Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each Fund: a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items: i. Unaudited Statement of Assets and Liabilities, ii. Unaudited Statement of Operations, iii. Unaudited Statement of Changes in Net Assets, and iv. Unaudited Condensed Financial Information. b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable): i. federal and state income tax returns and federal excise tax returns; ii. the Client’s semi-annual reports filed with the SEC on Form N-CEN and the N-CSR; iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019; iv. the Client’s monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018; v. the Client’s annual and semi-annual shareholder reports and quarterly Board meetings; vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information; vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Code; viii. annual audit by the Client’s auditors; and ix. examinations performed by the SEC. c. Calculate turnover and expense ratio; d. Prepare schedule of Capital Gains and Losses; e. Provide daily cash report; f. Maintain and report security positions and transactions in accounting system; g. Prepare Broker Commission Report; h. Monitor expense limitations; and i. Provide unrealized gain/loss report.
Appears in 2 contracts
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Portfolios), Sub Administration and Sub Fund Accounting Services Agreement (Victory Variable Insurance Funds)
Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
, ii. Unaudited Statement of Operations,
, iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Code;
; viii. annual audit by the Client’s auditors; and
ix. examinations performed by the SEC.
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Portfolios II)
Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each the Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
ii. Unaudited Statement of Operations,
iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ Fund’s status as a regulated investment company under Subchapter M of the Internal Code;
viii. annual audit by the Client’s auditors; and
ix. examinations performed by the SEC.
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Institutional Funds)
Financial Statement and Regulatory Filings. Service Provider Victory Capital shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
ii. Unaudited Statement of Operations,
iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s Funds' semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s Funds' quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s Funds' monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s Funds' annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ ' status as a regulated investment company under Subchapter M of the Internal Revenue Code;
viii. annual audit by the Client’s Funds' auditors; and
ix. examinations performed by the SEC.;
c. b. Calculate turnover and expense ratio;
d. c. Prepare schedule of Capital Gains and Losses;
e. d. Provide daily cash report;
f. e. Maintain and report security positions and transactions in accounting system;
g. f. Prepare Broker Commission Report;
h. g. Monitor expense limitations; and
i. h. Provide unrealized gain/loss report.. EXPENSE LIMITATION AGREEMENT USAA MUTUAL FUNDS TRUST THIS AGREEMENT, effective as of July 1, 2019, by and between Victory Capital Management Inc. (the "Investment Adviser") and USAA Mutual Funds Trust, a Delaware statutory trust (the "Trust"), on behalf of each series portfolio listed on Schedule A hereto, (each a "Fund" and collectively the "Funds") individually, and not jointly;
Appears in 1 contract
Samples: Transfer Agency Agreement (Usaa Mutual Funds Trust)
Financial Statement and Regulatory Filings. Service Provider VCM shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited unaudited Statement of Assets and Liabilities,
ii. Unaudited unaudited Statement of Operations,
iii. Unaudited unaudited Statement of Changes in Net Assets, and
iv. Unaudited unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s Funds’ semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s Funds’ quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s Funds’ monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s Funds’ annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Revenue Code;
viii. annual audit by the Client’s Funds’ auditors; and
ix. examinations performed by the SEC.;
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.. The Trust shall pay VCM on the first business day of each month, or at such time(s) as VCM shall request and the parties shall agree the following fees for the services described in Schedules A and B at the annual rates set forth below. For these purposes, the rate at which the asset-based fees are applied is determined by aggregating the assets of all Funds together. The fees are accrued daily and paid monthly. VCM shall receive $25,000 per annum per fund for fund accounting services. Administration Asset-Based Fees
Appears in 1 contract
Samples: Administration and Fund Accounting Agreement (Victory Institutional Funds)
Financial Statement and Regulatory Filings. Service Provider VCM shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited unaudited Statement of Assets and Liabilities,, * Pending launch
ii. Unaudited unaudited Statement of Operations,
iii. Unaudited unaudited Statement of Changes in Net Assets, and
iv. Unaudited unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s Funds’ semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s Funds’ quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s Funds’ monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s Funds’ annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Revenue Code;
viii. annual audit by the Client’s Funds’ auditors; and
ix. examinations performed by the SEC.;
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.. * Pending launch The Trust shall pay VCM on the first business day of each month, or at such time(s) as VCM shall request and the parties shall agree the following fees for the services described in Schedules A and B at the annual rates set forth below. For these purposes, the rate at which the asset-based fees are applied is determined by aggregating the assets of all Funds together. The fees are accrued daily and paid monthly. Asset-Based Fees 0.08% (8 basis points) of the first $15 Billion in aggregate net assets of all Funds; plus
Appears in 1 contract
Samples: Administration and Fund Accounting Agreement (Victory Portfolios)
Financial Statement and Regulatory Filings. Service Provider VCM shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited unaudited Statement of Assets and Liabilities,
ii. Unaudited unaudited Statement of Operations,
iii. Unaudited unaudited Statement of Changes in Net Assets, and
iv. Unaudited unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s Funds’ semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s Funds’ quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s Funds’ monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s Funds’ annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Revenue Code;
; viii. annual audit by the Client’s Funds’ auditors; and
ix. examinations performed by the SEC.;
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.. The Trust shall pay VCM on the first business day of each month, or at such time(s) as VCM shall request and the parties shall agree the following fees for the services described in Schedules A and B at the annual rates set forth below. For these purposes, the rate at which the asset-based fees are applied is determined by aggregating the assets of all Funds together. The fees are accrued daily and paid monthly. VCM shall receive $25,000 per annum per fund for fund accounting services. Administration Asset-Based Fees
Appears in 1 contract
Samples: Administration and Fund Accounting Agreement (Victory Institutional Funds)
Financial Statement and Regulatory Filings. Service Provider Citi shall also perform the following additional accounting services for each Fund:
a. (a) Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
ii. Unaudited Statement of Operations,
, iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. (b) Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s semi-'s annual reports filed with the SEC Securities and Exchange Commission ("SEC") on Form N-CEN and the N-CSR;
iii. the Client’s 's quarterly schedules of investment for filing with the SEC on Form N-PORTQ, effective through the period ending March 31, 2019;
iv. the Client’s 's monthly schedules of investments investment for filing with the SEC on Form N-N- PORT, effective for the period beginning June 1, 2018;
v. the Client’s 's annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA lA1A and other filings relating to the registration of shares, including required performance information;
vii. the Client’s 's administrator’s 's monitoring of the Funds’ ' status as a regulated investment company under Subchapter M of the Internal Revenue Code, as amended;
viii. annual audit by the Client’s 's auditors; and
ix. examinations performed by the SEC.
c. (c) Calculate turnover and expense ratio;.
d. (d) Prepare schedule of Capital Gains and Losses;.
e. (e) Provide daily cash report;.
f. (f) Maintain and report security positions and transactions in accounting system;.
g. (g) Prepare Broker Commission Report;.
h. (h) Monitor expense limitations; and.
i. (i) Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Services Agreement (HSBC Funds)
Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
ii. Unaudited Statement of Operations,
iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Code;
viii. annual audit by the Client’s auditors; and
ix. examinations performed by the SEC.
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Portfolios)
Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited unaudited Statement of Assets and Liabilities,
ii. Unaudited unaudited Statement of Operations,
iii. Unaudited unaudited Statement of Changes in Net Assets, and
iv. Unaudited unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Code;
viii. annual audit by the Client’s auditors; and
ix. examinations performed by the SEC.
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Portfolios)
Financial Statement and Regulatory Filings. Service Provider shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited Statement of Assets and Liabilities,
ii. Unaudited Statement of Operations,
iii. Unaudited Statement of Changes in Net Assets, and
iv. Unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s 's semi-annual reports filed with the SEC on Form N-CEN and 11 the N-CSR;
iii. the Client’s quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s 's monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. iv. the Client’s 's annual and semi-annual shareholder reports and quarterly Board meetings;
vi. v. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
viivi. the Client’s 's administrator’s 's monitoring of the Funds’ ' status as a regulated investment company under Subchapter M of the Internal Code;
viiivii. annual audit by the Client’s 's auditors; and
ixviii. examinations performed by the SEC.
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.
Appears in 1 contract
Samples: Sub Administration and Sub Fund Accounting Services Agreement (Victory Portfolios II)
Financial Statement and Regulatory Filings. Service Provider VCM shall also perform the following additional accounting services for each Fund:
a. Provide monthly a hard copy of the unaudited financial statements described below, upon request of the Client. The unaudited financial statements will include the following items:
i. Unaudited unaudited Statement of Assets and Liabilities,
ii. Unaudited unaudited Statement of Operations,
iii. Unaudited unaudited Statement of Changes in Net Assets, and
iv. Unaudited unaudited Condensed Financial Information.
b. Provide accounting information for the following (in compliance with Reg. S-X, as applicable):
i. federal and state income tax returns and federal excise tax returns;
ii. the Client’s Funds’ semi-annual reports filed with the SEC on Form N-CEN and the N-CSR;
iii. the Client’s Funds’ quarterly schedules of investment for filing with the SEC on Form N-PORT, effective through the period ending March 31, 2019;
iv. the Client’s Funds’ monthly schedules of investments for filing with the SEC on Form N-PORT, effective for the period beginning June 1, 2018;
v. the Client’s Funds’ annual and semi-annual shareholder reports and quarterly Board meetings;
vi. registration statements on Form N-lA and other filings relating to the registration of shares, including required performance information;
vii. the Client’s administrator’s monitoring of the Funds’ status as a regulated investment company under Subchapter M of the Internal Revenue Code;
viii. annual audit by the Client’s Funds’ auditors; and
ix. examinations performed by the SEC.;
c. Calculate turnover and expense ratio;
d. Prepare schedule of Capital Gains and Losses;
e. Provide daily cash report;
f. Maintain and report security positions and transactions in accounting system;
g. Prepare Broker Commission Report;
h. Monitor expense limitations; and
i. Provide unrealized gain/loss report.. The Trust shall pay VCM on the first business day of each month, or at such time(s) as VCM shall request and the parties shall agree the following fees for the services described in Schedules A and B at the annual rates set forth below. For these purposes, the rate at which the asset-based fees are applied is determined by aggregating the assets of all Funds together. The fees are accrued daily and paid monthly. Asset-Based Fees 0.08% (8 basis points) of the first $15 Billion in aggregate net assets of all Funds; plus
Appears in 1 contract
Samples: Administration and Fund Accounting Agreement (Victory Variable Insurance Funds)
