Frequency: Annually. Annual Reporting Requirements Instructions on submitting reports and specific due dates will be provided by the DEPARTMENT annually.
Frequency: Annually. (October)
Frequency: Annually. Penalty One thousand ($1,000) dollars per DAY for which the standard is not met
Frequency: Annually. Penalty Twenty–five hundred ($2,500) dollars per report or deliverable for which the standard is not met
Frequency: Annually. Review and coordinate the filing of the annual N-PX filing.. Provide accurate fund list and review filing. Coordinate filing with SEC with Vendor. Review and approve filing.
Frequency: Annually. Respond to SEC audits. Provide consultation as needed. (May apply to all internal SSC groups, as applicable, in addition to Treasury Services.) Coordinate with regulatory auditors to provide requested documentation and resolutions to inquiries. C/A - Provide consultation as requested. Coordinate the preparation and filing of the Massachusetts Business Trust filing. Accumulate total shares outstanding by trust and draft the filing. Coordinate payment and file with the Secretary of State’s office. Review and approve filing. C – Filing is completed by State Street Legal team.
Frequency: Annually. (August)
Frequency: Annually due by the end of the first QUARTER of each new PLAN YEAR. Penalty Two hundred and fifty dollars ($250) per CALENDAR DAY late.
Frequency: Annually. As needed Within 30 days of inspection As performed Within 5 working days of transmittal
