CONTROL PROCEDURES. Fund Settlement, Reconciliation and Estimate Procedures * Dreyfus Procedure DDA Reconciliation Procedure Standard Operational Procedure Corporate Action Procedures * Dreyfus Procedure Wire/ACH Processing Procedures * Dreyfus Procedure Commissions/12b-1 Procedures * Dreyfus Procedure Processing Requirements for Cancelled Security Certificates (Exchange Act Rule 17Ad-19) Rule 38a-1 Compliance Procedure Reporting Missing, Lost, Counterfeit or Stolen Certificates (Exchange Act Rule 17f-1) Rule 38a-1 Compliance Procedure Lost Certificate Processing Procedures * Dreyfus Procedure Pricing of Transactions-Trade Cut-Off (Investment Company Act Rule 22c-1(a)) Rule 38a-1 Compliance Procedure Redemption of Shares (Investment Company Act Rule 22(e)) Rule 38a-1 Compliance Procedure Turnaround Time for Written Inquiries and Requests (Exchange Act Rule 17Ad-5) Rule 38a-1 Compliance Procedure Mutual Fund Redemptions (Investment Company Act Rule 22c-2) Rule 38a-1 Compliance Procedure Money Market Liquidity Risk Procedures (KYC Reports) Rule 38a-1 Compliance Procedure Lost Shareholders (Exchange Act Rule 17Ad-17) Rule 38a-1 Compliance Procedure Lost Shareholders- Returned from Post Office ("RPO") Processing Procedures Standard Operational Procedure Unclaimed Property Reporting Process Procedures Standard Operational Procedure Print/Mail Processing Procedures * Dreyfus Procedure Confirmations (Exchange Act Rule 10b-10) Rule 38a-1 Compliance Procedure Investment Company Records (Investment Company Act Rule 31a-1,2,3) Rule 38a-1 Compliance Procedure Transfer Agent Record Retention Matrix Rule 38a-1 Compliance Procedure Safeguarding and Disposal of Client Information Policy and Guidelines (Regulation S-P) Rule 38a-1 Compliance Procedure Safeguarding Funds and Securities (Exchange Act Rule 17Ad-12) Rule 38a-1 Compliance Procedure Limitations on Affiliate Marketing (Regulation S-AM) Rule 38a-1 Compliance Procedure Information Security and Protection Policies and Standards Standard Operational Procedure Procedures for New or Existing Data Transmissions to Brokers or Other Entities Dreyfus Procedure Registration and Annual Reporting Requirements for Transfer Agents (Exchange Act Rule 17Ac2-1,-2) Rule 38a-1 Compliance Procedure Reporting Aged Record Differences and Buy-ins (Exchange Act Rule 17Ad-10,11) Rule 38a-1 Compliance Procedure Annual Study and Evaluation of Internal Accounting Controls (Exchange Act Rule 17Ad-13) Rule 38a-1 Compliance Procedure Fingerprinting (Exchange Act Ru...
CONTROL PROCEDURES. The Company shall have an internal quality control program that verifies, on a regular basis, the existence and accuracy of the legal documents, credit documents, property appraisals, and underwriting decisions. The program shall include evaluating and monitoring the overall quality of the Company's loan production and the servicing activities of the Company in accordance with industry standards.
CONTROL PROCEDURES. Assist CLIENT in developing procedures for control of the operation and maintenance of, and recordkeeping for, equipment and systems. No Yes No
CONTROL PROCEDURES. 4.1. ARC has incorporated control procedures to provide quality assurance for the Variable Remittance option. An online system ensures that these transactions are processed in accordance with the instructions submitted by the carrier to ARC. This is accomplished through a Carrier Agent Payment (CAP) file.
4.2. For each carrier/agent arrangement the CAP file includes the following information:
4.2.1. ARC Code Number
4.2.2. Carrier Identification
4.2.3. Account number (determined by the carrier) 4.2.4. Payment plan
CONTROL PROCEDURES. 2.1. The Mozambican authorities may allow an agent on board to inspect fishing activities.
2.2. The master of the vessel shall make the existing communication media available to the monitoring agent, authorise access to all the vessel compartments and permit the collection of samples.
2.3. The master of the vessel shall provide food, accommodation and medical assistance on the same conditions as for the vessel’s officers.
2.4. These officials shall not remain on board for longer than is necessary for the discharge of their duties.
2.5. Once the inspection has been completed, the agent shall prepare a report, of which a copy shall be given to the master of the vessel.
CONTROL PROCEDURES. 4.1. Masters of Community fishing vessels engaged in fishing activities in the Solomon Islands fishing zone shall allow and facilitate boarding and the discharge of their duties by any Solomon Islands official responsible for the inspection and control of fishing activities.
4.2. These officials shall not remain on board for longer than is necessary for the discharge of their duties.
4.3. Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
CONTROL PROCEDURES. 4.1. Skippers of Community fishing vessels engaged in fishing activities in Madagascar’s waters shall allow and facilitate boarding and the discharge of their duties by any Malagasy official responsible for the inspection and control of fish- ing activities.
4.2. These officials shall not remain on board for longer than is necessary for the discharge of their duties.
4.3. Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
CONTROL PROCEDURES. 4.1. Skippers of Community fishing vessels engaged in fishing activities in São Xxxxxx xxxxxx shall allow and facilitate boarding and the discharge of their duties by any São Toméan official responsible for the inspection and control of fishing activities.
4.2. These officials shall not remain on board for longer than is necessary for the discharge of their duties.
4.3. Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
CONTROL PROCEDURES. 5.1. Masters of Community fishing vessels engaged in fishing activities in Guinea-Bissau waters shall allow and facilitate boarding and the discharge of their duties by any Guinea-Bissau official responsible for the inspection and control of fishing activities.
5.2. These officials shall not remain on board for longer than is necessary for the discharge of their duties.
5.3. Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
CONTROL PROCEDURES. Masters of Community fishing vessels engaged in fishing activities in Kiribati waters shall allow and facilitate boarding and the discharge of their duties by any Kiribati official responsible for the inspection and control of fishing activities. — These officials shall not remain on board for longer than is necessary for the discharge of their duties. — Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
