Contract Owner Information. (Under Rule 22c-2(a) (2) of the Investment Company Act of 1940)
Contract Owner Information. Section 1 -
Contract Owner Information. (a) Financial Intermediary agrees to provide the Portfolio, upon written request, the taxpayer identification number (“TIN”), if known, of any or all Contract owners and the amount, date, name or other identifier of any investment professional(s) associated with the Contract owner(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through a Separate Account during the period covered by the request.
(i) Requests must set forth a specific period, not to exceed one year from the date of the request, for which transaction information is sought. A request may be ongoing and continuous (e.g., for each trading day throughout the year) or for specified periods of time. A Portfolio may request transaction information older than one year from the date of the request as it deems necessary to investigate compliance with policies established by the Portfolio for the purpose of eliminating or reducing market timing and abusive trading practices.
(ii) Financial Intermediary agrees to transmit the requested information that is on its books and records to the Portfolio or its designee promptly, but in any event not later than ten business days, after receipt of a request. If the requested information is not on Financial Intermediary’s books and records, Financial Intermediary agrees to use reasonable efforts to: (a) promptly obtain and transmit the requested information; (b) obtain assurances from the Contract owner that the requested information will be provided directly to the Portfolio promptly; or (c) if directed by the Portfolio, block further purchases of Portfolio Shares from such Contract owner. In such instance, Financial Intermediary agrees to inform the Portfolio whether it plans to perform (a), (b) or, at the direction of the Portfolio, (c). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any transaction information provided to the Portfolio should be consistent with the NSCC Standardized Data Reporting Format.
(iii) The Trust agrees not to use the Contract owner information received pursuant to this Agreement for marketing or any other similar purpose without the prior written consent of Financial Intermediary.
(b) Financial Intermediary agrees to execute written instructions from the Fund to restrict or prohibit further purchases or exchanges of Sh...
Contract Owner Information. (a) Company agrees to provide the Fund, upon written request, the taxpayer identification number (“TIN”) the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issues identifier (“GII”) and the Contract Owner number or participant account number associated with the Contract Owner, if known, of any or all Contract Owner(s) and the amount, date, and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Portfolio shares (“Shares”) held through an Account maintained by the Company during the period covered by the request. Unless otherwise specifically requested by the Fund, the Company shall only be required to provide information relating to Contract Owner-Initiated Transfer Purchases or Contract Owner-Initiated Transfer Redemptions.
(i) Requests must set forth a specific period, not to exceed 90 days from the date of the request, for which transaction information is sought. The Fund may request transaction information older than 90 days from the date of the request as it deems necessary to investigate compliance with policies established by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding shares issued by the Fund.
(ii) Company agrees to transmit the requested information that is on its books and records to the Fund or its designee promptly, but in any event not later than 10 business days, after receipt of a request. If the requested information is not on the Company’s books and records, Company agrees to: (i) provide or arrange to provide to the fund the requested information from Contract Owners who hold a Contract with an indirect intermediary; or (ii) if directed by the Fund, block further purchases of Fund Shares from such indirect intermediary. In such instance, Company agrees to inform the Fund whether it plans to perform (i) or (ii). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any transaction information provided to the Fund should be consistent with the NSCC Standardized Data Reporting Format. For purposes of this provision, an “indirect intermediary” has the same meaning as in SEC Rule 22c-2 under the Investment Company Act.
(b) The Fund agrees not to use the information received pursuant to this Agreement for any purpose other than as necessary to comply with the provisions of Rule 2...
Contract Owner Information. As set forth in the Participation Agreement, the Insurance Company on behalf of the Separate Accounts acts as a financial intermediary as defined by Rule 22c-2 of the Investment Company Act of 1940 (Rule 22c-2) and that in accordance with the provisions of the Participation Agreement has agreed to provide Contract owner information and take such other actions as described in the Participation Agreement to ensure the Trust’s compliance with Rule 22c-2. Contract Distributor represents and warrants that it is not acting a financial intermediary as defined by Rule 22c-2 with respect to the Trust. Financial Intermediary nonetheless agrees to assist the Company in providing the Portfolio with any information reasonably requested pursuant to Section 2.11 of the Participation Agreement.
Contract Owner Information. (This section will be effective and become part of this Agreement as of October 16, 2006 or such later compliance date for 1940 Act Rule 22c-2.) Company agrees to provide the Fund, upon written request, the information set forth in Schedule D hereto and it will execute the Fund’s instructions to restrict or prohibit purchases or exchanges of Shares as set forth on Schedule D hereto.
Contract Owner Information. (a) Company agrees to provide the Fund, upon written request, the taxpayer identificationnumber("TIN)theIndividual/InternationalTaxpayer IdentificationNumber("ITIN"),orothergovernment-issuesidentifier("GII") andtheContractOwnernumberorparticipant accountnumberassociatedwiththe Contract Owner,if known,ofanyor allContractOwner(andthe amount,date,and transactiontype(purchase, redemption,transfer,orexchange) ofevery purchase, redemption,transfer,orexchangeof Portfolioshares ("Shares")heldthroughan Accountmaintained bytheCompanyduringthe periodcoveredby therequest. UnlessotherwisespecificallyrequestedbytheFund,theCompanyshallonlybe required toprovideinformationrelatingtoContractOwner-InitiatedTransfer Purchases orContractOwner-InitiatedTransferRedemptions.
(i) Requests mustset forthaspecificperiod,nottoexceed90 daysfrom thedate oftherequest,forwhich transactioninformation issought.TheFundmayrequesttransactioninformationolderthan 90daysfromthedateoftherequest asitdeemsnecessaryto investigatecompliancewith policies establishedbytheFwdfor the purposeofeliminatingorreducinganydilutionofthe valueof the outstandingshares issuedbytheFund.
(ii) Companyagreesto transmit therequestedinformationthatis onitsbooksandrecordsto theFund oritsdesigneepromptly, but inanyeventnotlaterthan 10businessdays, afterreceiptof a request. Iftherequestedinformationisnot ontheCompany'sbooks andrecords,Companyagrees to:(i) provideorarrange toprovideto thefund therequestedinformationfromContractOwnerswhoholda Contract withanindirectintermediary;or(ii)ifdirectedby the Fund,blockfurtherpurchasesofFundShares fromsuch indirect intermediary.Insuchinstance,CompanyagreestoinformtheFund whetheritplanstoperform (i)or(ii).Responsesrequiredby this paragraph mustbe communicatedinwritingand inaformatmutually agreeduponbythe parties. Totheextentpracticable, theformat foranytransactioninformationprovidedtotheFundshouldbe consistentwiththeNSCCStandardizedDataReportingFormat.For purposes ofthisprovision, an"indirectintermediary" hasthe same meaningasinSEC Rule22c-2undertheInvestmentCompanyAct.
(b) TheFund agreesnottouse theinformationreceivedpursuant tothisAgreement foranypurposeotherthan asnecessarytocomplywith the provisionsofRule 22c-2or tofulfillother regulatoryorlegalrequirements subjecttotheprivacyprovisionsof TitleV oftheGramm-Lexxx XlileyAct (PublicLaw106-102)andcomparable statelaws.
(c) Companyagrees toexecutewritteninstructionsfromtheFundto restrict orprohibitfurtherpurchasesorexchangesof division u...
Contract Owner Information. Distributor agrees to assist the Company in providing the Portfolio with any information, if maintained by Distributor, reasonably requested pursuant to Section 2.12 of the Participation Agreement.
Contract Owner Information. (a) Effective October 16, 2006 or such other compliance date as determined by the SEC, Financial Intermediary agrees to provide the Portfolio, upon written request, the taxpayer identification number (“TIN”), if known, of any or all Contract owners and the amount, date, name or other identifier of any investment professional(s) associated with the Contract owner(s) (if known), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of Shares held through a Separate Account during the period covered by the request.
(i) Requests must set forth a specific period, not to exceed one year from the date of the request, for which transaction information is sought. A request may be ongoing and continuous (e.g., for each trading day throughout the year) or for specified periods of time. A Portfolio may request transaction information older than one year from the date of the request as it deems necessary to investigate compliance with policies established by the Portfolio for the purpose of eliminating or reducing market timing and abusive trading practices.
(ii) Financial Intermediary agrees to transmit the requested information that is on its books and records to the Portfolio or its designee promptly, but in any event not later than ten business days, after receipt of a request. If the requested information is not on Financial Intermediary’s books and records, Financial Intermediary agrees to use reasonable efforts to: (a) promptly obtain and transmit the requested information; (b) obtain assurances from the Contract owner that the requested information will be provided directly to the Portfolio promptly; or (c) if directed by the Portfolio, block further purchases of Portfolio Shares from such Contract owner. In such instance, Financial Intermediary agrees to inform the Portfolio whether it plans to perform (a), (b) or, at the direction of the Portfolio, (c). Responses required by this paragraph must be communicated in writing and in a format mutually agreed upon by the parties. To the extent practicable, the format for any transaction information provided to the Portfolio should be consistent with the NSCC Standardized Data Reporting Format.
(iii) The Trust agrees not to use the Contract owner information received pursuant to this Agreement for marketing or any other similar purpose without the prior written consent of Financial Intermediary.
(b) Effective October 16, 2006 or such other compliance d...
Contract Owner Information
