Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services: (i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 35 contracts
Samples: Transfer Agency and Shareholder Services Agreement (AMG Pantheon Credit Solutions Fund), Transfer Agency and Shareholder Services Agreement (Versus Capital Infrastructure Income Fund), Transfer Agency and Shareholder Services Agreement (KKR Asset-Based Income Fund)
Red Flags Services. (1a) The provisions of this Section 3(c) 1.16 (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM Computershare will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with with:
(i1) account opening and other account activities and transactions conducted directly through BNYM Computershare with respect to Direct Accounts (as defined below), and and
(ii2) transactions effected directly through BNYM Computershare by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 18 contracts
Samples: Transfer Agency and Service Agreement (Blackrock Muniassets Fund, Inc.), Transfer Agency and Service Agreement, Transfer Agency and Service Agreement (Blackrock Credit Allocation Income Trust)
Red Flags Services. (1) The provisions of this Section 3(c) (the “"Red Flags Section”") shall apply in the event the Fund elects to receive the “"Red Flags Services”", which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “"Controls”". Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 12 contracts
Samples: Transfer Agency and Shareholder Services Agreement (Polen Credit Opportunities Fund), Transfer Agency and Shareholder Services Agreement (Ark Venture Fund), Transfer Agency and Shareholder Services Agreement (Touchstone Strategic Trust)
Red Flags Services. (1) The provisions of this Section 3(c) 15 (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 11 contracts
Samples: Transfer Agency and Services Agreement (Legg Mason Partners Variable Income Trust), Transfer Agency and Services Agreement (Legg Mason Partners Premium Money Market Trust), Transfer Agency and Services Agreement (Legg Mason Global Asset Management Trust)
Red Flags Services. (1) The provisions of this Section 3(c) (the “"Red Flags Section”") shall apply in the event the Fund elects to receive the “"Red Flags Services”", which are hereby defined to mean the following services:
(iA) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “"Controls”". Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 2 contracts
Samples: Transfer Agency and Shareholder Services Agreement (Pax World Funds Series Trust I), Transfer Agency and Shareholder Services Agreement (Pax World Funds Series Trust I)
Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Red Flags Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 2 contracts
Samples: Transfer Agency and Shareholder Services Agreement (BlackRock Multi-Sector Opportunities Trust II), Transfer Agency and Shareholder Services Agreement (BlackRock Series Fund, Inc.)
Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event a Client elects for BNYM to provide the Fund elects to receive the Client with “Red Flags Services”, which are is hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 2 contracts
Samples: Transfer Agency and Shareholder Services Agreement (Manning & Napier Fund, Inc /Ny/), Transfer Agency and Shareholder Services Agreement (Manning & Napier Fund, Inc /Ny/)
Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time Confidential And Proprietary Execution Version to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 2 contracts
Samples: Transfer Agency and Shareholder Services Agreement (Sit Mutual Funds Inc), Transfer Agency and Shareholder Services Agreement (Sit Mutual Funds Ii Inc)
Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event the Fund Trust elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 1 contract
Samples: Transfer Agency and Unitholder Services Agreement (Afl Cio Housing Investment Trust)
Red Flags Services. (1) The provisions of this Section 3(c) 26 (the “Red Flags Section”) shall apply in govern the event provision by BNYM to the Fund elects to receive the of “Red Flags Services”, which are is hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Old Westbury Funds Inc)
Red Flags Services. (1) The provisions of this Section 3(c14(l) (the “"Red Flags Section”") shall apply in govern the event provision by BNYM to the Fund elects to receive the “of "Red Flags Services”", which are is hereby defined to mean the following services:: Confidential And Proprietary Execution Version
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “"Controls”". Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Eii Realty Securities Trust)
Red Flags Services. (1) The provisions of this Section 3(c) (the “Red Flags Section”) shall apply in the event the Fund elects to receive the “Red Flags Services”, which are hereby defined to mean the following services:
(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (ix) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (iiy) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the “Controls”. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:
Appears in 1 contract
Samples: Transfer Agency & Shareholder Services Agreement (Pacific Funds Series Trust)