Duties and Responsibilities of FTC. A. General Fund Management
1. Act as liaison among all fund service providers
2. Coordinate board communication by:
a. Assisting fund counsel in establishing meeting agendas b. Preparing board reports based on financial and administrative data c. Evaluating independent auditor d. Securing and monitoring fidelity bond and director and officers liability coverage, and making the necessary SEC filings relating thereto
Duties and Responsibilities of FTC. FTC shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive orders for the purchase of shares;
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Company's custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Company's custodian;
D. Pay monies upon receipt from the Company's custodian, where relevant, in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareholder's instructions;
F. Process exchanges between funds and/or classes of shares of funds both within the same family of funds and with the Portico Money Market Fund, if applicable;
G. Prepare and transmit payments for dividends and distributions declared by the Company with respect to the Fund;
H. Make changes to shareholder records, including, but not limited to, address changes in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.);
I. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding;
J. Prepare shareholder meeting lists and, if applicable, mail, receive and tabulate proxies;
K. Mail shareholder reports and prospectuses to current shareholders;
L. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders;
M. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Company;
N. Provide a Blue Sky System which will enable the Company to monitor the total number of shares of the Fund sold in each state. In addition, the Company or its agent, including FTC, shall identify to FTC in writing those...
Duties and Responsibilities of FTC. FTC undertakes to provide the following services and to assume the following obligations:
A. General Fund Management
1. Act as liaison among all Fund service providers including custodian, distributor, transfer agent, and the Adviser
2. Coordinate Board communication by:
a. Assisting fund counsel in establishing meeting agendas for the Board
b. Preparing reports for the Board based on financial and administrative data
c. Evaluating independent auditors
d. Securing and monitoring fidelity bond and director and officers liability insurance coverage, and making the necessary filings with the Securities and Exchange Commission ("SEC") relating thereto
Duties and Responsibilities of FTC. A. Prepare and file all initial state registrations and renewals, including all necessary post-effective amendments, sales reports, and other required state filings
1. All renewals subject to written approval signed by an authorized official of the Fund
B. Monitor status in each state
C. Develop Blue Sky sales interface with all relevant discount brokerage and other financial institutions as directed by the Fund
D. Send periodic reports to the Fund reflecting status of each state permit
Duties and Responsibilities of FTC. 1. Answer all prospective shareholder calls concerning the Fund.
2. Send all available Fund material requested by the prospect within 24 hours from time of call.
3. Receive and update all Fund fulfillment literature so that the most current information is sent and quoted.
4. Provide 24-hour answering service to record prospect calls made after hours (7 p.m. to 8 a.m. CT). 5. Maintain and store Fund fulfillment inventory.
6. Send periodic fulfillment reports to the Company as agreed upon between the parties.
Duties and Responsibilities of FTC. A. General Trust Management
1. Act as liaison among all Trust service providers
2. Coordinate timely Board communication by:
a. Assisting Trust counsel in establishing Board and Board Committee meeting agendas, and preparing Board and Board Committee materials b. Preparing board reports based on financial and administrative data c. Evaluating independent auditor d. Securing and monitoring fidelity bond and director and officers liability coverage, and making the necessary SEC filings relating thereto
Duties and Responsibilities of FTC. A. Prepare and file all initial state registrations and renewals, including all necessary post-effective amendments, sales reports, and other required state filings
1. All renewals subject to written approval signed by an authorized official of the Fund
2. FTC agrees to register the Fund as so to minimize the registration fees paid to each state, as agreed upon from time to time between the Fund and FTC, by taking into account such items as exempt transactions.
B. Monitor status in each state
C. Develop Blue Sky sales interface with all relevant discount brokerage and other financial institutions as directed by the Fund
D. Send periodic reports to the Fund reflecting status of each state permit
Duties and Responsibilities of FTC. Answer all prospective shareholder calls concerning any of The Ramirez Cash Management Money Market Fund, The Xxxxxxx New York Tax-Free Money Market Fund and The Xxxxxxx U.S. Treasury Money Market Fund listed in the attached Schedule A which may be modified from time to time.
Duties and Responsibilities of FTC. Answer all prospective shareholder calls concerning any of the Trust funds listed in the attached Schedule A which may be modified from time to time.
Duties and Responsibilities of FTC. A. General Trust Management
1. Act as liaison among all fund service providers, subject to the general supervision of Holland Capital Management (the "Investment Manager").
2. Coordinate board communication by:
a. Assisting fund counsel in establishing meeting agendas b. Preparing board reports based on financial and administrative data c. Evaluating independent auditor d. Securing and monitoring fidelity bond and director and officers liability coverage, and making the necessary SEC filings relating thereto
