General Description of Transfer Agency Services. Huntington shall provide the following transfer agency services to the Trust and/or to each of the Funds listed on Exhibit A: Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. Provide asset allocation functionality including rebalancing of shareholder accounts. Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. Process transfers of shares, received in good form, in accordance with shareholder instructions. Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. Calculate amounts due under 12b-1 and/or service plans and provide reports. Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). Issue monthly, quarterly or annual statements as agreed upon with the Trust. File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington on behalf of the Trust only if Huntington has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including Huntington, shall identify to Huntington in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.
Appears in 3 contracts
Samples: Mutual Fund Services Agreement (Valued Advisers Trust), Mutual Fund Services Agreement (Valued Advisers Trust), Mutual Fund Services Agreement (Valued Advisers Trust)
General Description of Transfer Agency Services. Huntington shall provide the following transfer agency services to the Trust and/or to each of the Funds listed on Exhibit A: Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. Provide asset allocation functionality including rebalancing of shareholder accounts. Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. Process transfers of shares, received in good form, in accordance with shareholder instructions. Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. Calculate amounts due under 12b-1 and/or service plans and provide reports. Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). Issue monthly, quarterly or annual statements as agreed upon with the Trust. File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington on behalf of the Trust only if Huntington has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including Huntington, shall identify to Huntington in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties. Huntington shall provide the following Huntington AML Program services to the Trust and/or to each of the Funds listed on Exhibit A: Customer Identification. Verify shareholder identity upon opening new accounts, consistent with the Huntington AML Program, and perform such other checks and verifications as are specified in Huntington’s Customer Identification Program (which is a component of the Huntington AML Program).
Appears in 2 contracts
Samples: Mutual Fund Services Agreement (Valued Advisers Trust), Mutual Fund Services Agreement (Valued Advisers Trust)
General Description of Transfer Agency Services. Huntington shall provide the following transfer agency services to the Trust and/or to each of the Funds listed on Exhibit A: • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the Trust. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington on behalf of the Trust only if Huntington has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including Huntington, shall identify to Huntington in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. • Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. Huntington Asset Services, Inc. Xxxxx Asset Management, Inc. Valued Advisers Trust- 19 The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.. Huntington Asset Services, Inc. Xxxxx Asset Management, Inc. Valued Advisers Trust- 20
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Valued Advisers Trust)
General Description of Transfer Agency Services. Huntington shall provide the following transfer agency services to the Trust Company and/or to each of the Funds listed on Exhibit A: • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the TrustCompany’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the TrustCompany. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington on behalf of the Trust Company only if Huntington has the authority and means to access the TrustCompany’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e17 Ad- 10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the TrustCompany, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust Company for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of each Fund sold in each state. In addition, the Trust Company or its agent, including Huntington, shall identify to Huntington in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust Company for each Fund and the reporting of such transactions to the Trust Company or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. • Establish procedures and controls designed to mitigate risk to the Trust Company which are compliant with applicable SEC regulations. Huntington reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. Huntington Asset Services, Inc. Spirit of America- 16 The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. B. Additionally, the Trustees Directors of the Trust Company shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust Company and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.. Huntington Asset Services, Inc. Spirit of America- 17
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Spirit of America Investment Fund Inc)
General Description of Transfer Agency Services. Huntington Unified shall provide the following transfer agency services to the Trust and/or to each of the Funds Portfolios listed on Exhibit A: A (each a “Fund”): • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the Trust. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington Unified on behalf of the Trust only if Huntington Unified has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including HuntingtonUnified, shall identify to Huntington Unified in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington Unified for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. Unified Fund Services, Inc. 9/25/08 Valued Advisers Trust. - 21 • Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington Unified reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.. Unified Fund Services, Inc. 9/25/08 Valued Advisers Trust. - 22
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Valued Advisers Trust)
General Description of Transfer Agency Services. Huntington Unified shall provide the following transfer agency services to the Trust and/or to each of the Funds Portfolios listed on Exhibit A: A (each a “Fund”): • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the Trust. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington Unified on behalf of the Trust only if Huntington Unified has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including HuntingtonUnified, shall identify to Huntington Unified in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington Unified for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. • Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington Unified reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties. Unified shall provide the following Unified AML Program services to the Trust and/or to each of the Portfolios listed on Exhibit A (each a “Fund”): • Customer Identification. Verify shareholder identity upon opening new accounts, consistent with the Unified AML Program, and perform such other checks and verifications as are specified in Unified’s Customer Identification Program (which is a component of the Unified AML Program).
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Dreman Contrarian Funds)
General Description of Transfer Agency Services. Huntington Unified shall provide the following transfer agency services to the Trust and/or to each of the Funds Portfolios listed on Exhibit A: A (each a “Fund”): • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the Trust. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington Unified on behalf of the Trust only if Huntington Unified has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including HuntingtonUnified, shall identify to Huntington Unified in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington Unified for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. Unified Fund Services, Inc. 2/7/08 - 24 • Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington Unified reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. • Prepare, and distribute 1099 forms for the Trust’s stockholders managed by Unified and provide the appropriate data to broker dealers for their clients. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder .The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties. Unified Fund Services, Inc. 2/7/08 - 25 Unified shall provide the following Unified AML Program services to the Trust and/or to each of the Portfolios listed on Exhibit A (each a “Fund”): • Customer Identification. Verify shareholder identity upon opening new accounts, consistent with the Unified AML Program, and perform such other checks and verifications as are specified in Unified’s Customer Identification Program (which is a component of the Unified AML Program).
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Dividend Growth Trust)
General Description of Transfer Agency Services. Huntington Unified shall provide the following transfer agency services to the Trust and/or to each of the Funds Portfolios listed on Exhibit A: A (each a “Fund”): • Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. • Provide asset allocation functionality including rebalancing of shareholder accounts. • Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. • Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. • Process transfers of shares, received in good form, in accordance with shareholder instructions. • Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. • Calculate amounts due under 12b-1 and/or service plans and provide reports. • Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). • Issue monthly, quarterly or annual statements as agreed upon with the Trust. • File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington Unified on behalf of the Trust only if Huntington Unified has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. • Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). • Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. • Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. • Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. • Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including HuntingtonUnified, shall identify to Huntington Unified in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington Unified for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. • Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. • Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington Unified reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Dreman Contrarian Funds)
General Description of Transfer Agency Services. Huntington shall provide the following transfer agency services to the Trust and/or to each of the Funds listed on Exhibit A: Provide a recordkeeping system that supports front-end load, back-end load (CDSC), no-load and redemption fee funds. Provide asset allocation functionality including rebalancing of shareholder accounts. Establish and maintain shareholder accounts and records, including, but not limited to, address, dividend option, taxpayer identification numbers and wire instructions. Process shareholder transactions (purchase, redemption and exchange orders), received in good form and in accordance with the Fund’s prospectus. Process transfers of shares, received in good form, in accordance with shareholder instructions. Execute transactions directly with broker-dealers, investment advisors and other institutions acting on behalf of investors as authorized by the Trust’s distributor. Calculate amounts due under 12b-1 and/or service plans and provide reports. Issue confirmations in compliance with Rule 10b-10 under the Securities Exchange Act of 1934, as amended (the “1934 Act”). Issue monthly, quarterly or annual statements as agreed upon with the Trust. File IRS forms 1099, 5498, and 1042-S with shareholders and/or the IRS. File IRS forms 1042 and 945 with the IRS. The 1042 and 945 filings are made by Huntington on behalf of the Trust only if Huntington has the authority and means to access the Trust’s or a Fund’s bank accounts to facilitate the required payments to the IRS. Perform such services as are required to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the “Lost Shareholder Rules”). Record the issuance of shares and maintain pursuant to Rule 17Ad-10(e) of the 1934 Act a record of the total number of shares of each Fund which are authorized, based upon data provided to it by the Trust, and the number of shares issued and outstanding. Process and transmit payments for dividends and distributions declared by the Trust for each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. Provide access to NSCC’s Fund/SERV and Networking. Additional functionality may be available and supported as an optional service. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of each Fund sold in each state. In addition, the Trust or its agent, including Huntington, shall identify to Huntington in writing those transactions and assets to be treated as exempt from the Blue Sky reporting for each state. The responsibility of Huntington for each Fund’s Blue Sky state registration status is solely limited to the initial compliance by the Trust for each Fund and the reporting of such transactions to the Trust or its agent. Answer correspondence from shareholders, broker-dealers, and others relating to the Funds and such other correspondence as may from time to time be mutually agreed upon. Establish procedures and controls designed to mitigate risk to the Trust which are compliant with applicable SEC regulations. Huntington reserves the right to implement policies not governed by SEC regulation or the Fund’s prospectus. The duties of the Transfer Agent shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Transfer Agent hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Transfer Agent agrees to take such action, those actions taken shall be deemed part of the Exhibit D. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and administrator for the Funds to cooperate with the Transfer Agent and to provide the Transfer Agent, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Transfer Agent to perform its duties.. Huntington Asset Services, Inc. Longview Capital Management, LLCValued Advisers Trust-
Appears in 1 contract
Samples: Mutual Fund Services Agreement (Valued Advisers Trust)
