Regulatory Administration Clause Samples

Regulatory Administration a. Provide services as mutually agreed upon, in addition to those listed in 6(a) above, to update annual amendments to the Fund’s registration; b. Coordinate filing of Form 485a/485b and XBRL as agreed to with the Funds; c. Assist in completing fidelity bond and D&O/E&O insurance applications;

Regulatory Administration a. Update annual amendments to the Funds’ registration statement; b. Coordinate filing of Form 485a/485b and XBRL as agreed to with the Funds; c. Assist in completing fidelity bond and D&O/E&O insurance applications.

Regulatory Administration i. Regulatory Administration Services Fees:

Regulatory Administration. Pursuant to Section 2(b) of this Agreement, the Subadministrator shall provide the following administration services, subject to the terms and conditions of this Agreement and this Appendix B:

Regulatory Administration. 2.1. Prepare agendas, resolutions, participation lists for four regularly scheduled quarterly meetings of the Board, on behalf of the Fund and the Adviser. 2.2. Coordinate the collection and publication of board materials for four regularly scheduled quarterly meetings of the Board, on behalf of the Fund and the Adviser. 2.3. Attend quarterly board meetings and the regularly scheduled meetings of the audit and other standing committees that occur on the same dates as the regularly scheduled quarterly Board meetings. 2.4. Draft and circulate for comment the minutes for four quarterly board meetings. 2.5. Coordinate the preparation and filing the annual amendments to the Trust’s Registration Statement on Form N-2, including any supplements thereto. 2.6. Coordinate the acquisition of and maintain fidelity bonds and directors and officers/errors and omissions insurance policies for the Trust in accordance with the requirements of the Investment Company Act and as such bonds and policies are approved by the Board.

Regulatory Administration i. 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

Regulatory Administration. Subject to the direction of and utilization of information provided by the Trust, the Investment Adviser and fund counsel, UMB Fund Services will provide the following services on behalf of the Fund(s):

Regulatory Administration. The State is bound by requirements specified in State law for rulemaking, issuing licenses, and taking enforcement actions. The State has also adopted administrative procedures to assure fair and impartial treatment of license applicants. State law prescribes standards of ethical conduct for State employees.

Regulatory Administration i. Assist the Client and Fund Counsel in responding to routine regulatory examinations or investigations. ii. Provide assistance and guidance to the Client with respect to matters governed by or related to regulatory requirements and developments including: monitoring regulatory and legislative developments which may affect the Funds and assisting in strategic planning in response thereto. iii. Provide assistance and guidance to the Client with respect to best practices for Policies and Procedures. iv. Maintain corporate records on behalf of the Funds and provide access to fund governance information as it relates to Regulatory Administration’s Services, including, but not limited to, board books, minute books, Declaration of Trust and by-laws, and prepare, at the direction of Client, amendments to the Client’s Declaration of Trust and by-laws and file as necessary. v. Assist the Funds in obtaining and maintaining fidelity bonds and directors and officers/errors and omissions insurance policies for the Funds at the expense of the Funds in accordance with the requirements of Rules 17g-1 and 17d-l(d)(7) under the 1940 Act, and file such fidelity bonds and any applicable, related notices with the SEC, to the extent such bonds and policies are approved by the Board. vi. Assist the Client in preparing for and conducting Board meetings by (a) coordinating Board book production (b) subject to review and approval by the Client and its counsel, preparing Board agendas and minutes, (c) preparing the relevant sections of the Board materials pertaining to the responsibilities of Citi, (d) assisting and coordinating special materials related to annual contract approvals and approval of Rule 12b-1 plans and related matters, (e) attending Board meetings and recording the minutes, and (f) performing such other Board meeting functions as agreed by the parties. vii. Coordinate the printing, distribution and solicitation of proxy materials for meetings of shareholders, if held; 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 viii. 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. ix. At the request of, and subject to the re...