Establishment of Procedures. The Trust and Order Taker may, from time to time, establish written procedures for the order taking and related activities effected for ETF Shares of each ETF Series. Schedule C - Appendix 1 - Assisted Trading Services In connection with the Order Taking Services set forth in Schedule C, X.X. Xxxxxx shall provide the following assisted trading services. Pursuant to Schedule C, Authorized Participants instruct Orders for ETF creations and redemptions through an Order Taking Platform. When submitting an Order, Authorized Participants may submit a “cash-in-lieu” requests with respect to any component of the Order that the Authorized Participant is restricted from transacting in (a “Restricted Security”). Where an Authorized Participant submits an Order that includes a cash-in-lieu request for a Restricted Security, Order Taker, on behalf of the applicable ETF, will transmit to X.X. Xxxxxx’x equities trading desk a request to purchase the Restricted Security at market on close. The execution, transaction confirmation, and any information related to any Restricted Security order shall be the sole responsibility of X.X. Xxxxxx’x equities desk, shall be subject to any terms and conditions in place between the Customer, ETF or Trust and X.X. Xxxxxx’x equities trading desk, and any requests or inquiries with respect to any Restricted Security order shall be directed to X.X. Xxxxxx’x equities desk. For the avoidance of doubt, Order Taker bears no responsibility or liability for any of the obligations of the X.X. Xxxxxx equities desk with respect to any Restricted Security order. EXHIBIT A LIST OF ETF SERIES
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Establishment of Procedures. The Trust and Order Taker may, from time to time, establish written procedures for the order taking and related activities effected for ETF Shares of each ETF Series. Schedule ETF Agency Services Agreement – August 2021 Schedule–C - Appendix 1 Appendix–1 - Assisted Trading Services In connection with the Order Taking Services set forth in Schedule C, X.X. Xxxxxx shall provide the following assisted trading services. Pursuant to Schedule C, Authorized Participants instruct Orders for ETF creations and redemptions through an Electronic Order Taking PlatformMeans. When submitting an Order, Authorized Participants may submit a “cash-in-lieu” requests with respect to any component of the Order that the Authorized Participant is restricted from transacting in (a “Restricted Security”). Where an Authorized Participant submits an Order that includes a cash-in-lieu request for a Restricted Security, Order Taker, on behalf of the applicable ETF, will transmit to X.X. Xxxxxx’x equities trading desk a request to purchase the Restricted Security at market on close. The execution, transaction confirmation, and any information related to any Restricted Security order shall be the sole responsibility of X.X. Xxxxxx’x equities desk, shall be subject to any terms and conditions in place between the Customer, ETF or Trust and X.X. Xxxxxx’x equities trading desk, and any requests or inquiries with respect to any Restricted Security order shall be directed to X.X. Xxxxxx’x equities desk. For the avoidance of doubt, Order Taker bears no responsibility or liability for any of the obligations of the X.X. Xxxxxx equities desk with respect to any Restricted Security order. EXHIBIT A LIST OF ETF SERIESAgency Services Agreement – August 2021 AGENCY SERVICES AGREEMENT ANNEX I
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Samples: Agency Services Agreement (Palmer Square Funds Trust)
Establishment of Procedures. The Trust and Order Taker may, from time to time, establish written procedures for the order taking and related activities effected for ETF Shares of each ETF Series. Schedule C - Appendix 1 - Assisted Trading Services In connection with the Order Taking Services set forth in Schedule C, X.X. Xxxxxx shall provide the following assisted trading services. Pursuant to Schedule C, Authorized Participants instruct Orders for ETF creations and redemptions through an Electronic Order Taking PlatformMeans or by phone. When submitting an Order, Authorized Participants may submit a “cash-in-lieu” requests request(s) with respect to any component of the Order that the Authorized Participant is restricted from transacting in (a “Restricted Security”). Where an Authorized Participant submits an Order that includes a cash-in-lieu request for a Restricted Security, Order Taker, on behalf of the applicable ETF, will transmit to X.X. Xxxxxx’x equities trading desk a request to purchase or sell the Restricted Security at market on close. The execution, transaction confirmation, confirmation and any information related to any Restricted Security order shall be the sole responsibility of X.X. Xxxxxx’x equities desk, shall be subject to any terms and conditions in place between the Customer, ETF or Trust and X.X. X. X. Xxxxxx’x equities trading desk, and any requests or inquiries with respect to any Restricted Security order shall be directed to X.X. Xxxxxx’x equities desk. For the avoidance of doubt, Order Taker bears no responsibility or liability for any of the obligations of the X.X. Xxxxxx equities desk with respect to any Restricted Security order. EXHIBIT A LIST OF ETF SERIESANNEX I
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Establishment of Procedures. The Trust and Order Taker may, from time to time, establish written procedures for the order taking and related activities effected for ETF Shares of each ETF Series. ETF Agency Services Agreement – August 2021 Schedule C - Appendix 1 - Assisted Trading Services In connection with the Order Taking Services set forth in Schedule C, X.X. Xxxxxx shall provide the following assisted trading services. Pursuant to Schedule C, Authorized Participants instruct Orders for ETF creations and redemptions through an Electronic Order Taking PlatformMeans. When submitting an Order, Authorized Participants may submit a “cash-in-lieu” requests with respect to any component of the Order that the Authorized Participant is restricted from transacting in (a “Restricted Security”). Where an Authorized Participant submits an Order that includes a cash-in-lieu request for a Restricted Security, Order Taker, on behalf of the applicable ETF, will transmit to X.X. Xxxxxx’x equities trading desk a request to purchase the Restricted Security at market on close. The execution, transaction confirmation, and any information related to any Restricted Security order shall be the sole responsibility of X.X. Xxxxxx’x equities desk, shall be subject to any terms and conditions in place between the Customer, ETF or Trust and X.X. Xxxxxx’x equities trading desk, and any requests or inquiries with respect to any Restricted Security order shall be directed to X.X. Xxxxxx’x equities desk. For the avoidance of doubt, Order Taker bears no responsibility or liability for any of the obligations of the X.X. Xxxxxx equities desk with respect to any Restricted Security order. EXHIBIT A LIST OF ETF SERIESAgency Services Agreement – August 2021 ANNEX I
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Establishment of Procedures. The Trust and Order Taker may, from time to time, establish written procedures for the order taking and related activities effected for ETF Shares of each ETF Series. Schedule C - Appendix 1 - Assisted Trading Services In connection with the Order Taking Services set forth in Schedule C, X.X. J.X. Xxxxxx shall provide the following assisted trading services. Pursuant to Schedule C, Authorized Participants instruct Orders for ETF creations and redemptions through an Order Taking Platform. When submitting an Order, Authorized Participants may submit a “cash-in-lieu” requests with respect to any component of the Order that the Authorized Participant is restricted from transacting in (a “Restricted Security”). Where an Authorized Participant submits an Order that includes a cash-in-lieu request for a Restricted Security, Order Taker, on behalf of the applicable ETF, will transmit to X.X. J.X. Xxxxxx’x equities trading desk a request to purchase the Restricted Security at market on close. The execution, transaction confirmation, and any information related to any Restricted Security order shall be the sole responsibility of X.X. J.X. Xxxxxx’x equities desk, shall be subject to any terms and conditions in place between the Customer, ETF or Trust and X.X. J.X. Xxxxxx’x equities trading desk, and any requests or inquiries with respect to any Restricted Security order shall be directed to X.X. J.X. Xxxxxx’x equities desk. For the avoidance of doubt, Order Taker bears no responsibility or liability for any of the obligations of the X.X. J.X. Xxxxxx equities desk with respect to any Restricted Security order. EXHIBIT A LIST OF ETF SERIES
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