Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring
Compliance Administration. Perform testing for compliance with: (i) the investment objective and certain policies and restrictions as disclosed in each Fund’s offering documents; and (ii) applicable Law (collectively, “Portfolio Compliance”) (post-trade, monthly) to test the Fund’s Portfolio Compliance (the “Portfolio Compliance Testing”). The frequency and nature of the Portfolio Compliance Testing and the methodology and process in accordance with which the Portfolio Compliance Testing are conducted, are mutually agreed to between ALPS and the Fund.
Compliance Administration. Perform daily prospectus, SEC investment restriction monitoring · Provide warning/alert notification · Create monthly comprehensive compliance summary reporting · Monitor on a quarterly basis each Fund's status as a regulated investment company under Subchapter M of the Code.
Compliance Administration. ● Perform daily prospectus & SAI, SEC investment restriction monitoring ● Provide warning/Alert notification with supporting documentation ● Provide quarterly compliance testing certification to Board of Directors
Compliance Administration. (i) Perform monthly prospectus & SAI, SEC investment restriction monitoring
(ii) Provide warning/alert notification with supporting documentation
(iii) Provide quarterly compliance testing certification to Board of Trustees
Compliance Administration. Perform daily prospectus, SEC investment restriction monitoring Provide warning/alert notification Create monthly comprehensive compliance summary reporting Monitor on a quarterly basis each Fund's status as a regulated investment company under Subchapter M of the Code.
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring · Provide warning/Alert notification with supporting documentation · Provide quarterly compliance testing certification to Board of Directors · Calculate dividend and capital gain distribution rates · Prepare ROCSOP and required tax designations for Annual Report · Prepare and coordinate filing of income and excise tax returns o Audit firm to sign all returns as paid preparer · Calculate/monitor book-to-tax differences · Provide quarterly Subchapter M compliance monitoring and reporting · Provide tax re-allocation data for shareholder 1099 reporting · Prepare and coordinate distribution of 19a-1 filings as required · Provide the Trust with individuals to serve in the Trust’s Treasurer (PFO), Secretary and Chief Compliance Officer positions. +
Compliance Administration. (i) Perform monthly prospectus & SAI, SEC investment restriction monitoring
(ii) Provide warning/Alert notification with supporting documentation
(iii) Provide quarterly compliance testing certification to Board of Trustees Notes and Terms to SS&C ALPS Services
1. SS&C ALPS agrees to maintain at all times a program reasonably designed to prevent violations of the federal securities laws (as defined in Rule 38a-1 under the 1940 Act) with respect to the services provided hereunder, and shall provide to the Fund a certification to such effect no less frequently than annually or as otherwise reasonably requested by the Fund. SS&C ALPS shall make available its compliance personnel and shall provide at its own expense summaries and other relevant materials relating to such program as reasonably requested by the Fund.
2. Portfolio compliance with: (i) the investment objective and certain policies and restrictions as disclosed in the Fund’s prospectus and statement of additional information, as applicable; and (ii) certain SEC rules and regulations (collectively, “Portfolio Compliance”) is required daily and is the responsibility of the Fund or its Management, as applicable. ALPS will perform Portfolio Compliance testing (post-trade, daily on a T+2 basis) to test the Fund’s Portfolio Compliance (the “Portfolio Compliance Testing”). The frequency and nature of the Portfolio Compliance Testing and the methodology and process in accordance with which the Portfolio Compliance Testing are conducted, are mutually agreed to between ALPS and the Investment Manager. ALPS will report violations, if any, to the Investment Manager and as promptly as practicable following discovery.
3. SS&C ALPS independently tests Portfolio Compliance based upon information contained in the source reports received by SS&C ALPS’ fund accounting department and supplemental data from certain third-party sources. As such, Portfolio Compliance Testing performed by SS&C ALPS is limited by the information contained in the fund accounting source reports and supplemental data from third-party sources. The Investment Manager agrees and acknowledges that SS&C ALPS’ performance of the Portfolio Compliance Testing shall not relieve the Fund or its Management of their primary day-to-day responsibility for assuring such Portfolio Compliance, including on a pre-trade basis, and SS&C ALPS shall not be held liable for any act or omission of the Fund or its Management (or any other Party) as applicable, with re...
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring • Provide warning/Alert notification with supporting documentation • Provide client access to automated compliance testing platform • Create monthly comprehensive compliance summary reporting • Calculate section 18 derivative exposure and asset coverage reporting • Provide quarterly compliance testing certification to Board of Trustees • Calculate dividend and capital gain distribution rates • Prepare ROCSOP and required tax designations for Annual Report • Prepare and coordinate filing of income and excise tax returns • Audit firm to sign all returns as paid preparer • Calculate/monitor book-to-tax differences • Provide quarterly Subchapter M compliance monitoring and reporting • Provide tax re-allocation data for shareholder 1099 reporting Revisions to, or the addition of new services to the services listed above (including but not limited to new or revised services related to regulatory changes or special projects) shall be subject to additional fees as determined by ALPS. [Redacted] All out-of-pocket expenses are passed through to the client at cost, including but not limited to: third party security pricing and data fees, Bloomberg fees, Gainskeeper fees, PFIC Analyzer, bank loan sub-accounting fees, Blue Sky permit processing fees and state registration fees, SSAE 16 control review reports, travel expenses to Board meetings and on-site reviews, typesetting, printing, filing and mailing fees (including additional fees or surcharges related to expedited typesetting, printing, filing and mailing events), FINRA advertising/filing fees (including additional ALPS fees for expedited reviews), registered representative state licensing fees, fulfillment costs, confirmations and investor statements, postage, statement paper, XXX custodial fees, NSCC interface fees, wire fees and other bank charges, E*Delivery services, customized programming/enhancements, enhanced reporting activities and other out-of-pocket expenses incurred by ALPS in connection with the performance of its duties under its Agreement with the Trust on behalf of each Fund.
Compliance Administration. ● Provide daily investment restriction compliance monitoring support and reporting. ● Provide warning/alert notification with supporting documentation. ● Report violations, if any, to a Fund and the Fund’s CCO as promptly as practicable following discovery.
