Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services. (a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 10 contracts
Samples: Transfer Agency and Services Agreement (Smith Barney Shearson New Jersey Municipals Fund Inc), Transfer Agency and Services Agreement (Smith Barney Disciplined Small Cap Fund Inc), Transfer Agency and Services Agreement (Smith Barney Equity Funds)
Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 17a24 and 17Ad-17 17Ad17 of the 34 Act (the "Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 3 contracts
Samples: Subtransfer Agency and Services Agreement (Citifunds Fixed Income Trust), Subtransfer Agency and Services Agreement (Citifunds International Trust), Subtransfer Agency and Services Agreement (Citifunds Trust Ii)
Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 2 contracts
Samples: Services Agreement (Us Large Stock Fund), Services Agreement (Weiss Peck & Greer Funds Trust /Ma)
Lost Shareholders. Investor Services Group shall perform such ----------------- services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
(f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
Samples: Services Agreement (Tomorrow Funds Retirement Trust)
Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
(f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
Samples: Transfer Agency and Services Agreement (Smith Barney Municipal Money Market Fund Inc)
Lost Shareholders. Investor Services Group shall perform such ----------------- services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the "Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
Samples: Transfer Agency and Services Agreement (Centurion Funds Inc)
Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the "Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
Samples: Sub Transfer Agency and Services Agreement (Smith Barney Investment Series)
Lost Shareholders. Investor Services Group shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 34 Act (the Lost Shareholder Rules"), including, but not limited to those set forth below. Investor Services Group may, in its sole discretion, use the services of a third party to perform the some or all such services.
(a) documentation of electronic search policies and procedures; (b) execution of required searches; (c) creation and mailing of confirmation letters; (d) taking receipt of returned verification forms; (e) providing confirmed address corrections in batch via electronic media;;
; (f) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (g) preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
