Chief Compliance Officer Support Services Sample Clauses

Chief Compliance Officer Support Services. $[ ] annually Fees are calculated pro rata billed monthly. * Subject to annual CPI increase – All Urban Consumers – U.S. City Average The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Additional Services Available but not included above are the following services – FAN Web shareholder e-commerce, FAN Mail electronic data delivery. Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost-basis reporting, short-term trader reporting, excessive trader, investor mail services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis and additional services agreed upon. Exhibit D (continued) to the Transfer Agent Agreement – Txxxxxxx IM Funds, Inc. TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE effective 9/1/2017 through 9/1/2018 Account Management / Database Administration · $[ ] per month · Receiving - $[ ] per SKU · Order Processing - $[ ] per order · Skid Storage - $[ ] per month per location · Disposal - $[ ] per SKU Inbound Teleservicing Only · Account Management - $[ ] per month · Call Servicing - $[ ] per minute Lead Source Reporting · $[ ] per month Closed Loop Reporting · Account Management - $[ ] per mont · Database Installation, Setup - $[ ] per fund group Miscellaneous Expenses · Included but not limited to specialized programming, kit and order processing expenses, postage and printing. CLIENT DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · MFS Systems (includes COLD and On Line Report view applications) · Setup - $[ ] (includes [ ] workstations) · Service - $[ ]/month · Report Source · No Setup Charge · $[ ]/month per reporting category Transfer Agent and Fund Accounting Utilized Compliance Reporting $[ ]/month · T/A Imaging · Setup - $[ ] (includes [ ] workstations) · $[ ]/month Exhibit D (conti...
Sample 1
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Chief Compliance Officer Support Services. U.S. Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: · Business Line Functions Supported · Fund Administration and Compliance · Transfer Agent and Shareholder Services · Fund Accounting · Custody Services · Securities Lending Services · Distribution Services · Daily Resource to Fund CCO, Fund Board, Advisor · Provide USBFS/USB Critical Procedures & Compliance Controls · Daily and Periodic Reporting · Periodic CCO Conference Calls · Dissemination of Industry/Regulatory Information · Client & Business Line CCO Education & Training · Due Diligence Review of USBFS Service Facilities · Quarterly USBFS Certification · Board Meeting Presentation and Board Support · Testing, Documentation, Reporting Annual Fee Schedule* [OMITTED] Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA. TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at June, 2007 FAN WEB – Shareholder internet access to account information and transaction capabilities through a transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc.
Sample 1
Chief Compliance Officer Support Services. Annual Fee Schedule* $1,200 per service per year Fees are billed monthly. * Subject to annual CPI increase, Milwaukee MSA. GLOBAL SUB-CUSTODIAL SERVICES ANNUAL FEE SCHEDULE Safekeeping Transaction Country Instrument (BPS) Fee Argentina All 15.00 $ 40 Australia All 2.00 $ 30 Austria Equities/Bonds 3.50 $ 35 Austria Depo Receipt 20.00 $ 35 Austria non ATS ALL 25.00 $ 90 Bahrain All 50.00 $ 140 Bangladesh All 40.00 $ 100 Xxxxxxx All 2.50 $ 45 Benin All 40.00 $ 155 Bermuda All 15.00 $ 60 Bolivia All 60.00 $ 150 Botswana All 25.00 $ 50 Brazil All 15.00 $ 30 Xxxxxxxx All 40.00 $ 80 Burkina Faso All 40.00 $ 100 Xxxxxx All 1.25 $ 12 Cayman Islands All 1.25 $ 10 Channel Islands All 1.25 $ 20 Xxxxx All 20.00 $ 60 China-Shanghai All 15.00 $ 65 China-Shenzhen All 15.00 $ 65 Columbia All 40.00 $ 100 Xxxxx Xxxx All 15.00 $ 60 Xxxxxxx All 35.00 $ 65 Cyprus All 15.00 $ 40 Xxxxx Xxxxxxxx All 20.00 $ 50 Xxxxxxx All 3.00 $ 50 EASDAQ All 5.50 $ 60 Xxxxxxx All 35.00 $ 65 Egypt All 40.00 $ 100 Xxxxxxx All 7.00 $ 25 Euromarkets All 1.50 $ 10 Finland All 5.00 $ 40 Xxxxxx All 2.50 $ 45 Germany All 1.00 $ 30 Ghana All 25.00 $ 50 Xxxxxx All 20.00 $ 105 Guinea Bissau All 40.00 $ 155 Hong Kong All 6.00 $ 60 Xxxxxxx All 35.00 $ 135 Iceland All 28.00 $ 80 India All 65.00 $ 200 Xxxxxxxxx All 12.00 $ 100 Xxxxxxx All 3.00 $ 30 Xxxxxx All 15.00 $ 45 Italy All 3.00 $ 50 Ivory Coast All 40.00 $ 155 Jamaica All 35.00 $ 50 Xxxxx All 1.50 $ 15 Jordan All 40.00 $ 125 Kazakhstan Equities 60.00 $ 150 Kazakhstan Bonds 40.00 $ 160 Kenya All 30.00 $ 50 Xxxxxx Equities/Bonds 30.00 $ 70 Xxxxxx Gov’t Bonds 15.00 $ 75 Lebanon All 25.00 $ 90 Lithuania All 20.00 $ 50 Luxembourg All 4.00 $ 20 Xxxxxxxx All 6.00 $ 80 Mali All 40.00 $ 100 Xxxxx All 22.00 $ 75 Mauritius All 30.00 $ 100 Xxxxxx All 3.00 $ 20 Morocco All 35.00 $ 100 Xxxxxxx All 30.00 $ 50 Xxxxxxxxxxx All 3.00 $ 25 New Zealand All 3.00 $ 40 Niger All 40.00 $ 100 Xxxxxxx All 30.00 $ 50 Xxxxxx All 3.00 $ 40 Xxxx All 50.00 $ 140 Pakistan All 30.00 $ 100 Palestinian All 45.00 $ 100 Xxxx All 45.00 $ 100 Xxxxxxxxxxx All 8.00 $ 75 Poland All 25.00 $ 50 Portugal All 15.00 $ 85 Qatar All 45.00 $ 100 Xxxxxxx All 35.00 $ 100 Russia Equities/Bonds 30.00 $ 200 Russia MINFIN 15.00 $ 50 Senegal All 40.00 $ 100 Xxxxxxxxx All 3.00 $ 40 Xxxxxx Xxxxxxxx All 25.00 $ 100 Xxxxxxxx All 25.00 $ 100 Xxxxx Xxxxxx All 3.00 $ 10 Xxxxx Xxxxx All 10.00 $ 20 Spain All 3.00 $ 50 Xxx Xxxxx All 15.00 $ 60 Swaziland All 30.00 $ 50 Sweden All 2.00 $ 40 Xxxxxxxxxxx All 2.00 $ 50 Taiwan...
Sample 1
Chief Compliance Officer Support Services. USBFS will provide support to the Chief Compliance Officer (CCO) of the Trust. Examples of functions performed by USBFS in this CCO support role include:
Sample 1

Related to Chief Compliance Officer Support Services

  • Chief Compliance Officer The Chief Compliance Officer of the Trust will be responsible for administering its compliance policies and procedures, shall have sufficient authority and independence within the organization to compel others to adhere to the compliance policies and procedures, shall report directly to the Board of Trustees, shall annually furnish a written report on the operation of the compliance policies and procedures to the Board of Trustees and shall perform such other duties as prescribed by the Board of Trustees.

  • Compliance Support Services Provide compliance policies and procedures related to services provided by BNY Mellon and, if mutually agreed, certain of the BNY Mellon Affiliates; summary procedures thereof; and periodic certification letters. · Such Compliance Support Services are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of a Fund or any other person, and such services are subject to review and approval by the applicable Fund and by the Fund’s legal counsel. · Provide access to Fund records so as to permit the Fund or TRP to test the performance of BNY Mellon in providing the services under this Agreement. · Such Compliance Support Services performed by BNY Mellon under this Agreement shall be at the request and direction of the Fund and/or its chief compliance officer (the “Fund’s CCO”), as applicable. BNY Mellon disclaims liability to the Fund, and the Fund is solely responsible, for the selection, qualifications and performance of the Fund’s CCO and the adequacy and effectiveness of the Fund’s compliance program.

  • Compliance Services (a) If Schedule I contains a requirement for the BNY to provide the Fund with compliance services, such services shall be provided pursuant to the terms of this Section 6 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between the BNY and each Fund, and the results of the BNY’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Fund. The BNY shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.

  • Support Services Other than the assistance provided in the Information, the BNPP Entities do not offer any support services in connection with the Software.

  • Compliance Control Services (1) Support reporting to regulatory bodies and support financial statement preparation by making the Fund's accounting records available to the Trust, the Securities and Exchange Commission (the “SEC”), and the independent accountants.

  • Chief Executive Officer and Director Notification Requirement If the Recipient is a Chief Executive Officer (“CEO”) or a director, associate director or shadow director of the Company’s Singapore Affiliate, the Recipient is subject to certain notification requirements under the Singapore Companies Act. Among these requirements is an obligation to notify the Company’s Singapore Affiliate in writing when the Recipient receives an interest (e.g., the Awards, Shares, etc.) in the Company or any Affiliates within two business days of (i) its acquisition or disposal, (ii) any change in a previously disclosed interest (e.g., when Shares are sold), or (iii) becoming a CEO, director, associate director or shadow director. SOUTH AFRICA

  • Payments for Distribution Assistance and Administrative Support Services (a) Payments to the Distributor. In consideration of the payments made by the Fund to the Distributor under this Plan, the Distributor shall provide administrative support services and distribution services to the Fund. Such services include distribution assistance and administrative support services rendered in connection with Shares (1) sold in purchase transactions, (2) issued in exchange for shares of another investment company for which the Distributor serves as distributor or sub-distributor, or (3) issued pursuant to a plan of reorganization to which the Fund is a party. If the Board believes that the Distributor may not be rendering appropriate distribution assistance or administrative support services in connection with the sale of Shares, then the Distributor, at the request of the Board, shall provide the Board with a written report or other information to verify that the Distributor is providing appropriate services in this regard. For such services, the Fund will make the following payments to the Distributor:

  • Maintenance and Support Services Distributor shall provide Maintenance and Support Services to all of its Customers of Licensed Software as set forth in Sections 3.4(a) and 3.4(b) below. Distributor may require Customers to provide the own First-Line Support: however, in no event shall Siebel be responsible for First-Line or Second-Line Support. Subject to Distributor's payment of the Maintenance Fees set forth in EXHIBIT A Siebel shall provide Third-Line Support to Distributor in accordance with Siebel's then current Maintenance and Support Services Policy. Distributor shall be responsible for all support related to the Value Added Offering.

  • Program Management (WBS 1.1) All components of the Project Management Plan as implemented for the Base Contract and Options 1-4 will be reviewed and amended to reflect specific needs for Option 5 and the outcome of continuous process improvement evaluations.

  • Financial Planning Services The Executive shall receive financial planning services, on an in-kind basis, for a period of eighteen (18) months following the Date of Termination. Such financial planning services shall include expert financial and legal resources to assist the Executive with financial planning needs and shall be limited to (i) current investment portfolio management, (ii) tax planning, (iii) tax return preparation, and (iv) estate planning advice and document preparation (including xxxxx and trusts); provided, however, that the Company shall provide such financial planning services during any taxable year of the Executive only to the extent the cost to the Company for such taxable year does not exceed $25,000. The Company shall provide such financial planning services through a financial planner selected by the Company, and shall pay the fees for such financial planning services. The financial planning services provided during any taxable year of the Executive shall not affect the financial planning services provided in any other taxable year of the Executive. The Executive’s right to financial planning services shall not be subject to liquidation or exchange for any other benefit. Such financial planning services shall be provided in a manner that complies with Treasury Regulation Section 1.409A-3(i)(1)(iv).

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