Confirmations and Reports. (1) The Transfer Agent shall furnish the following information to the Fund, or other party at the direction of the Fund pursuant to Proper Instructions, upon request:
(a) Control Book (also known as "Super Sheet”). Maintain a daily record and produce a daily report for the Fund of all transactions and receipts and disbursements of money and securities and deliver a copy of such report for the Fund for each business day to the Fund, on the next business day at a mutually agreed upon time.
(b) Shareholder lists and statistical information;
(c) The total number of Shares issued and outstanding in each state for "blue sky" purposes as determined according to Proper Instructions delivered from time to time by the Fund to the Transfer Agent;
(d) Information as to payments made pursuant to Proper Instructions by the Fund to third parties relating to distribution agreements, allocations of sales loads, redemption fees, or other transaction or sales-related payments;
(e) Make available same-day cash facility for intraday cash flow reporting; and
(f) Such other information as may be agreed upon from time to time.
(2) The Transfer Agent shall prepare and timely file with the United States Internal Revenue Service, and appropriate state agencies, all required information reports as to dividends and distributions paid to Shareholders. The Transfer Agent shall prepare and timely mail to Shareholders, to the extent required, all information and/or notices with respect to dividends and distributions paid to such Shareholder, the sale price of any Shares sold and such other information as shall be necessary for the Shareholders to determine the amount of any taxable gain or loss in respect of the sale of Shares.
(3) The Transfer Agent shall provide a file to the Fund’s print/mail vendor in order that the vendor may prepare and send: (i) confirmation statements and statements of account to Shareholders for all purchases and redemptions of Shares; (ii) other confirmable transactions in Shareholder accounts; and (iii) prospectuses, semi-annual reports, annual reports, proxy statements and, only as requested, statements of additional information ("Disclosure Documents") from the Funds.
Confirmations and Reports. (1) The Transfer Agent shall furnish the following information to the Fund, or other party at the direction of the Fund pursuant to Proper Instructions, upon request:
(a) A copy of the transaction register;
(b) Dividend and reinvestment blotters;
(c) Shareholder lists and statistical information;
(d) Information as to payments to third parties relating to distribution agreements, allocations of sales loads, redemption fees, or other transaction- or sales-related payments;
(e) The total number of Shares issued and outstanding in each state for “blue sky” purposes as determined according to Proper Instructions delivered from time to time by the Fund to the Transfer Agent; and
(f) Such other information as may be agreed upon from time to time.
(2) The Transfer Agent shall prepare and timely file with the United States Internal Revenue Service, and appropriate state agencies, all required information reports as to dividends and distributions paid to Shareholders. The Transfer Agent shall prepare and timely mail to Shareholders, to the extent required, all information and/or notices with respect to dividends and distributions paid to such Shareholder, the sale price of any Shares sold and such other information as shall be necessary for the Shareholders to determine the amount of any taxable gain or loss in respect of the sale of Shares.
(3) The Transfer Agent shall prepare and mail confirmation statements and statements of account to Shareholders for all purchases and redemptions of Shares and other confirmable transactions in Shareholder accounts.
(4) The Transfer Agent shall provide to all Shareholders, such prospectuses, semi-annual reports, annual reports, proxy statements and, only as requested, statements of additional information (“Disclosure Documents”) as are provided to Transfer Agent by the Funds, at the times and in the form directed by the Funds from time to time. The Funds shall provide the Transfer Agent with such quantities of the Disclosure Documents as the Transfer Agent shall reasonably request for purposes of permitting the Transfer Agent to fulfill this obligation.
Confirmations and Reports. 9.12.1. At the end of each trading day an e-mail notification shall be sent to the e-mail address that you have notified to us, informing you of the execution of the transactions carried out during the relevant trading day. This e-mail confirmation will include all relevant to the transactions details and will be in a format allowing you to save it in your computer/ mobile phone or print it. In addition the details of all Transactions that we execute on your behalf will be available via your online Account on the Trading Platform, which is updated online as each Transaction is executed.
9.12.2. In cases where the prevailing market represents prices different from the prices posted by AAAFx in line with its Liquidity Providers' offering, AAAFx will attempt, on a best efforts basis and in good faith, to execute market orders on or close to the prevailing market prices, provided this is possible also through its Liquidity Providers. This may or may not adversely affect customer’s realized and unrealized gains and losses.
9.12.3. If we hold financial instruments or funds belonging to you under this Agreement, we shall inform you at least on a quarterly basis as regards the assets held on your behalf on the last business day of the calendar quarter ("Statement of Assets"). The Statement of Assets will be available to your online Account on the Trading Platform. In addition, we will inform you at least once a year of the total expenses incurred in the context of your transactions, by making available to your online Account on the Trading Platform the relevant statement. It is noted that you will be able to generate other account statements detailing your transaction activity, profit and loss statements, open positions, margin balances, account credits and debits and other available information. In addition, we may send to you to the address that you have communicated to us, any of the reports and/or confirmations posted online, to the extent we deem that it is necessary to do so.
9.12.4. Confirmation of execution and statements of your Account(s), in the absence of manifest error, shall be deemed correct, conclusive and binding upon you if not objected to immediately by email if orders were placed through AAAFx Online Trading System or by telephone to the Trading Desk, within five Business Days of making such confirmations available to you via our website or we notify you of an error in the confirmation within the same period.
9.12.5. Where the initial value of ...
Confirmations and Reports. The Company shall make available to the Portfolio Manager copies of all transaction confirmations and investment statements relating to the Assets, as well as any other reports relating to the Assets which the Portfolio Manager may request. Upon request, the Company shall provide the Portfolio Manager with accurate information with respect to the then-current Net Asset Value (as defined below in Section 7(b)) of the Assets, as well as such other information as the Portfolio Manager reasonably may request including, but not limited to, access to the books and records of the Company. Such information provided to the Portfolio Manager may be disclosed by the Portfolio Manager to such persons and authorities, for the purpose of satisfying its business obligations hereunder, fiduciary, reporting, filing or other obligations hereunder, or if the Company is requested to disclose such information by regulatory officials, or required by judicial process or regulatory action.
Confirmations and Reports. With respect to your SPS Advantage Account(s), Sponsor will send you trade confirmations and a consolidated statement at least quarterly. Your Wrap Fee (which will include consolidated advisory fees, if applicable) will appear in the SPS Advantage Account transaction section of the consolidated statement.
Confirmations and Reports. First Clearing will send confirmations of transactions and periodic Account statements to you. You may waive your right to receive trade-by-trade confirmations. If you open an eligible Advisory Program Account when you sign this Agreement, your initials on the Signature Page or Program Features indicate that you desire to waive trade-by-trade confirmations and your understanding that waiving your right to receive confirmations is not a condition to entering/participating in an Advisory Program and will not result in a different fee. If you elect to waive your right to receive trade-by-trade confirmations, you will receive periodic statements. You may rescind your waiver at any time. A monitoring report will be provided to you annually and is also available to you on an ad hoc basis. You will review this material and report any discrepancies to us as soon as possible. This report will include a reminder to you to contact your financial professional if there are any changes in your financial situation or other information included in your Account Application and will disclose a method by which you may make such contact.
Confirmations and Reports. With respect to your Account(s), unless you direct otherwise, Sponsor will send you trade confirmations and consolidated statements at least quarterly. You may elect to waive the right to receive trade confirmations upon the completion of each transaction in your Program Account(s). If you make this election, Sponsor will, upon Sponsor’s approval of such election, send trade confirmations only to Envestnet and/or the Envestnet Manager and you will be able to view information regarding such transactions on the consolidated statements sent to you and on xxxxxxxxxx.xxx. Your Wrap Fee will not change as a result of this election and your decision to make this election is not a condition of entering into, or continuing participation in the Program. You may rescind this election at any time by providing Sponsor with a new written election. Your Wrap Fee (which will include consolidated advisory fee, if applicable) will appear in the Access Account transaction section of the consolidated statement.
Confirmations and Reports. Sponsor will send you a trade confirmation after each trade and a consolidated statement at least quarterly. You may elect to waive the right to receive trade confirmations upon the completion of each trade in your Account. If you make this election, Xxxxxxx will, upon Xxxxxxx’s approval of such election, send trade confirmations only to the Investment Manager and you will be able to view information regarding such trades in the consolidated statements provided to you and on the secure site on xxxxxxxxxx.xxx. Your Wrap Fee will not change as a result of this election and your decision to make this election is not a condition of entering into, or continuing participation in, Active Portfolios investments. You may rescind this election at any time by providing Sponsor with a new written election. Your Wrap Fee (which includes consolidated advisory fees, if applicable) will appear in the Active Portfolios Account transaction section of the consolidated statement.
Confirmations and Reports. Client authorizes Brokers Financial to deliver all notices (required to be given under this Agreement or by law), documents, disclosures and communications via email or by other electronic means. Brokers Financial shall have complied with its delivery requirements upon the transmission of the documents, disclosure, notice or correspondence to the Client. Client will promptly notify Brokers Financial if such electronic address changes. Client retains the right to request information required to be provided by law in hardcopy and such request shall not be deemed a revocation of the authorization to receive information electronically.
Confirmations and Reports. Confirmation of trades will be made online as the trades are executed and should immediately be reflected in the Customer’s Trading Platform. Reports and all online position windows and statements of Accounts for Customer shall be deemed correct and shall be conclusive and binding upon Customer if not objected to by telephone immediately upon receipt and such objection is confirmed in writing within two (2) Business Days after the transmission to Customer or if the Company does not change the confirmed execution price and details. The Company reserves the right to change confirmed rates, prices or trade details of executed and confirmed deals if the Company determines the electronic or verbal price or details from that deal were executed in error. Margin Calls or trade corrections shall be conclusive and binding unless objected to immediately by telephone, fax or email. Conditions and other data as to conducting each trade shall be set forth in the confirmation sent to Customer electronically, and is evidence of the completed transaction. If for some reason Customer did not receive confirmation, including due to a computer bug, the transaction will not be void, and records made by Company in connection with this transaction will serve as indisputable evidence of conditions and other data of the transaction conducted. Transactions conducted on-line via the electronic trading platform will be confirmed on-line as the trade is executed, and transactions conducted over the telephone will be confirmed verbally as the trade is executed, on-line on the screen of the trading terminal and in the form of statements sent electronically to 24:00 hrs. (Server Time) of the day when the Transaction is executed. Statements will be sent to Customer monthly, electronically to Customer’s e-mail indicated by them when executing the Customer Agreement. Confirmations and changes per Customer’s account shall be deemed correct, and become final and binding for Customer upon expiration of 2 (two) Business Days after being sent to Customer electronically or via e-mail. Customer’s objections as to the information contained in confirma-tions, account statements, and other information having to do with Customer’s account shall be made in writing or in the form of an electronic document, and must contain sufficient information so that the issue or error could be detected. Customer understands and acknowledges that oral information provided by the Company to Customer regarding confirmat...
