Financial Reporting Services. 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. 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. 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 an agreed upon production cycle, reports for the Fund as agreed to by the parties, 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 auditor (e.g., manage open items lists, host weekly audit meeting, etc.) • Prepare and file one annual Form 24f-2 Notice • Prepare one first fiscal quarter report and one third fiscal quarter report on Form N-PORT Part F or two quarterly report Schedule of Investments for Form N-PORT • Prepare one annual report on Form N-CEN • Prepare one annual and one semi-annual report on Form N-CSR (Note that XXXXX version mailed for these filings will need to be prepared by an external printer; BBH does not provide this service) • Assist in monitoring regulatory proposals and changes to accounting, tax and regulatory requirements and related events that may affect the Fund • Prepare quarterly, semi-annual and annual schedules and financial statements including schedule of investments and the related statements of operations, assets and liabilities, changes in net assets and cash flow (if required), and financial highlights to each financial statement • Draft footnotes to financial statements for approval by the Fund’s officers and independent accountants • Provide expense summary reporting as reasonably requested by the Fund • Calculate performance in the manner required by Rule 482 of the Investment Company Act of 1940, as agreed to by the parties. • Report performance and other portfolio information to outside persons as agreed to by the parties. • Upon acceptance of each above-mentioned reports by the Fund’s Treasurer and/or Chief Financial Officer, the Administrator shall coordinate with client to file such reports as required, including any applicable executed officer certifications or other exhibits The Administrator shall provide the following compliance services to the Fund: • From time to time as the Administrator deems appropriate (but no less frequently than quarterly), check the Fund’s compliance with the policies and limitations of the Fund relating to the portfolio investments as set forth in the Fund’s registration statement on Form N-2, as modified by the Fund’s disclosure in its shareholder reports included pursuant to Rule 8b-16 under the Investment Company Act of 1940. • Monitor Fund activity for compliance with subchapter M ...
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:
(1) Schedules of Investments;
(2) Statements of Assets and Liabilities;
(3) Statements of Operations;
(4) Statements of Changes in Net Assets;
(5) Financial Highlights; including expense ratios and portfolio turnover rates;
(6) Notes to Financial Statements;
(7) Review of other Financial Data included in annual and semi-annual reports;
(8) MDFP line graphs and performance information;
(9) Tax disclosure information;
(10) Supplemental premium/discount charts (e.g. Net Asset Value compared to the midpoint between the bid-ask spread);
(11) Shareholder meeting results;
(12) Trustees and Officers information;
(13) Expense Examples;
(14) Portfolio Holdings and Index Composition Data; and
(15) Any additional information that may be required by rule or regulation.
B. Coordinate printing and distribution of prospectuses, annual and semi-annual reports, quarterly filings, and proxies (including tabulation), subject to oversight by the investment adviser of the Trust.
C. Coordinate, prepare, review and filing of SEC Form N-CSR Filings, including certifications by fund officers, if applicable, subject to review and approval by the Treasurer of the Trust.
D. Coordinate, prepare, review, and filing of Form N-SAR.
E. Prepare and file Form N-Q for all Funds.
F. Prepare, review and coordinate the financial highlights for the prospectus.
G. Prepare and file Form NP-X, provided that the Trust or its agents timely provide the relevant information to X.X. Xxxxxx.
H. Additional Services (subject to additional fees):
(1) Pro-Forma Statements;
(2) In-house Publishing (Frame maker);
(3) Maintenance of Customized Industries and Descriptions; and
(4) Additional Graphics, other than those required by rule, regulation or form applicable to open-end investment companies (i.e., pie charts).
Financial Reporting Services. 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. ETF Fund Servicing Agreement – December 2010 version
Financial Reporting Services. ▪ Preparation and review of semi- and annual- financial statements with 60 day turnaround time — Creation, distribution, and review of up to3 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 ▪ Fund Services Agreement - US Mutual Funds - June 2016
