Legal, Compliance and Blue Sky Functions. (1) Prepare and maintain files of all Board and shareholder meeting materials, including minutes. (2) Monitor compliance by each Fund with various conditions imposed by exemptive orders and/or regulatory requirements relating to multiple classes of shares, and fund of funds. (3) Prepare and review periodic Prospectus/Statement of Additional Information compliance reports. (4) Prepare, update and file with the SEC the Funds’ registration statements, including pre-effective and post-effective amendments, Prospectuses, SAIs, and supplements. (5) Prepare and/or review and file proxy materials with the SEC. (6) Review annual and semi-annual reports of the Funds. (7) Negotiate D&O/E&O insurance matters and annual renewals on behalf of the Funds. (8) Monitor fidelity bond coverage for the Funds. (9) Review Rule 24f-2 notices relating to registration fees and file with the SEC. (10) Coordinate regulatory examinations of the Funds. (11) Assist in preparation of Board members’ questionnaires. (12) Register Fund shares with appropriate state blue sky authorities. (13) Obtain and renew all sales permits required by relevant state authorities in order to permit the sale of shares in the state. (14) Monitor the sale of shares in individual states. (15) Respond to all blue sky audit and examination issues. AMENDMENT 1 to the ADMINISTRATIVE SERVICES AGREEMENT among The Investment Companies comprising the Lord Xxxxxx Family of Funds (each, a “Fund” or collectively, the “Funds”) as set forth on Exhibit 1 and Lord, Xxxxxx & Co. LLC (“Lord Xxxxxx”)
Appears in 13 contracts
Samples: Administrative Services Agreement (Lord Abbett Research Fund Inc), Administrative Services Agreement (Lord Abbett Securities Trust), Administrative Services Agreement (Lord Abbett Affiliated Fund Inc)
Legal, Compliance and Blue Sky Functions. (1) Prepare and maintain files of all Board and shareholder meeting materials, including minutes.
(2) Monitor compliance by each Fund with various conditions imposed by exemptive orders and/or regulatory requirements relating to multiple classes of shares, and fund of funds.
(3) Prepare and review periodic Prospectus/Statement of Additional Information compliance reports.
(4) Prepare, update and file with the SEC the Funds’ registration statements, including pre-effective and post-effective amendments, Prospectuses, SAIs, and supplements.
(5) Prepare and/or review and file proxy materials with the SEC.
(6) Review annual and semi-annual reports of the Funds.
(7) Negotiate D&O/E&O insurance matters and annual renewals on behalf of the Funds.
(8) Monitor fidelity bond coverage for the Funds.
(9) Review Rule 24f-2 notices relating to registration fees and file with the SEC.
(10) Coordinate regulatory examinations of the Funds.
(11) Assist in preparation of Board members’ questionnaires.
(12) Register Fund shares with appropriate state blue sky authorities.
(13) Obtain and renew all sales permits required by relevant state authorities in order to permit the sale of shares in the state.
(14) Monitor the sale of shares in individual states.
(15) Respond to all blue sky audit and examination issues. AMENDMENT 1 to the ADMINISTRATIVE SERVICES AGREEMENT among The Investment Companies comprising the Lord Xxxxxx Axxxxx Family of Funds (each, a “Fund” or collectively, the “Funds”) as set forth on Exhibit 1 and Lord, Xxxxxx Axxxxx & Co. LLC (“Lord XxxxxxAxxxxx”)
Appears in 5 contracts
Samples: Administrative Services Agreement (Lord Abbett Series Fund Inc), Administrative Services Agreement (Lord Abbett Securities Trust), Administrative Services Agreement (Lord Abbett Affiliated Fund Inc)
Legal, Compliance and Blue Sky Functions. (1) Prepare and maintain files of all Board and shareholder meeting materials, including minutes.
(2) Monitor compliance by each Fund with various conditions imposed by exemptive orders and/or regulatory requirements relating to multiple classes of shares, and fund of funds.
(3) Prepare and review periodic Prospectus/Statement of Additional Information compliance reports.
(4) Prepare, update and file with the SEC the Funds’ registration statements, including pre-effective and post-effective amendments, Prospectuses, SAIs, and supplements.
(5) Prepare and/or review and file proxy materials with the SEC.
(6) Review annual and semi-annual reports of the Funds.
(7) Negotiate D&O/E&O insurance matters and annual renewals on behalf of the Funds.
(8) Monitor fidelity bond coverage for the Funds.
(9) Review Rule 24f-2 notices relating to registration fees and file with the SEC.
(10) Coordinate regulatory examinations of the Funds.
(11) Assist in preparation of Board members’ questionnaires.
(12) Register Fund shares with appropriate state blue sky authorities.
(13) Obtain and renew all sales permits required by relevant state authorities in order to permit the sale of shares in the state.
(14) Monitor the sale of shares in individual states.
(15) Respond to all blue sky audit and examination issues. AMENDMENT 1 to the ADMINISTRATIVE SERVICES AGREEMENT among The Investment Companies comprising the Lord Xxxxxx Family of Funds (each, a “Fund” or collectively, the “Funds”) as set forth on Exhibit 1 and Lord, Xxxxxx & Co. LLC (“Lord Xxxxxx”)
Appears in 1 contract
Samples: Administrative Services Agreement (Lord Abbett Us Gov & Gov Sponsored Enterpr Money Market Fund)
