- Class O Special Series 7 (collectively, "SRF Shares") during the period of this Agreement. Effective November 21, 1997 or such other time as agreed to between the Company and the Transfer Agent, the Company appoints the Transfer Agent as transfer agent and as dividend disbursing agent of the SRF Shares of the Company during the period of this Agreement.
2. (a) The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter herein set forth, including those duties set forth in Schedule I(a) hereto.
(b) The services and specific capabilities to be provided under this Agreement by the Transfer Agent shall include those specifically listed in this Agreement.
3. In connection with such appointmentUpon the request of the Transfer Agent, the Fund Company shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles of Incorporation of the Fund Company and all amendments theretothereto certified by the Secretary of the Company;
(b) A certified copy of the By-Laws of the FundCompany certified by the Secretary of the Company;
(c) A certified copy of a resolution of the Board of Directors of the Fund Company certified by the Secretary of the Company appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;the
(d) A Certificate signed by the Secretary or any Assistant Secretary of the Fund Company specifying with respect to each Series: Class or Fund, the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers Authorized Persons of the Fund, Company; and the name and address of the legal counsel for the FundCompany;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the FundCompany's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Company with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gf) Opinion of counsel for the Fund Company with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Pacific Horizon Funds Inc)
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Manager, acting for the benefit of the Fund, hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
(b) A thereto certified copy of by the By-Laws Secretary of the Fund;
(cii) A copy of the By-laws of the Fund certified by the Secretary of the Fund;
(iii) A copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Afba Five Star Funds Inc)
Appointment of Transfer Agent. 1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Trust and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Declaration of Incorporation Trust of the Fund Trust and all amendments theretothereto certified by the Secretary of the Trust;
(bii) A certified copy of the By-Laws of the FundTrust certified by the Secretary of the Trust;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust certified by the Secretary of the Trust appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesTrust specifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Trust; and the name and address of the legal counsel for the FundTrust;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(fv) Copies of the FundTrust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvi) Opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Manager, acting for the benefit of the Fund, hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
(b) A thereto certified copy of by the By-Laws Secretary of the Fund;
(cii) A copy of the By-laws of the Fund certified by the Secretary of the Fund; (iii) A copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
; (div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
; (ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
; (fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
and (gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Scout Kansas Tax Exempt Bond Fund Inc)
Appointment of Transfer Agent. 1. The Fund Company hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Company and as dividend disbursing agent during the period of this Agreement.
2. (a) The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter herein set forth, including those duties set forth in Schedule I(a) hereto.
(b) The services and specific capabilities to be provided under this Agreement by the Transfer Agent shall include those specifically listed in this Agreement.
3. In connection with such appointmentUpon the request of the Transfer Agent, the Fund Company shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles of Incorporation of the Fund Company and all amendments theretothereto certified by the Secretary of the Company;
(b) A certified copy of the By-Laws of the FundCompany certified by the Secretary of the Company;
(c) A certified copy of a resolution of the Board of Directors of the Fund Company certified by the Secretary of the Company appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary or any Assistant Secretary of the Fund Company specifying with respect to each Series: Class or Fund, the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Company; and the name and address of the legal counsel for the FundCompany;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the FundCompany's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Company with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gf) Opinion of counsel for the Fund Company with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Pacific Horizon Funds Inc)
Appointment of Transfer Agent. 1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Trust and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth, including those set forth on Appendices C(1) and C(2), and Exhibit 1 - "System Report Output," for the fees set forth therein.
3. In connection with such appointment, the Fund Trust shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Trust's Agreement and Declaration of Incorporation of the Fund Trust and all amendments thereto;
(b) A certified copy of the By-Laws of the FundTrust;
(c) A certified copy of a resolution of the Trust's Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund Trust specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the FundTrust, and the name and address of the legal counsel for the FundTrust;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the FundTrust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and;
(gf) Opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefortherefore).; and
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish (g) Such other documents as may reasonably be requested by the Transfer Agent with a sufficient supply of blank Share certificates and from time in order for it to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereofperform its duties under this Agreement.
Appears in 1 contract
Samples: Transfer Agency Agreement (Mellon Institutional Funds Investment Trust)
Appointment of Transfer Agent. 1. The Fund Company hereby constitutes and appoints the Transfer Agent as transfer agent and as dividend disbursing agent of all the Shares of the Fund and as dividend disbursing agent during the period of this AgreementCompany.
2. (a) The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter herein set forth, including those duties set
(b) The services and specific capabilities to be provided under this Agreement by the Transfer Agent shall include those specifically listed in this Agreement.
3. In connection with such appointmentUpon the request of the Transfer Agent, the Fund Company shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust of the Fund Company and all amendments theretothereto certified by the Secretary of the Company;
(b) A certified copy of the By-Laws of the FundCompany certified by the Secretary of the Company;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund Company certified by the Secretary of the Company appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary or any Assistant Secretary of the Fund Company specifying with respect to each Series: Class or Fund, the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Company; and the name and address of the legal counsel for the FundCompany;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the FundCompany's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Company with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gf) Opinion of counsel for the Fund Company with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments theretothereto certified by the Secretary of the Fund ;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Reich & Tang Equity Fund Inc)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Series: the number of authorized Shares, the number of authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gf) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Trust and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust, upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund Trust and all amendments theretothereto certified by the Secretary of the Trust;
(bii) A certified copy of the By-Laws laws of the FundTrust certified by the Secretary of the Trust;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust, certified by the Secretary of the Trust, appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesTrust specifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the FundTrust, and the name and address of the legal counsel for the FundTrust;
(ev) Specimen Share certificates certificate for each series or class of Shares Shares, in the form approved by the Board of Directors Trustees of the FundTrust (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund Trust as to such approval;
(fvi) Copies of the FundTrust's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended1933 Act, and under the Investment Company Act of 1940, as amended, amended (the "1940 Act") together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended1933 Act, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Trust hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Trust as indicated above and as dividend disbursing agent for such shares during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund Trust upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Trust's Declaration of Incorporation of the Fund Trust and all amendments theretothereto certified by the Secretary of the Trust;
(bii) A certified copy of the By-Laws Code of Regulations of the FundTrust certified by the Secretary of the Trust;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund Trust certified by the Secretary of the Trust appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each SeriesTrust specifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Trust; and the name and address of the legal counsel for the FundTrust;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(fv) Copies of the FundTrust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Trust Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvi) Opinion of counsel for the Fund Trust with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Manager, acting for the benefit of the Fund, hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
thereto certified by the Secretary of the Fund; (bii) A certified copy of the By-Laws laws of the Fund certified by the Secretary of the Fund;
; (ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
; (div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
; (ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
; (fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
and (gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Scout Capital Preservation Fund Inc)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all of the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for each class of Shares Shares, if any, in the form approved by the Board of Directors Trustees of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;; and
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission ("SEC") under the Securities Act of 1933, as amended1933 Act, and under the Investment Company Act of 1940, as amendedamended ("1940 Act"), together with any applications filed in connection therewith; and
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues If Share certificates to its shareholders pursuant to its current prospectusare issued, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund Company hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent Company during the period of this Agreement.
2. (a) The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter herein set forth, including those duties set forth in Schedule I hereto.
(b) The services and specific capabilities to be provided under this Agreement by the Transfer Agent shall include those specifically listed in this Agreement.
3. In connection with such appointment, the Fund The Company shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Certificate of Incorporation Trust and Declaration of Trust of the Fund Company and all amendments theretothereto certified by the Secretary of the Company;
(b) A certified copy of the By-Laws of the FundCompany, and all amendments thereto certified by the Secretary of the Company;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund Company certified by the Secretary of the Company appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary or any Assistant Secretary of the Fund specifying Company specifying: with respect to each Series: Class or Fund, the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, Company; and the name and address of the legal counsel for the FundCompany;
(e) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f) Copies of the FundCompany's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund Company with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Pacific Innovations Trust)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate Certificate signed by the Secretary or Assistant Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, if any, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates In the event the Fund issues shares, specimen share certificate for each or series class of Shares in the form approved by the Board of Directors Trustees of the FundFund (and in a format compatible with the Transfer Agent's system) , together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (Advisors Inner Circle Fund)
Appointment of Transfer Agent. 19. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
210. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
311. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a1) A certified copy of the Articles of Incorporation of the Fund and all amendments thereto;
(b2) A certified copy of the By-Laws of the Fund;
(c3) A certified copy of a resolution of the Board of Directors of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d4) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, outstanding the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e5) Specimen Share certificates for each class of Shares in the form approved by the Board of Directors of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;
(f6) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(g7) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
412. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the The Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (New York Daily Tax Free Income Fund Inc)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the The number of authorized Shares, if any, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates In the event the Fund issues shares, specimen share certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed fled in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (PBHG Insurance Series Fund Inc)
Appointment of Transfer Agent. 1. The Fund Effective as of the date of this Agreement, the Manager, acting for the benefit of the Fund, hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund Series and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Agreement and Declaration of Incorporation Trust of the Fund and any and all amendments thereto;
thereto certified by the Secretary of the Fund; (bii) A certified copy of the By-Laws laws of the Fund certified by the Secretary of the Fund;
; (ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
; (div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the that an unlimited number of Shares are authorized Sharesunder the Agreement and Declaration of Trust of the Fund, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, Fund and the name and address of the legal counsel for the Fund;
; (ev) Specimen Share certificates certificate for each Series or class of Shares in the form approved by the Board of Directors Trustees of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
; (fvi) Copies of the Fund's Registration Statementregistration statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
and (gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable nonassessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement registration statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all of the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund shall deliver the following documents to the Transfer Agent:
(a) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments thereto;
(b) A certified copy of the By-Laws of the Fund;
(c) A certified copy of a resolution of the Board of Directors Trustees of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(d) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesclass of Shares: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, the names and specimen signatures of the Officers of the Fund, and the name and address of the legal counsel for the Fund;
(e) Specimen Share certificates for each class of Shares Shares, if any, in the form approved by the Board of Directors Trustees of the Fund, together with a certificate signed by the Secretary of the Fund as to such approval;; and
(f) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission ("SEC") under the Securities Act of 19331933 Act, as amended, and under the Investment Company Act of 1940, as amendedamended ("1940 Act"), together with any applications filed in connection therewith; and
(g) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor).
4. To the extent that the Fund issues If Share certificates to its shareholders pursuant to its current prospectusare issued, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles of Incorporation of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the The number of authorized Shares, if any, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates In the event the Fund issues shares, specimen share certificate for each or series class of Shares in the form approved by the Board of Directors of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e.I.E., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
Samples: Transfer Agency Agreement (PBHG Insurance Series Fund Inc)
Appointment of Transfer Agent. 1. The Fund hereby constitutes and appoints the Transfer Agent as transfer agent of all the Shares of the Fund and as dividend disbursing agent during the period of this Agreement.
2. The Transfer Agent hereby accepts appointment as transfer agent and dividend disbursing agent and agrees to perform the duties thereof as hereinafter set forth.
3. In connection with such appointment, the Fund upon the request of the Transfer Agent, shall deliver the following documents to the Transfer Agent:
(ai) A certified copy of the Articles Declaration of Incorporation Trust of the Fund and all amendments theretothereto certified by the Secretary of the Fund;
(bii) A certified copy of the By-Laws of the Fund certified by the Secretary of the Fund;
(ciii) A certified copy of a resolution of the Board of Directors Trustees of the Fund certified by the Secretary of the Fund appointing the Transfer Agent and authorizing the execution of this Transfer Agency Agreement;
(div) A Certificate signed by the Secretary of the Fund specifying with respect to each Seriesspecifying: the number of authorized Shares, the number of such authorized Shares issued, and the number of such authorized Shares issued and currently outstanding, ; the names and specimen signatures of the Officers of the Fund, ; and the name and address of the legal counsel for the Fund;
(ev) Specimen Share certificates certificate for each or series class of Shares Shares, if any, in the form approved by the Board of Directors Trustees of the FundFund (and in a format compatible with the Transfer Agent's system), together with a certificate Certificate signed by the Secretary of the Fund as to such approval;
(fvi) Copies of the Fund's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Fund with the Securities and Exchange Commission under the Securities Act of 1933, as amended, and under the Investment Company Act of 1940, as amended, together with any applications filed in connection therewith; and
(gvii) Opinion of counsel for the Fund with respect to the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.).
4. To the extent that the Fund issues certificates to its shareholders pursuant to its current prospectus, the Fund shall furnish the Transfer Agent with a sufficient supply of blank Share certificates and from time to time will renew such supply upon request of the Transfer Agent. Such blank Share certificates shall be properly signed, by facsimile or otherwise, by Officers of the Fund authorized by law or by the by-laws to sign Share certificates, and, if required, shall bear the corporate seal or facsimile thereof.
Appears in 1 contract
