Ongoing Services. It is important to review every investment you hold and at regular intervals. At the time of, or prior to, our recommendation to you we will discuss our on-going service proposition. This is confirmed in our ‘service proposition and engagement’ document which will be sent to you separately from this agreement.
Ongoing Services. 34 Provider and its subcontractors shall ensure in the event of labor disputes or job actions, 35 including work slowdowns, such as “sick outs”, or other activities within its service BHA 36 network, uninterrupted services shall be available as required by the terms of this Contract.
Ongoing Services. 1. Oversee LRMP and all Service Providers’ related activities and contributions; serve as liaison for investment adviser reporting and coordinate the same with Ultimus.
2. Serve as a non-voting member of LPA committee meetings and meet periodically, as required; assess, manage, and review liquidity risk; draft minutes; keep official records.
3. Monitor liquidity levels and facilitate the filings of Form N-LIQUID by a Fund officer, next business day or otherwise as required.
4. Review liquidity bucketing classifications and 15% threshold at least monthly (more frequently, if needed).
5. Review Ultimus metrics on N-PORT filings and any Form N-LIQUID filings.
6. Review HLIMs:
a. Exclude certain Segregated Assets (as defined in the Rule) from HLIM calculation;
b. Funds ≥ 50% highly liquid do not need an HLIM, but monitor for changes;
c. Address shortfalls.
7. Report to Board quarterly (or as needed), providing LPA Committee Meeting minutes and other data.
8. Provide an annual written report to the Board, including:
a. Operation of each Fund’s HLIM over the past year, if applicable;
b. Occurrences throughout the year when a Fund exceeds the 15% limit;
c. Material changes to the Program (Board approval not required); and
d. Occurrences throughout the year when the LPA met to arbitrate liquidity scoring disagreements (and associated LPA meeting minutes).
9. Collect certifications from investment advisers/investment sub-advisers in connection with N-PORT filings.
10. Monitor Trust and Service Providers’ compliance with Trust procedures relating to the LRMP; review responses to quarterly questionnaires and discuss LRMP on quarterly calls.
11. Perform forensic testing regarding LRMP program during annual compliance site visits to Service Providers.
12. Participate in due diligence site visits to Service Providers such as ICE and Confluence.
13. Review SEC filings on Form N-PORT for timeliness and on Form N-SAR for liquidity disclosure.
Ongoing Services. Where an ongoing service has been agreed, you agree that you will pay for those services.
Ongoing Services. We can offer you three levels of ongoing service designed to provide periodic reviews to ensure that recommended products remain relevant to your circumstances. Once the service level is agreed, we will contact you to provide the information that is appropriate to the service level you have chosen. A summary of what is included in each of these services is below:- Annual valuation ✓ ✓ ✓ Newsletters ✓ ✓ ✓ Online Access ✓ ✓ ✓ Telephone advice ✓ ✓ ✓ Online Document Portal for sending, receiving and storing important financial planning documents ✓ ✓ ✓ Annual Investment Report to include ongoing suitability of investments ✓ ✓ Annual Adviser Meeting ✓ ✓ Rebalancing of Investment Portfolios ✓ ✓ Keeping you up to date with current legislation ✓ ✓ Ongoing Analysis of risk and capacity for loss ✓ ✓ Use of Tax Breaks eg ISA ✓ ✓ Income Tax advice ✓ ✓ Top ups to existing investment free of charge (There is no charge for amounts of £20,000 or less, or in cases where an ongoing advice fee in excess of £2,500 pa is being received) ✓ ✓ Estate Planning to include Tax Advice around Inheritance Tax ✓ ✓ Tax Advice around Capital Gains Tax ✓ Cash Flow Planning ✓ Face to face ad hoc Adviser meetings by Agreement ✓ Bespoke Portfolios (for example including EIS) ✓ Trust Planning ✓ Professional Update (provide updates to other professional Parties) ✓ Our charges relating to ongoing services are as follows; Ongoing Service Ongoing Charges Valuation Plus 0.5% per annum of funds under management (minimum fee £500) For example a fee of £500 for funds under management of £100,000. Advisory Funds under management Charge Up to £250,000 0.75% Balance from £250,001 to £500,000 0.625% Balance above £500,000 0.50% Subject to a minimum fee of £1,000 For example a fee of £1,000 for funds under management of £120,000 For example a fee of £2,187.50 for funds under management of £300,000 For example a fee of £3,937.50 for funds under management of £600,000 Wealth Planning Funds under management Charge Up to £250,000 1.00% Balance from £250,001 to £500,000 0.75% Balance above £500,000 0.50% Subject to a minimum fee of £1,500 For example a fee of £1,500 for funds under management of £150,000 For example a fee of £3,625 for funds under management of £400,000 For example a fee of £5,625 for funds under management of £750,000 Payments for ongoing charges can be made either by:
a) A regular fee, paid by standing order.
b) By deduction from your investment(s) on a monthly, quarterly, six-monthly or annua...
Ongoing Services. Charges as a result of this FSC – For new system developments, please consult the Applications Scoring Model to indicate the likely ongoing charge (if any) for this FSC. N/A.
Ongoing Services. Transactional Service
Ongoing Services. Provider and its subcontractors shall ensure in the event of labor disputes or job actions, including work slowdowns, or other activities within its service BHA network, uninterrupted services shall be available as required by the terms of this Contract.
Ongoing Services. The SOC will deliver the following services on an ongoing basis during the Term:
A. Install all Software Updates for deployed Corero products in accordance with the Change Management Process.
B. Implement actions described in Threat Update Security Advisories in accordance with the Change Management Process.
C. Initiate the Advanced Hardware Replacement (AHR) process, if subscribed to by the Customer, in the event of a failure in Corero supplied hardware.
D. Deliver reports of the standard weekly configuration, performance, fault and security such as: • Device status • Software Upgrade availability • Uptime summary • Analysis of base line DDoS rates • Service request(s) status • Malicious Activity Summary • Top Sources of Attack • Top Destinations of Attack • Volumetric Security Events • Top 25 Rules Blocked • Detailed Threat View • Security in the news E. Ongoing collaboration and communication between the SOC and Customer to ensure up-to-date defenses in the face of evolving threats and a dynamic end-user environment.
Ongoing Services. For services that are ongoing, we'll calculate the cap based on the total fees paid during the last full 12 months of service before the claim arises. If the services have been active for less than 12 months, we'll use the total fees paid from the start of the contract until the claim arises.
