Regulatory Affairs and Corporate Governance. A. Prepare, review and file post-effective amendments to the Trust’s registration statement and supplements as needed with respect to the currently existing Funds only. Prepare, as necessary and in consultation with legal counsel to the Trust, and file letters responding to SEC staff comments.
Regulatory Affairs and Corporate Governance. A. Assist fund counsel in the preparation and filing of post-effective amendments to the fund's registration statement on Form N-lA and supplements as needed.
Regulatory Affairs and Corporate Governance. HASI will obtain Tax Identification Number (“TIN”), CUSIP number and NASDAQ symbol for new Funds or share classes of Funds. • HASI will coordinate Fund name changes, liquidations or mergers with the CUSIP Bureau and NASDAQ, when applicable. • HASI will collect data and provide to the Adviser/Trust for regulatory inquiries and examinations. • HASI will prepare, coordinate and file with the SEC the registration statements for the Trust, including any prospectus, Statement of Additional Information, and all amendments and supplements thereto, subject to review of Trust counsel. • HASI will prepare and maintain the Trust’s governing documents and any amendments thereto, including the Agreement and Declaration of Trust, By-laws, and minutes of Board and Committee meetings. • HASI will coordinate proxy solicitation process with designated proxy vendors; and file proxy materials. • HASI will coordinate the layout and printing of prospectuses and other publicly disseminated reports. Huntington Asset Services, Inc. Dxxx Investment Advisors, Inc..- 16 • HASI will prepare, coordinate and disseminate materials for all Board and Committee meetings, including agenda, Board books, either electronic or otherwise, resolutions and supplemental materials. • HASI will coordinate and disseminate Board written consents; monitor and record the receipt of Trustee votes; communicate results to the appropriate parties. • HASI will attend and draft minutes for scheduled Disclosure Controls Procedures (DCP) meetings. • HASI will maintain Board compliance calendar; ensure the appropriate Trust, advisory and service provider agreement renewals are presented to the Board timely. • HASI will assist Trust counsel with the facilitation of the investment management agreement renewal process, including peer group comparison reports (the fees for which are allocated to the Trust). • HASI will manage production schedules for Board meetings and regulatory filings. • HASI will maintain Board meeting follow-up lists; coordinate status report meetings and track completion statuses. • HASI will update and disseminate list of authorized signers to the appropriate service providers. • HASI will coordinate execution and retention of approved Trust agreements. • HASI will prepare and coordinate the application for the Trust’s Fidelity Bond and Errors & Omissions insurance coverage; provide the Board with the insurance company’s annual proposal; and file the Fidelity Bond with the SEC, including amendme...
Regulatory Affairs and Corporate Governance. A. Prepare, review and file post-effective amendments to the Trust's registration statement and supplements as needed with respect to the currently existing Funds only.
Regulatory Affairs and Corporate Governance. Assist Trust counsel in the preparation and filing of post-effective amendments to the Trust's registration statement on Form N-lA and supplements as needed. Administer shareholder meetings, and assist Trust counsel in the preparation and filing of proxy materials. Prepare Board materials for all Board meetings. Assist in the acquisition of errors and omissions insurance coverage and make any related regulatory filings. File copies of financial reports to shareholders with the SEC under Rule 30b2-1. The duties of the Administrator shall be confined to those expressly set forth herein, and no implied duties are assumed by or may be asserted against the Administrator hereunder. These services do not include correcting, verifying or addressing any prior actions or inactions by any Fund or by any prior service provider. To the extent the Administrator agrees to take such action, those actions taken shall be deemed part of the Exhibit C. Additionally, the Trustees of the Trust shall cause the officers, advisor, distributor, legal counsel, independent accountants, custodian, fund accountant and transfer agent for the Funds to cooperate with the Administrator and to provide the Administrator, upon request, with such information, documents and advice relating to the Trust and/or the Funds as is within the possession or knowledge of such persons, in order to enable the Administrator to perform its duties. EXHIBIT D to Mutual Fund Services Agreement
Regulatory Affairs and Corporate Governance. A. Provide support with respect to collection of quarterly materials for Board meetings.
Regulatory Affairs and Corporate Governance. A. Prepare and file post-effective amendments to the Fund's registration statement and supplements as needed.
Regulatory Affairs and Corporate Governance a. Oversee the maintenance by the Funds' custodian of certain books and records of the Funds as required under Rule 31a-1(b) of the 1940 Act.
Regulatory Affairs and Corporate Governance. A. Prepare and file post-effective amendments to the Fund's registration statement on Form N-1A and supplements as needed.
Regulatory Affairs and Corporate Governance. A. Prospectus/SAI updates. Prepare and file post-effective amendments to the Fund's registration statement for annual prospectus update purposes; prepare and file prospectus stickers or supplements with respect to routine items for existing Portfolios.
