Common use of Compliance Control Services Clause in Contracts

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. (2) Maintain and keep current all books and accounting records required by the 1940 Act and the rules regulations adopted thereunder, including: (A) Cash Receipts Journal (B) Cash Disbursements Journal (C) Dividends Paid Record (D) Purchase and Sales Journal – Portfolio Securities (E) Purchase and Redemption Journals (F) Security Ledgers (G) General Ledger (H) Daily Expense Accruals (I) Daily Interest Accruals (J) Daily Trial Balances (K) Investment Income Journal (3) Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Trust in connection with any certification required of the Trust pursuant to the Xxxxxxxx-Xxxxx Act of 2002 (the “SOX Act”) or any rules or regulations promulgated by the SEC thereunder, provided the same shall not be deemed to change USBFS’ standard of care as set forth herein. (4) In order to assist the Trust in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), USBFS will provide the Trust’s Chief Compliance Officer with reasonable access to USBFS’s fund records relating the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS that affect or could affect the Trust. (5) Cooperate with the Trust’s independent accountants and take all reasonable action in the performance of its obligations under this Agreement to ensure that the necessary information is made available to such accountants for the expression of their opinion on the Fund’s financial statements without any qualification as to the scope of their examination.

Compliance Control Services. (1) Support reporting to regulatory bodies and support financial statement preparation by making the Fund’s Funds’ accounting records available to the TrustFunds, the Securities and Exchange Commission (the “SEC”), and the Funds’ independent accountants, in each case as requested by a Fund. (2) Maintain and keep current all books and accounting records for the Funds as required by the 1940 Act and the rules regulations adopted provided thereunder, including: (A) Cash Receipts Journal (B) Cash Disbursements Journal (C) Dividends Paid Record (D) Purchase and Sales Journal – Portfolio Securities (E) Purchase and Redemption Journals (F) Security Ledgers (G) General Ledger (H) Daily Expense Accruals (I) Daily Interest Accruals (J) Daily Trial Balances (K) Investment Income Journal. (3) Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Trust Funds in connection with any certification required of the Trust a Fund pursuant to the Xxxxxxxx-Xxxxx Act of 2002 (the “SOX Act”) or any rules or regulations promulgated by the SEC thereunder, provided the same shall not be deemed to change USBFSUSBGFS’ standard of care as set forth herein. (4) In order to assist the Trust in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), USBFS USBGFS will provide the Trust’s Chief Compliance Officer with reasonable access to USBFS’s USBGFS’ fund records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS USBGFS that affect or could affect the TrustTrust or any Fund. (5) Cooperate with the Trust’s Funds’ independent accountants registered public accounting firm and take all reasonable action in the performance of its obligations under this Agreement to ensure that the necessary information is made available to such accountants for the expression of their opinion on the Fund’s Funds’ financial statements statements, without any qualification as to the scope of their examination. USBGFS hereby agrees that commercially reasonable service levels (“SLAs”) will be observed and complied with by it in the performance of its services hereunder, subject to final agreement between the parties on the terms and conditions of more specific SLAs. The parties hereto covenant to one another to negotiate in good faith on the SLAs and to either amend this Agreement or to execute a side agreement to memorialize such SLAs once finalized. The parties agree that USBGFS may use its affiliates to provide any of the services to be provided under this Agreement. Any such affiliate shall be held to the same standard of care as USBGFS would be under this Agreement, and USBGFS shall be responsible for the provision of such services to the same extent as if provided by USBGFS. The Trust consents to the use of such affiliates and to USBGFS providing to such affiliates any information regarding the Trust, a Fund or their shareholders as may be required to provide such service.

Compliance Control Services. (1) Support the Fund’s reporting obligations to regulatory bodies and support financial statement preparation by making the Fund’s accounting records available to the Trust, Fund (including for purposes of provision thereof to the Securities and Exchange Commission (the “SEC”), and the independent accountantsFund’s outside auditors, as determined by the Fund). (2) Maintain and keep current all books and accounting records required by according to the 1940 Act and the rules regulations adopted provided thereunder, including: (A) Cash Receipts Journal (B) Cash Disbursements Journal (C) Dividends Paid Record (D) Purchase and Sales Journal – Portfolio Securities (E) Purchase and Redemption Journals (F) Security Ledgers (G) General Ledger (H) Daily Expense Accruals (I) Daily Interest Accruals (J) Daily Trial Balances (K) Investment Income Journal. (3) Perform its duties hereunder in compliance with all applicable laws Assist the Fund’s Chief Executive Officer and regulations and provide any sub-certifications reasonably requested by the Trust Chief Financial Officer in connection with any certification required of establishing and maintaining “internal control over financial reporting” (as defined in Rules 13a-15(f) and 15-d(f) under the Trust pursuant to the Xxxxxxxx-Xxxxx Securities Exchange Act of 2002 1934 (the “SOX 1934 Act”)) or any rules or regulations promulgated by for the SEC thereunder, provided the same shall not be deemed to change USBFS’ standard of care as set forth hereinFund. (4) In order to assist the Trust Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), USBFS Fund Services will provide the TrustFund’s Chief Compliance Officer with reasonable access to USBFS’s fund records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS Fund Services that affect or could affect the TrustFund. (5) Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Fund in connection with any certification required of the Fund pursuant to the Xxxxxxxx-Xxxxx Act of 2002 (“SOX Act”) or any rules or regulations promulgated by the U.S. Securities and Exchange Commission (“SEC”) thereunder, provided the same shall not be deemed to change USBFS’s standard of care as set forth herein. (6) Cooperate with the TrustFund’s independent accountants public accounting firm and take all reasonable action in the performance of its obligations under this Agreement to ensure that the necessary information is made available to such accountants firm for the expression of their its opinion on the Fund’s financial statements without any qualification as to the scope of their its examination. (7) Fund Services will provide the Fund with certain copies of third party audit reports (e.g., SSAE 16 or SOC 1) through access to USBFS’s CCO Portal to the extent such reports are available and related to services performed or made available by Fund Services under this Agreement. The Fund acknowledges and agrees that such reports are confidential and that it will not disclose such reports except to its employees and service providers who have a need to know and have agreed to obligations of confidentiality applicable to such reports.