Financial Reporting Services. X.X. Xxxxxx will prepare the reports and filings below for the review and approval by the Customer’s officers and will file such documents with the SEC upon receipt of approval from the Customer’s officers.
Financial Reporting Services. The Administrator shall accumulate information for and prepare: • Within a 60-day production cycle, one annual and one semi-annual shareholder report for each Portfolio per fiscal year, such preparation includes the coordination of all printer and author edits, the review of printer draft’s and the coordination of the audit of the Fund by its independent public auditor (e.g. manage open items lists, host weekly audit meeting, etc.) • one annual report and one semi-annual report on Form N-SAR until May 31, 2018 • one first fiscal quarter report and one third fiscal quarter report on Form N-Q until May 31, 2018 • one annual report and one semi-annual report on Form N-CSR • one annual Rule 24f-2 Notice • Year to Date Statement of Operations each calendar quarter for each fund for reporting to the Funds’ Board of Trustees Upon acceptance of each above-mentioned report by the Fund’s Treasurer and/or Chief Financial Officer, the Administrator shall edgarize and file such reports as required, including any applicable executed officer certifications or other exhibits.”
Financial Reporting Services. The Administrator shall accumulate information for and prepare o Within a 30 day period following the end of the Fund’s required monthly reporting period, an Account Statement in compliance with the requirements of CFTC Rule §4.22(a), including a Statement of Income (Loss) and a Statement of Changes in Net Asset Value; such preparation includes the coordination and review of all printer and author edits. The Fund and/or General Partner shall make arrangements for the printing and mailing of the Account Statements. o Within a 45 day production cycle, or shorter time period as required by the U.S. Securities and Exchange Commission (the “SEC”) and communicated to the Administrator by the Fund and/or the General Partner, one first fiscal quarter report of the Fund, one second fiscal quarter report of the Fund and one third fiscal quarter report of the Fund, each on Form 10-Q. o Within a 90 day production cycle, or shorter time period as required by the SEC and communicated to the Administrator by the Fund and/or General Partner, one annual report of the Fund on Form 10-K per fiscal year, such preparation includes the coordination of all printer and author edits, the review of printer drafts and the coordination of the audit of the Fund by its independent public accountant (e.g. manage open items lists, host weekly audit meeting, etc.). The Fund and/or General Partner shall make arrangements for the printing and mailing of the annual report on Form 10-K. o Within 90 days after the end of the Fund’s fiscal year, an Annual Report of the Fund in compliance with the requirements of the NFA and CFTC Rule §4.22(c); such preparation includes the coordination of all printer and author edits, the review of printer drafts and the coordination of the audit of the Fund by its independent public accountant (e.g. manage open items lists, host weekly audit meeting, etc.). The Fund and/or General Partner shall make arrangements for the printing and mailing of the Annual Report. · Upon review and approval of each above-mentioned report by the General Partner’s Treasurer and/or Chief Financial Officer (or such person performing such functions), the Administrator shall Edgarize and file such reports with the SEC, CFTC and/or NFA as required, including any applicable executive officer certifications or other exhibits to such reports The Administrator shall assist the Fund and/or the General Partner in preparing Fund press releases with respect to interim statements and quarterly ...
Financial Reporting Services. A. Coordinate, prepare and review the Fund’s financial statements (annual and semiannual), in accordance with all applicable rules and regulations, including:
Financial Reporting Services. The Administrator shall accumulate information for and prepare o Within a 30 day period following the end of the Fund’s required monthly reporting period, an Account Statement in compliance with the requirements of CFTC Rule §4.22(a), including a Statement of Income (Loss) and a Statement of Changes in Net Asset Value; such preparation includes the coordination and review of all printer and author edits. The Fund and/or General Partner shall make arrangements for the printing and mailing of the Account Statements. · Upon review and approval of each above-mentioned report by the General Partner’s Treasurer and/or Chief Financial Officer (or such person performing such functions), the Administrator shall file such reports with the CFTC and/or NFA as required, including any applicable executive officer certifications or other exhibits to such reports. · In connection with the preparation of each Annual Report on Form 10-K, the Administrator shall coordinate the audit of the Fund by its independent public accountant (e.g., manage open items lists, host weekly audit meeting, etc.). The Administrator shall assist the Fund and/or the General Partner in preparing Fund press releases with respect to interim statements and quarterly results and transmitting such press releases to the NYSE Arca and such other entities as requested by the Fund or the General Partner.
Financial Reporting Services. The Administrator shall accumulate information for and prepare · Within a 60-day production cycle, one annual, one semi-annual shareholder report for the Fund per fiscal year and any financial information required by Form N-1A and such other Forms or filings as may be mutually agreed upon, such preparation includes the coordination of all printer, reviewer and author edits, the review of printer drafts and the coordination of the audit of the Fund by its independent public auditor (e.g. manage open items lists, host weekly audit meeting, etc.) · one annual report and one semi-annual report on Form N-SAR and coordinate appropriate sign-off for printing. In addition, coordinate the dissemination of such reports with the printer and Transfer Agent to Automatic Data Processing, Inc. (“ADP”) for shareholder mailing. · one first fiscal quarter report and one third fiscal quarter report on Form N-Q · one annual Rule 24f-2 Notice · Upon acceptance of each above-mentioned report by the Fund’s Treasurer and/or Chief Financial Officer, the Administrator shall file such reports as required, including any applicable executed officer certifications or other exhibits The Administrator shall provide the following additional services as requested by the Fund: · Quarterly calculation and reporting of the Portfolio’s portfolio turnover · Preparation of the following quarterly reports for the Fund’s Board of Trustees (in BBH Reporting Format or such other format as agreed to between the Administrator and the Fund): Summary Schedule of Investments and Net Asset Roll Forward
Financial Reporting Services. The Administrator shall accumulate information for and prepare • Within a 30 day period following the end of the Funds’ required monthly reporting period, an Account Statement in compliance with the requirements of the U.S. Commodity Futures Trading Commission (“CFTC”) Rule §4.22(a), including a Statement of Income (Loss) and a Statement of Changes in Net Asset Value; such preparation includes the coordination and review of all printer and author edits. The Funds or the Managing Owner shall make arrangements for the printing and mailing of the Account Statements. • Upon review and approval of each above-mentioned report by the Managing Owner’s Treasurer and/or Chief Financial Officer (or such person performing such functions), the Administrator shall file such reports with the CFTC and/or National Futures Association (“NFA”), as required, including any applicable executive officer certifications or other exhibits to such reports. • In connection with the preparation of each Annual Report on Form 10-K, the Administrator shall coordinate the audit of the Funds by their independent public accountant (e.g., manage open items lists, host weekly audit meeting, etc.). The Administrator shall assist the Funds and/or the Managing Owner in preparing the Funds’ press releases with respect to interim statements and quarterly results and transmitting such press releases to the American Stock Exchange (“AMEX”) and such other entities as requested by the Funds and/or the Managing Owner.
Financial Reporting Services. Winthrop shall support the financial reporting functions of Company relating to MLP, and the Company’s interest in MLP, by providing the following financial reporting services consistent with Past Practice, as applicable (the “Financial Reporting Services”):
Financial Reporting Services o The Administrator shall accumulate information for and prepare o Within a 60-day production cycle, [one] annual and [one] semi-annual shareholder report for each Fund per fiscal year, such preparation includes the coordination of all printer and author edits, the review of printer drafts, the coordination of the audit of the Fund by its independent public auditor (e.g. manage open items lists, host weekly audit meeting, etc.), and the coordination of the mailing of the reports o [one] annual report and [one] semi-annual report on Form N-SAR o [one] first fiscal quarter report and [one] third fiscal quarter report on Form N-Q o [one] annual report and [one] semi-annual report on Form N-CSR o [one] annual Rule 24f-2 Notice o Upon acceptance of each above-mentioned report by the Fund's Treasurer and/or Chief Financial Officer, the Administrator shall edgarize and file such reports as required, including any applicable executed officer certifications or other exhibits The Administrator shall provide the following additional services as requested by the Trust: o Quarterly calculation and reporting of each Fund's portfolio turnover o Preparation of a Monthly and/or Quarterly "Survey" for each survey company identified by the Fund o Preparation of the following quarterly reports for the Trust's Board of Trustees (in BBH Reporting Format or such other format as agreed to between the Administrator and the Fund): Summary Schedule of Investments and Net Asset Roll Forward o Preparation of the following additional quarterly reports for the Trust's Board of Trustees/Directors (in BBH Reporting Format or such other format as agreed to between the Administrator and the Fund): Statements of Assets and Liabilities, Statements of Operations, Statements of Changes in Net Assets, Financial Highlights, Schedules of Investments, Top Five Industry, Country and Holdings Reports and Sector, Industry and Bond Rating Analyses o Publish on an ongoing basis through AMEX and/or the Trust's website the list of securities to be received in connection with the Funds' sale of Creation Units, the list of securities to be provided in connection with the Funds' redemption of Creation Units, the daily net asset value of each Fund, appropriate performance data for the Funds, and such other information as may be agreed upon between the Trust and Administrator from time to time
Financial Reporting Services. Preparation and review of semi- and annual- financial statements with 60 day turnaround time · Creation, distribution, and review of up to 3 production drafts · Preparation, review, and coordination with printer of Form N-CSR · Prepare and review line item 1 of Form N-CSR and assist in the coordination and filing · Preparation, review, and coordination of filing of Form N-Q · Creation, distribution, and review of up to 2-3 production drafts · Preparation, review, and filing of Form N-SAR · Provide audit coordination support
