Investor Services. GEID hereby engages Product Distributor, and Product Distributor hereby agrees, to provide, or arrange for Insurers or other parties to provide, Investor Services for the Company including, but not limited to, services related to administering the Contracts and Policies such as: • mailing prospectuses, statements of additional information, supplements thereto and shareholder reports to owners of Contracts and Policies who at the time are indirectly invested in Shares; • preparing, printing and distributing confirmation statements and periodic account statements to owners of Contracts and Policies who at the time are indirectly invested in Shares; • compiling information and reports and providing the same to the Company on a periodic basis; • assisting the Insurers in the solicitation and tabulation of Contract and Policy owner voting instructions; • attending and participating in meetings of holders Shares; • reimbursing the Insurers for the cost maintaining records of daily transactions in separate account units and computing the number of Shares that must be purchased or redeemed each day by each Insurer to support such transactions; • to the extent necessary for the Company to comply with Rule 22c-2 under the 1940 Act and its policies on frequent trading, making available, or assisting the Insurers to make available, to the Company or its agents the records of daily transactions in separate account units, it being understood that Product Distributor shall not be obligated to take any action that would violate, or cause an Insurer to violate, any federal or state law or rule or regulation thereunder concerning privacy of Contract owners; • assist the Company in complying with Section 314(b) of the USA Patriot Act by implementing policies and procedures reasonably designed to identify owners or prospective owners of Contracts or Policies suspected of possible terrorist or money-laundering activities and prevent the same from indirectly investing in Shares; • transmitting requests from the Insurers to purchase and redeem Shares to the Company’s transfer agent or the NSCC; • assisting the Company’s transfer agent in recording the issuance of Shares by reimbursing the Insurers for the cost of maintaining a record of daily purchases and redemptions of Shares by each Insurer and separate account; • preparing and providing reports to third-party reporting services, • providing other administrative support to the Company, the Funds, or the Shares as: o mutually ...
Investor Services. GEID hereby engages Product Distributor, and Product Distributor hereby agrees, to provide, or arrange for Selling Broker-Dealers to provide, Investor Services for the Company including, but not limited to, Personal Services to owners of Contracts and Policies such as: • maintaining accounts for and relationships with owners of Contracts and Policies who at the time are indirectly invested in Shares; and • providing investor liaison to owners of Contracts and Policies who at the time are indirectly invested in Shares, such as responding to their inquiries and providing them with information about their investments.
Investor Services. 1.1 Pursuant to the Plan, the Distributor shall directly, or indirectly through other service providers determined by the Distributor (“Service Providers”), provide investor services to Investors. Investor services include some or all of the following:
(i) printing Fund prospectuses and statements of additional information and mailing them to Investors or to financial advisors who allocate funds for investments in Shares of the Funds on behalf of Investors (“Financial Advisors”);
(ii) forwarding communications from the Funds to Investors or Financial Advisors, including proxy solicitation material and annual and semiannual reports;
(iii) assistance in facilitating and processing increased transactions in Shares of the Funds in connection with strategic or tactical asset allocation investing;
(iv) assistance in providing the Fund with advance information on strategic and tactical asset allocation trends and anticipated investment activity in and among the Funds;
(v) assisting Investors who wish or need to change Financial Advisers; and
(vi) providing support services to Financial Advisers, including, but not limited to: (a) providing Financial Advisers with updates on policies and procedures; (b) answering questions of Financial Advisers regarding the Funds’ portfolio investments; (c) providing performance information regarding the Funds; (d) providing information to Financial Advisers regarding the Funds’ investment objectives; (e) providing Investor account information to Financial Advisers; and (f) redeeming Fund Shares, if necessary, for the payment of Financial Adviser fees.
1.2 Pursuant to the Plan, the Trust shall compensate the Distributor at a rate not to exceed .25% per annum of the Funds’ average daily net assets for providing the investor services described in Section 1.1. The Distributor may use such payments received from the Funds to compensate Service Providers for providing such services. Compensation shall be made from the assets of the funds of the Trust, and such compensation shall be calculated and accrued daily and paid within fifteen (15) days of the end of each month.
Investor Services. (a) Act as registrar and transfer agent with respect to the Shares and, in that capacity process subscription applications, transfer instructions, redemption/repurchase requests and other applicable account maintenance requests received by the Funds with respect to their Shares;
(b) Maintain the register of Shareholders of the Fund and enter on such register all issues, transfers and repurchases of Shares in the Fund;
(c) In coordination with the Fund’s accounting agent, arrange for the calculation of the issue and repurchase prices of Shares in the Fund in accordance with the Fund’s Organizational Documents;
(d) Upon direction of the Fund, establish, or facilitate the establishment of, and maintain such bank, brokerage, escrow or other accounts in the name of the Fund or BNYM-AIS as may be required to accept subscription proceeds from actual or potential Shareholders and for payment of redemption or repurchase proceeds, or otherwise to facilitate the provision of investor services to the Fund under this Agreement, which accounts may be established with bank affiliates of BNYM. The Fund acknowledges and agrees that BNYM and such affiliated banks may receive interest, credits or investment income and other benefits from the transitional balances in such accounts and that BNYM shall act as a depositary only with respect to such accounts, and in its capacity as such, BNYM shall not be responsible or liable in any manner whatever for the sufficiency, correctness, genuineness or validity of any asset deposited with it;
(e) Upon receipt of Written Instructions, distribute periodic reports and statements to Shareholders.
Investor Services. (a) Act as registrar and transfer agent with respect to the Shares and, in that capacity process subscription applications, transfer instructions, redemption/repurchase requests and other applicable account maintenance requests received by a Fund with respect to its Shares and process wire instructions for subscriptions and redemptions/repurchase requests;
(b) Maintain the register of Shareholders of the Fund and enter on such register all issues, transfers and repurchases of Shares in the Fund and provide monthly reporting to the Investment Advisor of same;
(c) In coordination with the Fund’s accounting agent, arrange for the calculation of the issue and repurchase prices of Shares in the Fund in accordance with the Fund’s Organizational Documents;
(d) Upon direction of the Fund, establish, or facilitate the establishment of, and maintain such bank, brokerage, escrow or other accounts in the name of the Fund or BNYM as may be required to accept subscription proceeds from actual or potential Shareholders and for payment of redemption or repurchase proceeds, or otherwise to facilitate the provision of investor services to the Fund under this Agreement, which accounts may be established with bank affiliates of BNYM. The Fund acknowledges and agrees that BNYM and such affiliated banks may receive interest, credits or investment income and other benefits from the transitional balances in such accounts and that BNYM shall act as a depositary only with respect to such accounts, and in its capacity as such, BNYM shall not be responsible or liable in any manner whatever for the sufficiency, correctness, genuineness or validity of any asset deposited with it;
(e) Upon receipt of Written Instructions, print and distribute periodic reports and other information to Shareholders, including but not limited to, tender offers, proxy statements, confirmation statements, semi-annual and annual financial statements, tax reporting (including the distribution but not preparation of taxable income estimates and Schedule K-1s) and account statements;
(f) Copy the Fund on routine correspondence sent to Shareholders as agreed between the Fund and BNYM;
(g) Transmit or otherwise send to the Fund or its designee, to the extent practicable and feasible, requested detailed information related to the Shareholders and the Fund, including admission details, income, capital gains and losses, and performance detail;
Investor Services. 1.1 Pursuant to the Plan, the Servicer shall provide investor services to Investors. Investor services include some or all of the following:
(i) assistance in printing Trust prospectuses and statements of additional information and mailing them to Investors or to financial advisors who allocate funds for investment in Shares of the Trust on behalf of Investors ("Financial Advisors");
(ii) assistance in forwarding communications from the Trust to Investors or Financial Advisors, including proxy solicitation material and annual and semiannual reports;
(iii) assistance in facilitating and processing transactions in Shares of the Trust;
(iv) assisting Investors who wish or need to change Financial Advisers; and
(v) providing support services to Financial Advisers, including, but not limited to: (a) providing Financial Advisers with updates on policies and procedures; (b) answering questions of Financial Advisers regarding the investments of the Trust's portfolios; (c) providing performance information regarding the Trust's portfolios; (d) providing information to Financial Advisers regarding the investment objectives of the Trust's portfolios; (e) providing Investor account information to Financial Advisers; and (f) redeeming Trust Shares, if necessary, for the payment of Financial Adviser fees.
1.2 For providing investor services to Investors pursuant to this Agreement, RDI shall compensate the Servicer a fee computed daily and paid monthly in arrears, equal to an annual rate of ____ basis points of the average daily net assets of the Trusts held by Servicer in its separate accounts pursuant to its variable annuity contracts. Servicer will provide the average daily net asset value for each month as soon as practicable after the end of each month. RDI shall pay this compensation within sixty (60) days after receipt of such value.
Investor Services. Investor services shall include those duties and services which are necessary and appropriate in connection with reporting and communicating with the limited partners of the Partnerships, including, without limitation:
(i) maintenance and updating the Partnerships' investors database, including the facilitation of partnership interest transfers;
(ii) maintenance and updating of all limited partner records, including, without limitation, limited partner correspondence;
(iii) communications with the limited partners of the Partnerships in response to their telephone and/or written inquiries regarding partnership operations and/or the availability of the Partnerships' tax information;
(iv) preparation of any required limited partner consent solicitation to any sale or refinancing of a partnership property, or other major event requiring limited partner consent, and the subsequent solicitation of any such consent;
(v) an annual mailing (or more frequent communication as may be required) to the limited partners of the Partnerships with respect to partnership operations, including annual financial statements of the Partnerships;
(vi) the mailing to each limited partner of the Partnerships' limited partner tax information (Schedule K-1);
(vii) analyze the federal income tax consequences of the sale of any partnership property;
(viii) periodic mailings to limited partners of the Partnership of partnership distribution checks, if any; and
(ix) upon termination of any Partnership, deliver to Winthrop such Partnership's records;
Investor Services. Group represents and warrants to the Fund that:
(a) it is a corporation duly organized, validly existing and in good standing under the laws of the Commonwealth of Massachusetts;
(b) it is empowered under applicable laws and by its Articles of Incorporation and By-Laws to enter into and perform this Agreement;
(c) all requisite corporate proceedings have been taken to authorize it to enter into this Agreement;
(d) it is duly registered with its appropriate regulatory agency as a transfer agent and such registration will remain in effect for the duration of this Agreement; and
(e) it has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Investor Services. The Management Company has the responsibility to facilitate investments and disinvestments by investors in the Scheme and to make adequate arrangements for receiving and processing applications in this regard.
Investor Services. Fund Set-Up
