Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions. (b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the Funds. (c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 100 contracts
Samples: Transfer Agency Services Agreement (T. Rowe Price OHA Flexible Credit Income Fund), Transfer Agency and Service Agreement (Allspring Funds Trust), Transfer Agency and Service Agreement (Allspring Variable Trust)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the FundsFund.
(c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 8 contracts
Samples: Services Agreement (HPS Corporate Capital Solutions Fund), Transfer Agency and Service Agreement (Commerce Funds), Services Agreement (Oaktree Strategic Credit Fund)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the FundsTrust.
(c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 5 contracts
Samples: Transfer Agency and Service Agreement (Allstate Financial Investment Trust), Transfer Agency and Service Agreement (PIMCO Equity Series), Transfer Agency and Service Agreement (Pimco Variable Insurance Trust)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the Funds.
(cb) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Ssga Funds), Transfer Agency and Service Agreement (State Street Institutional Investment Trust)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the Funds.
(c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Homestead Funds Trust), Transfer Agency and Service Agreement (Homestead Funds Inc)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the Funds.
(c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.. PAX WORLD MUTUAL FUNDS Schedule 1.2(i) - 1
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Pax World Funds Series Trust I)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (ai) Review of daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(bii) Analyze Analysis of Financial Intermediary supplemental data (items), which are identified as “Potential Violations” based on parameters established by the Funds”.
(ciii) Confirm Confirmation of exception trades and if necessary, request additional information regarding Potential Violationstrades.
Appears in 1 contract
Samples: Sub Transfer Agency and Shareholder Services Agreement (Virtus Insight Trust)
Daily Exception Analysis of Market Timing Policies for Supplemental Data Provided. (a) Review daily short-term trader exceptions, daily excessive trader exceptions, and daily supplemental data reconciliation exceptions.
(b) Analyze Financial Intermediary supplemental data (items), which are identified as “"Potential Violations” " based on parameters established by the Funds.
(c) Confirm exception trades and if necessary, request additional information regarding Potential Violations.
Appears in 1 contract
