Financial and Tax Reporting. Prepare agreed upon management reports and Board of Trustees materials such as unaudited financial statements, distribution summaries, and deviations of xxxx-to-market valuation and the amortized cost for money market funds. • Calculate and report Fund performance to outside services as directed by Trust management. • Compile data for and prepare, with respect to the Funds, timely notices to the SEC required pursuant to Rule 24f-2 under the 1940 Act and Semi-Annual Reports on Form N-SAR . • Compile data for and prepare, with respect to the Funds, Form N-Q required pursuant to Rule 30b-1-5 under the 1940 Act. • Prepare the financial statements for the Annual and Semi-Annual Reports required pursuant to Section 30(e) under the 1940 Act, subject to the review and approval of the Trust and the Trust’s independent accountants. • Provide financial and Fund performance information for inclusion in the Registration Statement for the Trust (on Form N-1A or any replacement therefore) and any amendments thereto, subject to the review of Trust counsel. • Coordinate the printing of the Funds’ Semi-Annual and Annual Reports to Shareholders and Prospectus. • Coordinate the preparation and filing of all required Fund filings with the SEC. • Provide financial information for Fund proxy statements. • Assist in the preparation (for execution by the Trust) and filing of all federal income and excise tax returns and state income tax returns (and such other required tax filings as may be agreed to by the parties) other than those required to be made by the Trust’s custodian or transfer agent, subject to the review and approval of the Trust and the Trust’s independent accountants. • Assist in compiling exhibits and disclosures for Form N-CSR as requested by the advisor, in compliance with the Xxxxxxxx-Xxxxx Act. • Assist with the coordination, communications and data collection with regard to yearly audits by independent accountants. • Determine and periodically monitor each Fund’s income and expense accruals and cause all appropriate expenses to be paid from Fund assets on proper authorization from the Trust.
Financial and Tax Reporting. A. Prepare management reports and Board of Trustees materials, such as unaudited financial statements and summaries of dividends and distributions.
B. Report Trust performance to outside services as directed by Trust management.
C. Calculate dividend and capital gain distributions in accordance with distribution policies detailed in the Trust’s Prospectus(es) or Board resolutions. Assist Trust management in making final determinations of distribution amounts.
D. The Trust will advise FMG LLC of the declaration of any dividend or distribution and the record and payable date thereof at least five (5) days prior to the record date; and FMG LLC will make appropriate credits to each shareholder’s account.
E. Prepare on a timely basis the following filings for review by appropriate persons, including but not limited to officers of the Trust or the Adviser, or legal counsel to the Trust, and file such filings with the SEC upon receipt of approval from such person or persons:
(i) Rule 24f-2 Notice (and all similar state filings, if required by the states). FMG LLC shall not be responsible for preparing any legal opinions required in connection with Rule 24f-2 Notices;
(ii) Form N-SAR;
(iii) Form N-CSR; and
(iv) Form N-Q.
F. Prepare and coordinate printing of Trust’s semi-annual and annual reports to shareholders and file such reports with the appropriate regulatory agencies. Notwithstanding the foregoing, FMG LLC shall not be responsible for preparing the “President’s Letters” or the “Management’s discussion of each Fund’s performance” but shall review the text of the “President’s Letters” and “Management’s discussion of which Fund’s performance” (which shall also be subject to review by the Trust’s legal counsel).
G. Prepare for review and approval by the Trust’s officers financial information for the Trust’s semi-annual and annual reports, proxy statements and other communications required or otherwise sent to the Trust’s shareholders (and their contractowners) and arrange, if requested, for the printing and dissemination of such reports and communications.
H. Provide financial information, and prepare pro forma financial information as necessary, for Trust proxies and prospectuses including expense table.
I. File copies of financial reports to shareholders with the SEC under Rule 30b2-1.
J. Estimate and recommend year-end dividend and capital gain distributions necessary for each Fund to avoid the excise tax on undistributed income of a regulated investment com...
Financial and Tax Reporting. A. Prepare agreed upon management reports and Board of Trustees materials such as unaudited financial statements, distribution summaries, and deviations of xxxx-to-market valuation and the amortized cost for money market funds.
B. Calculate and Report Fund performance to outside services as directed by fund management.
C. Prepare and file Fund's Form N-SAR with the SEC.
D. Prepare and coordinate the printing of fund's Semiannual and Annual Reports to Shareholders.
E. In conjunction with transfer agent, notify shareholders as to what portion, if any, of the distributions made by the Fund's during the prior fiscal year were exempt-interest dividends under Section 852(b)(5)(A) of the Code.
F. Provide financial information for Fund proxy statements and Prospectuses.
Financial and Tax Reporting. A. Prepare management reports and Board materials, such as unaudited financial statements and summaries of dividends and distributions.
B. Report Trust performance to outside services as directed by Trust management.
C. Calculate dividend and capital gain distributions in accordance with distribution policies detailed in the Trust's prospectus(es) or Board resolutions. Assist Trust management in making final determinations of distribution amounts.
D. Estimate and recommend year-end dividend and capital gain distributions necessary for each Fund to avoid the excise tax on undistributed income of a regulated investment company ("RIC") under Section 4982 of the Internal Revenue Code of 1986, as amended (the "Code").
E. The Trust will advise Equitable of the declaration of any dividend or distribution and the record and payable date thereof at least five (5) days prior to the record date; and Equitable will make appropriate credits to each shareholder's account.
F. Working with the Trust's independent public accountants and other appropriate persons, prepare and file the Trust's Federal tax return on Form 1120-RIC (or any similar Form and the Federal Excise Tax Return (Form 8613) (or any similar Form), along with all state and local tax returns where applicable. Will obtain all information concerning foreign tax filings prepared and filed in foreign jurisdictions necessary for Equitable to perform its obligations under this Agreement.
G. Prepare for review by appropriate persons and file Trust's Form N-SAR with the SEC.
H. Prepare and coordinate printing of Trust's semi-annual and annual reports to shareholders and file such reports with the appropriate regulatory agencies. Notwithstanding the foregoing, Equitable shall not be responsible for preparing the "President's Letters" or the "Management's discussion of each Fund's performance" but shall review the text of the "President's letters" and "Management's discussion of which Fund's performance" (which shall also be subject to review by the Trust's legal counsel).
Financial and Tax Reporting. The Company shall prepare its financial statements and income tax information returns using such methods of accounting and tax year as the Members deem necessary or appropriate under the Code and Treasury Regulations.
Financial and Tax Reporting. The LLC shall prepare its financial statements in accordance with generally accepted accounting principles as from time to time in effect and shall prepare its income tax information returns using such methods of accounting and tax year as the Managers deem necessary or appropriate under the Code and Treasury Regulations.
Financial and Tax Reporting. Consult with the Funds' officers, independent accountants, legal counsel, investment adviser, sub-adviser, transfer agent, distributor and custodian, as appropriate, in establishing the accounting policies of the Funds.
Financial and Tax Reporting. A. Prepare management reports and Board of Trustees materials, such as unaudited financial statements and summaries of dividends and distributions.
B. Report Trust performance to outside services as directed by Trust management.
C. Calculate dividend and capital gain distributions in accordance with distribution policies detailed in the Trust’s prospectus(es) or Board resolutions. Assist Trust management in making final determinations of distribution amounts.
D. Estimate and recommend year-end dividend and capital gain distributions necessary to avoid the excise tax on undistributed income of a regulated investment company (“RIC”) under Section 4982 of the Internal Revenue Code of 1986, as amended (the “Code”) regarding minimum distribution requirements.
E. Working with the Trust’s public accountants or other professionals, prepare and file Trust’s Federal tax return on Form 1120-RIC along with New York State and New York City tax returns, as applicable. Prepare and file Federal Excise Tax Return (Form 8613). Preparation of all other applicable state tax returns will be completed as directed by the Trust’s public accountant or Equitable.
F. Prepare for filing Form N-SAR and Item 1 of Forms N-CSR and N-Q. Send such data to the Fund’s or Equitable’s selected printer for Edgarization (formatting) and filing with the SEC.
G. Prepare and coordinate printing of Trust’s semi-annual and annual reports to shareholders.
H. Provide to Equitable or the Trust’s transfer agent, the portion, if any, of the distributions made by the Trust’s Funds during the prior calendar year that were exempt-interest dividends under Section 852 (b)(5)(A) of the Code And/or were capital gain distributions under Section 852(b)(3)(A) of the Code. Provide Form 1099 recharacterizations, when necessary, and supplemental information for applicable Funds.
I. Provide Form 1099-MISC to persons other than corporations (i.e., Trustees) to whom the Trust paid more than $600 during the year.
J. Provide financial information for Trust proxies and prospectuses including expense table.
Financial and Tax Reporting. A. Prepare agreed upon management reports and Board of Directors materials such as unaudited financial statements and distribution summaries.
B. Report Fund performance to outside services as directed by Fund management or UAMFSI.
C. Calculate dividend and capital gain distributions in accordance with distribution policies detailed in the Fund's prospectus(es). Assist UAMFSI in making final determinations of distribution amounts.
D. Estimate and recommend year-end dividend and capital gain distributions necessary to establish the Portfolio's status as a regulated investment company ("RIC") under Section 4982 of the Internal Revenue Code of 1986, as amended (the "Code") regarding minimum distribution requirements.
E. Working with the Fund's public accountants or other professionals, prepare and file Fund's Federal tax return on Form 1120-RIC along with all state and local tax returns where applicable. Prepare and file Federal Excise Tax Return (Form 8613).
F. Prepare and file Fund's Form N-SAR with the SEC.
G. Prepare and coordinate printing of Fund's Semiannual and Annual Reports to Shareholders.
H. Notify shareholders as to what portion, if any, of the distributions made by the Fund's during the prior fiscal year were exempt-interest dividends under Section 852 (b)(5)(A) of the Code.
I. Provide Form 1099-MISC to persons other than corporations (i.e., Directors to whom the Fund paid more than $600 during the year).
J. Prepare and file California State Expense Limitation Report, if applicable.
K. Provide financial information for Fund proxies and prospectuses (Expense Table).
Financial and Tax Reporting. The Fiscal Sponsor and the Sponsored Organization shall reflect the activities of the Project, to the extent required, on their respective state and federal government tax returns and financial reports. All disbursements from an Account must be treated as payments made to or on behalf of the Sponsored Organization to accomplish the purposes of the Project. The Sponsored Organization shall provide the Fiscal Sponsor with the Sponsored Organization’s Federal Employer Identification Number (EIN), unless the Fiscal Sponsor specifically exempts the Sponsored Organization from the need to obtain an EIN.
