Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”). (b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC. (c) Prepare and file Form N-CEN annually; (d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders; (e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings; (f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX; (g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019; (h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 2 contracts
Samples: Services Agreement (Hc Capital Trust), Services Agreement (Hc Capital Trust)
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client Fund and counsel to the Client Fund (“Fund Counsel”) drafts of: (i) the annual update to the ClientFund’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client Fund or Fund Counsel, other amendments to the ClientFund’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client Fund and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client Fund drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the ClientFund, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;SAR and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client Fund and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare for review and approval by the Fund and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 2 contracts
Samples: Administration Agreement (Salient MF Trust), Administration Agreement (Salient MF Trust)
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel Counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s Funds’ registration statement on Form N-1A with respect to existing Funds, including the preparation of summary prospectuses, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s Funds’ registration statement and supplements to its their prospectus and statement of additional information information, if any, reflecting developments from time to time (with respect to existing Funds. Subject ); (iii) coordinate the filing of the foregoing with the SEC, in consultation with the Client and Fund Counsel; (iv) coordinate the preparation and filing of exhibits containing interactive data format risk/return summary information that mirrors the risk/return summary information within the annual update to the Funds’ prospectus with the SEC; (v) subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities SEC; and Exchange Commission (the “SEC”)vi) maintain files of such registration statements.
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;SAR and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ prospectuses and semi-annual and annual reports to Shareholders;reports.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder shareholder meetings and record the minutes of the such meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Client or an Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 2 contracts
Samples: Services Agreement (Horizons ETF Trust), Services Agreement (Exchange Traded Concepts Trust II)
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“"Fund Counsel”) drafts of: (i) the annual update to the Client’s 's registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s 's registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file Form N-CEN annually;
(d) Assist with the layout and printing of prospectuses and the Funds’ ' semi-annual and annual reports to Shareholders;
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ ' proxy voting records (as approved by the Investment Adviser) on Form N-PX;
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month.
(h) Rule 18f-4 Support for Funds relying on “Limited Derivatives User” Exemption (Lite)
(i) Daily monitoring and reporting of derivative exposure levels
(ii) Monthly exposure calculation reporting on Form N-PORT (Item B.9)
(i) Rule 18f-4 Support for Non-Exempt Funds (Standard)
(i) Daily value at risk (VaR) calculations and reporting
(ii) Monthly VaR reporting on Form N-PORT (Item B.10) (iii) VaR stress testing and back testing
(iv) Form N-RN filing coordination, effective for ad hoc, as directed by the period beginning June 1, 2018.client
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;.
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client Fund and counsel to the Client Fund (“Fund Counsel”) drafts of: (i) the annual update to the ClientFund’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client Fund or Fund Counsel, other amendments to the ClientFund’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client Fund and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client Fund drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the ClientFund, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;SAR and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client Fund and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders holders of shares of the Fund (“Shareholders”) and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Client’s Form N-CEN annually;annually and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ Client’s semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;.
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file Form N-CEN annually;SAR and file all required notices pursuant to Rule 24f-2 relating to the Funds.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders holders of shares of the Fund (“Shareholders”) and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Client’s Form N-CEN annually;annually and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ Client’s semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31April 30, 2019;2020.
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June March 1, 20182020.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file Form N-CEN annually;
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“"Fund Counsel”) drafts of: :
(i) the annual update to the Client’s 's registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s 's registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file Form N-CEN annually;
(d) Assist with the layout and printing of prospectuses and the Funds’ ' semi-annual and annual reports to Shareholders;
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ ' proxy voting records (as approved by the Investment Adviser) on Form N-PX;
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month.
(h) Rule 18f-4 Support for Funds relying on “Limited Derivatives User” Exemption (Lite)
(i) Daily monitoring and reporting of derivative exposure levels
(ii) Monthly exposure calculation reporting on Form N-PORT (Item B.9)
(i) Rule 18f-4 Support for Non-Exempt Funds (Standard)
(i) Daily value at risk (VaR) calculations and reporting
(ii) Monthly VaR reporting on Form N-PORT (Item B.10)
(iii) VaR stress testing and back testing
(iv) Form N-RN filing coordination, effective for ad hoc, as directed by the period beginning June 1, 2018.client
(j) Tailored Shareholder Reporting (“TSR”) production and filing (semi-annual)
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“Fund Counsel”) drafts of: (i) the annual update to the Client’s registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file the Fund’s Form N-CEN annually;SAR and file all required notices pursuant to Rule 24f-2.
(d) Assist with the layout and printing of prospectuses and the Funds’ semi-annual and annual reports to Shareholders;.
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;.
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting records (as approved by the Investment Adviser) on Form N-PX;.
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month, effective for the period beginning June 1, 2018.
Appears in 1 contract
Registration Statements, Financial Statements, Proxy Statements and other SEC Filings. (a) Prepare for review and approval by the Client and counsel to the Client (“"Fund Counsel”) drafts of: (i) the annual update to the Client’s 's registration statement on Form N-1A with respect to existing Funds, and (ii) as requested by the Client or Fund Counsel, other amendments to the Client’s 's registration statement and supplements to its prospectus and statement of additional information reflecting developments from time to time with respect to existing Funds. Subject to approval by the Client and Fund Counsel, file any of the foregoing with the Securities and Exchange Commission (the “SEC”).
(b) For each Fund, prepare for review and approval of the Client drafts of (i) the annual report to Shareholders and (ii) the semi-annual report. Subject to review and approval by the Client, file the final versions thereof on Form N-CSR with the SEC.
(c) Prepare and file Form N-CEN annually;
(d) Assist with the layout and printing of prospectuses and the Funds’ ' semi-annual and annual reports to Shareholders;
(e) Coordinate the printing and distribution of proxy materials for meetings of shareholders; coordinate the record holder research and tabulation process relating to proxies; subject to review and approval by the Client and Fund Counsel, file proxy statements and related solicitation materials with the SEC; prepare draft scripts for and attend the Shareholder meetings and record the minutes of the meetings;
(f) Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ ' proxy voting records (as approved by the Investment Adviser) on Form N-PX;
(g) Prepare and file holdings reports on Form N-Q with the SEC, as required at the end of the first and third fiscal quarters of each year, effective through the period ending March 31, 2019;
(h) Prepare and file holdings reports on Form N-PORT with the SEC, as required at the end of each month.
(h) Rule 18f-4 Support for Funds relying on “Limited Derivatives User” Exemption (Lite)
(i) Daily monitoring and reporting of derivative exposure levels
(ii) Monthly exposure calculation reporting on Form N-PORT (Item B.9)
(i) Rule 18f-4 Support for Non-Exempt Funds (Standard)
(i) Daily value at risk (VaR) calculations and reporting
(ii) Monthly VaR reporting on Form N-PORT (Item B.10)
(iii) VaR stress testing and back testing
(iv) Form N-RN filing coordination, effective for ad hoc, as directed by the period beginning June 1, 2018.client
Appears in 1 contract
