Lost Shareholders. GFS shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 (the “Lost Shareholder Rules”) of the Securities Exchange Act of 1934 (“1934 Act”), including, but not limited to, those set forth below. GFS 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.
Appears in 21 contracts
Samples: Transfer Agency Service Agreement (Equipointe Funds), Transfer Agency Service Agreement (Ralph Parks Portfolios Trust), Transfer Agency Service Agreement (Boyar Value Fund Inc)
Lost Shareholders. GFS shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 (the “Lost Shareholder Rules”) of the Securities Exchange Act of 1934 (“1934 Act”), including, but not limited to, those set forth below. GFS 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.
Appears in 2 contracts
Samples: Transfer Agency Service Agreement (Santa Barbara Group of Mutual Funds Inc), Transfer Agency Service Agreement (Santa Barbara Group of Mutual Funds Inc)
Lost Shareholders. GFS shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 (the “"Lost Shareholder Rules”") of the Securities Exchange Act of 1934 (“"1934 Act”"), including, but not limited to, those set forth below. GFS 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.
Appears in 2 contracts
Samples: Transfer Agency Service Agreement (Bryce Capital Funds), Transfer Agency Service Agreement (New River Funds)
Lost Shareholders. GFS shall perform such services as are required in order to comply with Rules 17a-24 and 17Ad-17 (the “Lost Shareholder Rules”) of the Securities Exchange Act of 1934 (“1934 Act”)1934, including, but not limited to, those set forth below. GFS may, in its sole discretion, use the services of a third party to perform some of or all such services.
(i) a. documentation of search policies and procedures;
(ii) b. execution of required searches;
(iii) c. tracking results and maintaining data sufficient to comply with the Lost Shareholder Rules; and
(iv) d. preparation and submission of data required under the Lost Shareholder Rules.
Appears in 1 contract
Samples: Fund Services Agreement (Resource Real Estate Diversified Income Fund)