Common use of DST Compliance + Program Clause in Contracts

DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, Xxxxxxxx-Xxxxx Act, Title V of Gramm Xxxxx Xxxxxx Act, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 30 contracts

Samples: Agency Agreement (Lord Abbett Investment Trust), Agency Agreement (Lord Abbett Equity Trust), Agency Agreement (Lord Abbett Us Gov & Gov Sponsored Enterpr Money Market Fund)

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DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, Xxxxxxxx-Xxxxx Act, Title V of Gramm Xxxxx Xxxxxx Act, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including but not limited to anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 12 contracts

Samples: Agency Agreement (Lord Abbett Credit Opportunities Fund), Agency Agreement (Lord Abbett Us Gov & Gov Sponsored Enterpr Money Market Fund), Agency Agreement (Lord Abbett Mid Cap Stock Fund Inc)

DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, Xxxxxxxx-Xxxxx Act, Title V of Gramm Xxxxx Xxxxxx Act, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a Program”),a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 5 contracts

Samples: Agency Agreement (Lord Abbett Developing Growth Fund, Inc.), Agency Agreement (Lord Abbett Equity Trust), Agency Agreement (Lord Abbett Bond Debenture Fund Inc)

DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, XxxxxxxxSarbaxxx-Xxxxx ActXxx, Title V of Gramm Xxxxx Xxxxxx ActLeach Xxxxex Xxx, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a Program”),a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 4 contracts

Samples: Agency Agreement (Lord Abbett Global Fund Inc), Agency Agreement (Lord Abbett Research Fund Inc), Agency Agreement (Lord Abbett Securities Trust)

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DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, XxxxxxxxSxxxxxxx-Xxxxx Act, Title V of Gramm Xxxxx Xxxxxx Lxxxx Bxxxxx Act, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 4 contracts

Samples: Agency Agreement (Lord Abbett Affiliated Fund Inc), Agency Agreement (Lord Abbett Municipal Income Fund Inc), Agency Agreement (Lord Abbett Global Fund Inc)

DST Compliance + Program. DST shall assist the Funds to fulfill the Funds’ responsibilities under certain provisions of USA PATRIOT Act, Xxxxxxxx-Xxxxx Act, Title V of Gramm Xxxxx Xxxxxx Act, the 1933 Act, the 1934 Act, and the 1940 Act, including, inter alia, Rule 38a-1 under the 1940 Act, by implementing on behalf of the Funds DST’s Compliance +™ program (the “Compliance + Program”), a Compliance+ Program”),a compliance program that focuses on certain business processes that represent key activities of the transfer agent/service provider function, including anti-money laundering, certificate processing, correspondence processing, fingerprinting, lost securityholder processing, reconciliation and control, transaction processing, customer identification, transfer agent administration and safeguarding fund assets and securities.

Appears in 1 contract

Samples: Agency Agreement (Lord Abbett Global Fund Inc)

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