Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services. (i) documentation of search policies and procedures; (ii) execution of required searches; (iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and (iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 17 contracts
Samples: Transfer Agency Services Agreement (Gam Funds Inc), Transfer Agency Services Agreement (Lmi Funds), Transfer Agency Services Agreement (Smithgraham Institutional Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 7 contracts
Samples: Transfer Agency Services Agreement (Managers Funds), Transfer Agency Services Agreement (Highland Funds I), Transfer Agency Services Agreement (Managers Trust Ii)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and Rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 6 contracts
Samples: Transfer Agency Services Agreement, Transfer Agency Services Agreement (Elfun Global Fund), Transfer Agency Services Agreement (Ge Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 6 contracts
Samples: Transfer Agency Services Agreement (Premier Vit), Transfer Agency Services Agreement (BHR Institutional Funds), Transfer Agency Services Agreement (BHR Institutional Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and Rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 4 contracts
Samples: Transfer Agency Services Agreement (MGI Funds), Transfer Agency Services Agreement (MGI Funds), Transfer Agency Services Agreement (MGI Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and Rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesRule. “Lost Shareholder” services will not be performed by PFPC on any shareholder accounts that are broker-controlled accounts where PFPC is not able to identify and depict “RPO” status. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 3 contracts
Samples: Transfer Agency Services Agreement (Allianz RCM Global EcoTrends Fund), Transfer Agency Services Agreement (PNC Funds Inc), Transfer Agency Services Agreement (FundVantage Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesRule. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 3 contracts
Samples: Transfer Agency Services Agreement (Allegiant Advantage Fund), Transfer Agency Services Agreement (Allegiant Funds), Transfer Agency, Regulatory Administration Services, and Fund Administration Services Agreement (Horace Mann Mutual Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Securityholder Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesSecurityholder Rule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesSecurityholder Rule. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Blackrock Funds), Transfer Agency Agreement (Blackrock Bond Allocation Target Shares)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 2 contracts
Samples: Transfer Agency and Blue Sky Services Agreement (BB&T Variable Insurance Funds), Transfer Agency and Blue Sky Services Agreement (Bb&t Funds /)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. “Lost Shareholder” services will not be performed by PFPC on any shareholder accounts that are broker-controlled accounts where PFPC is not able to identify and depict “RPO” status. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 2 contracts
Samples: Transfer Agency and Blue Sky Services Agreement (Bb&t Funds /), Transfer Agency and Blue Sky Services Agreement (BB&T Variable Insurance Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesSecurityholder Rule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesSecurityholder Rule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesSecurityholder Rule. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Agreement (BlackRock Variable Series Funds, Inc.)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services., including:
(i) documentation Documentation of search policies and procedures;
(ii) execution Execution of required searches;
(iii) tracking Tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation Preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (JNL Investors Series Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Sub Transfer Agency Services Agreement (Monument Series Fund Inc)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) 1. documentation of search policies and procedures;
(ii) 2. execution of required searches;
(iii) 3. tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) 4. preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment servicesRule.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Aquila Three Peaks High Income Fund)
Lost Shareholders. PFPC shall perform such services as are required in order _________________ to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Travelers Series Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and Rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesRule. "Lost Shareholder" services will not be performed by PFPC on any shareholder accounts that are broker-controlled accounts where PFPC is not able to identify and depict "RPO" status. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Sparx Funds Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Highland Special Situations Fund II)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation 5.11.1 Documentation of search policies and procedures;
(ii) execution 5.11.2 Execution of required searches;
(iii) tracking 5.11.3 Tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation 5.11.4 Preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Investment Company Services Agreement (Matthews International Funds)
Lost Shareholders. PFPC shall perform such services as are required in _________________ order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Travelers Series Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesRule. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and;
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any ; and
(v) escheatment services, as agreed in writing between the Trust and PFPC from time to time.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Ab Funds Trust/De)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "Lost Shareholder RulesRule"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder RulesRule; and
(iv) preparation and submission of data required under the Lost Shareholder RulesRule. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
; (ii) execution of required searches;
; (iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
and (iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Alleghany Funds)
Lost Shareholders. PFPC shall perform such services as are ----------------- required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
and (iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (TCW Galileo Funds Inc)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and rule 17Ad-17 of the 1934 Act (the "“Lost Shareholder Rules"Rule”), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) 5.11.1 documentation of search policies and procedures;
(ii) 5.11.2 execution of required searches;
(iii) 5.11.3 tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) 5.11.4 preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Investment Company Services Agreement (Matthews International Funds)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with wit the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Axa Premier Funds Trust)
Lost Shareholders. PFPC shall perform such services as are required in order to comply with Rules 17a-24 and Rule 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Lost Shareholders. PFPC shall perform such services as are ----------------- required in order to comply with Rules 17a-24 and 17Ad-17 of the 1934 Act (the "Lost Shareholder Rules"), including, but not limited to, those set forth below. PFPC may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) documentation of search policies and procedures;
(ii) execution of required searches;
(iii) tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) preparation and submission of data required under the Lost Shareholder Rules. Except as set forth above, PFPC shall have no responsibility for any escheatment services.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Van Wagoner Funds Inc)