Portfolio Compliance. A. Assist with monitoring each portfolio's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current Prospectus and Statement of Additional Information.
B. Assist with monitoring each portfolio's compliance with the requirements of Section 851 of the Code for qualification as a RIC (i.e., 90% Income, and Diversification Tests).
C. Assist with monitoring investment manager's compliance with Board directives such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, and Rule 12d-3 procedures.
D. Administer compliance by the fund's trustees, officers and "access persons" under the terms of the fund's Code of Ethics and SEC regulations.
Portfolio Compliance. The Administrator shall provide the following compliance services in conjunction with the investment adviser's obligations pursuant to its Investment Advisory Agreement with the Trust and all applicable laws.
A. Mail quarterly requests for "Securities Transaction Reports" to the Trust's Trustees and officers and "access persons" under the terms of the Trust's Code of Ethics and regulations promulgated by the U.S. Securities and Exchange Commission.
B. Prepare, distribute, and utilize in compliance training sessions, comprehensive compliance materials, including compliance manuals and checklists, and develop or assist in developing guidelines and procedures to improve overall compliance by the Trust and its various agents.
Portfolio Compliance. A. Assist with monitoring each Portfolio's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current prospectus(es) and Statement(s) of Additional Information, although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
B. Assist with monitoring each Portfolio's compliance with the requirements of Section 851 of the Code for qualification as a RIC (i.e., 90% Income, 30% Income - Short Three, Diversification Tests) although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
C. Assist with monitoring investment manager's compliance with Board directives such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, and Rule 12d-3 procedures, although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
D. Mail quarterly requests for "Securities Transaction Reports" to the Fund's Directors and Officers and "access persons" under the terms of the Fund's Code of Ethics and SEC regulations.
E. Prepare and update compliance manuals and procedures.
F. Mail, collect and review on a quarterly basis compliance checklists for each Portfolio.
Portfolio Compliance. A. Assist with monitoring each Investment Fund's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current prospectus(es) and Statement(s) of Additional Information, although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
B. Assist with monitoring each Investment Fund's compliance with the requirements of Section 851 of the Code for qualification as a RIC (i.e., 90% Income, 30% Income - Short Three, Diversification Tests), although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
C. Assist with monitoring investment manager's compliance with Board directives such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, and Rule 12d-3 procedures, although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
D. Mail quarterly requests for "Securities Transaction Reports" to the Fund's Trustees and Officers and "access persons" under the terms of the Fund's Code of Ethics and SEC regulations.
Portfolio Compliance. Monitor and periodically test the Funds' compliance with such investment restrictions and other regulatory requirements as set forth in each Fund's Prospectus or as may be agreed to between the BNY and the Trust (e.g., issuer or industry diversification, etc.).
Portfolio Compliance. Monitor and periodically test the Fund's compliance with such investment restrictions and other regulatory requirements, as may be agreed to between the adviser, X.X. Xxxxxx and the Fund (e.g., issuer or industry diversification, etc.).
Portfolio Compliance. From time to time as the Administrator deems appropriate, check each Fund’s compliance with the policies and limitations of each Fund relating to the portfolio investments as set forth in the Prospectus and Statement of Additional Information and monitor each Fund’s status as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended (the “Code”) (but these functions shall not relieve theTrust’s investment advisor and sub-advisors, if any, of their primary day-to-day responsibility for assuring such compliance). • Assist with monitoring each portfolio's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current Prospectus and Statement of Additional Information. • Assist with monitoring each advisor’s compliance with Board directives such as “Approved Issuers Listings for Repurchase Agreements”, Rule 17a-7 under the 1940 Act, and procedures pursuant to Rule 12d-3 under the 1940 Act.
Portfolio Compliance. (1) Implement written procedures for X.X. Xxxxxx as the Trust’s service provider reasonably designed to prevent violations of federal securities laws;
(2) Prepare quarterly reports for the Fund’s compliance officer listing any known material compliance violations that occurred;
(3) Monitor and test each Fund’s compliance with such investment restrictions and other regulatory requirements, as may be agreed to among the Funds’ investment adviser, X.X. Xxxxxx and each Fund as necessary to meet industry regulations (e.g., issuer or industry diversification, etc.);
(4) Perform independent daily/monthly portfolio compliance review of information contained in fund accounting source reports;
(5) Coordinate mailing of all IRS quarterly compliance reminder letters to investment adviser of the Trust;
(6) Prepare brokerage commission reports for review by the Funds’ investment adviser;
(7) Prepare compliance reports for the Funds’ Board of Trustees;
(8) Communicate results of compliance testing to the investment adviser for the Trust on a daily basis;
(9) Provide access to compliance records and compliance tracking systems;
(10) Develop, maintain, and monitor a compliance calendar for the Trust; and
(11) Assist in monitoring best execution by providing quarterly brokerage commission reports.
Portfolio Compliance. Equitable shall provide the following compliance services in conjunction with each Adviser's obligations pursuant to its Investment Advisory Agreement with the Trust and all applicable laws.
A. Monitor and periodically test each Portfolio's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current prospectus(es) and Statement(s) of Additional Information.
B. Monitor and periodically test, including on required quarterly testing dates, each Portfolio's compliance with the requirements of Section 851 of the Code and applicable Treasury Regulations for qualification as a RIC.
C. Monitor and periodically test, including on required quarterly testing dates, each Portfolio's compliance with the requirements of Section 817(h) of the Code and applicable Treasury Regulations.
D. Monitor each investment adviser's compliance with Board directives such as "Approved Issuers Listings for Repurchase Agreements", Rule 17a-7, Rule 17e-1 and Rule 12d-3 procedures.
E. Mail quarterly requests for "Securities Transaction Reports" to the Trust's Trustees and Officers and "access persons" under the terms of the Trust's Code of Ethics and SEC regulations.
F. Prepare, distribute, and utilize in compliance training sessions, comprehensive compliance materials, including compliance manuals and checklists, subject to review and comment by the Trust's legal counsel and develop or assist in developing guidelines and procedures to improve overall compliance by the Trust and its various agents.
Portfolio Compliance. Assist with monitoring each Portfolio's compliance with investment restrictions (e.g., issuer or industry diversification, etc.) listed in the current prospectus(es) and Statement(s) of Additional Information, although primary responsibility for such compliance shall remain with the Fund's investment adviser or investment manager.
