Post Trade Compliance Sample Clauses
The Post Trade Compliance clause establishes requirements for reviewing and ensuring that all transactions conducted comply with relevant regulations and internal policies after they have been executed. Typically, this involves monitoring trades for adherence to investment guidelines, regulatory limits, or risk parameters, and may require reporting or corrective action if any breaches are identified. Its core function is to provide an additional layer of oversight, helping to detect and address compliance issues that may not have been apparent at the time of trade execution, thereby reducing regulatory risk and maintaining the integrity of trading activities.
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Post Trade Compliance. (a) Perform daily prospectus & SAI, SEC investment restriction monitoring.
(b) Provide warning/Alert notification with supporting documentation.
(c) Provide quarterly compliance testing certification to Board.
Post Trade Compliance. (a) Assist the Client in developing appropriate portfolio compliance procedures for each Fund, and provide compliance monitoring services with respect to such procedures as reasonably requested by the Client, provided that such compliance must be determinable by reference to the Fund’s accounting records.
(b) Monitor and advise the Client and the Funds on their regulated investment company status under the Internal Revenue Code of 1986, as amended, and the regulations promulgated thereunder.