Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary. (b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges. (c) Update AWD Work Object with comments detailing resolution. (d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 77 contracts
Samples: Transfer Agency and Service Agreement (Allspring Funds Trust), Transfer Agency and Service Agreement (Allspring Variable Trust), Transfer Agency and Service Agreement (Allspring Funds Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediaryfinancial intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary financial intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object work object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 13 contracts
Samples: Transfer Agency Services Agreement (T. Rowe Price OHA Flexible Credit Income Fund), Transfer Agency Services Agreement (T. Rowe Price OHA Select Private Credit Fund), Services Agreement (Brookfield Infrastructure Income Fund Inc.)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Transfer Agent or upon request of the Funds Transfer Agent directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Transfer Agent and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 12 contracts
Samples: Sub Transfer Agency and Service Agreement, Sub Transfer Agency and Service Agreement (Virtus Institutional Trust), Sub Transfer Agency and Service Agreement (Virtus Equity Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Fund or upon request of the Funds Fund directly to the Financial Intermediaryfinancial intermediary.
(b) Unless otherwise requested by the Funds Fund and as applicable, instruct the Financial Intermediary financial intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object work object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 4 contracts
Samples: Services Agreement (HPS Corporate Lending Fund), Services Agreement (HPS Corporate Capital Solutions Fund), Services Agreement (HPS Corporate Capital Solutions BDC)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Trust or its agent or upon request of the Funds Trust directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Trust and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 4 contracts
Samples: Transfer Agency Agreement, Transfer Agency and Service Agreement (PIMCO Equity Series), Transfer Agency and Service Agreement (Pimco Funds)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial IntermediaryFunds.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(dc) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 3 contracts
Samples: Transfer Agency and Service Agreement (Schwab Investments), Transfer Agency and Service Agreement (Schwab Capital Trust), Transfer Agency and Service Agreement (Schwab Annuity Portfolios)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Fund or its agent or upon request of the Funds directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Fund and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 3 contracts
Samples: Transfer Agency and Service Agreement (Premier Vit), Transfer Agency and Service Agreement (Allianz Funds), Transfer Agency and Service Agreement (Allianz Funds Multi-Strategy Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (State Street Institutional Investment Trust), Transfer Agency and Service Agreement (IVA Fiduciary Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Fund or upon request of the Funds Fund directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Fund and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Ssga Funds), Transfer Agency and Service Agreement (Commerce Funds)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Trust or upon request of the Funds Trust directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Trust and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Allstate Financial Investment Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediaryfinancial intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary financial intermediary to (i) restrict trading on the accountletaccount, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object work object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Trust or its agent or upon request of the Funds Trusts directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds Trust and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Pimco Variable Insurance Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary.
(b) . Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) . Update AWD Work Object with comments detailing resolution.
(d) . Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Wells Fargo Funds Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.. Xxxxxxxxxx International Series
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed detail record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Hansberger International Series)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds Fund or upon request of the Funds Fund directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Commerce Funds)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to to
(i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Smead Funds Trust)
Communication and Resolution of Market Timing Exceptions. (a) Communicate results of analysis to the Funds or upon request of the Funds directly to the Financial Intermediary.
(b) Unless otherwise requested by the Funds and as applicable, instruct the Financial Intermediary to (i) restrict trading on the accountlet, (ii) cancel a trade, or (iii) prohibit future purchases or exchanges.
(c) Update AWD Work Object with comments detailing resolution.
(d) Keep a detailed record of all data exceptions and inquires with regards to potential violations.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Credit Suisse Commodity Return Strategy Fund)
