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.
B. Assist with the layout and printing of prospectuses and supplements and coordinate the distribution of prospectuses and supplements.
C. Coordinate gathering of proxy voting information pertaining to proxy votes on Fund holdings and coordinate the drafting and filing of the Funds’ proxy voting record information (as approved by the Adviser) on Form N-PX.
X. Xxxxxxx, in consultation with legal counsel to the Trust, SEC exemptive order requests and no-action letter requests as deemed necessary or appropriate.
X. Xxxxxxx and administer the following materials in connection with shareholder meetings:
(i) Prepare proxy materials in conjunction with legal counsel to the Trust and file such materials with the SEC;
(ii) Coordinate the printing and distribution of proxy materials;
(iii) Coordinate record holder research and tabulation;
(iv) Prepare for, attend and prepare minutes of shareholder meetings; and
(v) Administer shareholder meetings;
X. Xxxxxx and coordinate all Board meetings, including (i) prepare Board books and collect background information, reports and data from appropriate parties to prepare Board books; (ii) coordinate Board book production and distribution, (iii) subject to review and approval by legal counsel, prepare Board meeting and Board Committee meeting agendas, resolutions, and minutes, (iv) assist the Board by gathering industry and Fund information related to annual contract renewals and approval of Fund-related plans, policies and procedures; (v) attend Board meetings and record the minutes; (vi) coordinate with third parties regarding the preparation and scheduling of presentations and reports to the Board; (vii) render to the Board such periodic or special reports as the Board may reasonably request; and (viii) perform such other Board meeting functions as agreed from time to time.
G. Follow up on matters related to Administrator’s responsibilities under this Agreement that are raised at all Board meetings.
X. Xxxxxx in the preparation and distribution of Trustee/Officer Questionnaires; assist in the review of completed Questionnaires.
I. In coordination with the Adviser, make reports and recommendations to the Board concerning the administr...
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.
B. Prepare and file proxy materials and administer shareholder meetings.
C. Prepare minutes, and follow up on matters related to the Administrator's responsibilities under this Agreement that are raised at all Board meetings.
D. In coordination with the investment adviser, make reports and recommendations to the Board concerning the performance of the investment adviser and other service providers for the Trust, as the Board may reasonably request.
E. Supervise the preparation and filing with the SEC of Rule 24f-2 Notices (and all similar state filings, if required by the states). The Administrator shall not be responsible for preparing any legal opinions required in connection with Rule 24f-2 Notices.
F. Review and monitor the fidelity bond and errors and omissions insurance coverage and the submission of any related regulatory filings.
G. Prepare and update documents, such as charter document, by-laws, and foreign qualification filings.
H. Provide support and counsel with respect to routine regulatory examinations or investigations of the Trust and work closely with the Trust's legal counsel in response to any non-routine regulatory matters. Also, coordinate all communications and data collection with regard to any regulatory examinations and yearly audits by independent accountants.
I. Maintain general corporate calendar.
J. Assist with preparations for, attend and prepare minutes of shareholder meetings.
K. When requested, provide consultation on regulatory matters relating to portfolio management, Trust operations and any potential changes in each Fund's investment policies, operations or structure.
L. Maintain continuing awareness of significant emerging regulatory and legislative developments which may affect each Fund, update the Board and the investment adviser on those developments and provide related planning assistance where reasonably requested or appropriate.
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.
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. 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.
B. Administer shareholder meetings, and assist fund counsel in the preparation and filing of proxy materials.
C. Prepare and file Rule 24f-2 notices.
D. Prepare and file all state notifications of intent to sell the fund's securities including annual renewals, adding new portfolios, preparing and filing sales reports, filing copies of the registration statement and final prospectus and statement of additional information, and increasing registered amounts of securities in individual states.
E. Prepare Board materials for all Board meetings.
F. Assist with the review and monitoring of fidelity bond and errors and omissions insurance coverage and make any related regulatory filings.
G. Prepare and update documents such as charter document, By-Laws, foreign qualification filings.
H. Assist in identifying and monitoring pertinent regulatory and legislative developments which may affect the fund and, in response to the results of such monitoring, coordinate and provide support to the fund and the fund's investment adviser with respect to those developments and results, including support with respect to routine regulatory examinations or investigations of the fund, and with respect to such matters, to work in conjunction with outside counsel, auditors and other professional organizations engaged by the fund.
I. File copies of financial reports to shareholders with the SEC under Rule 30b2-1.
Regulatory Affairs and Corporate Governance. A. Provide support with respect to collection of quarterly materials for Board meetings.
B. Provide support with respect to routine regulatory examinations or investigations of the Trust.
C. Prepare Rule 24f-2 Notices and file with the SEC.
D. Prepare and distribute updates to the Trust’s compliance manual.
Regulatory Affairs and Corporate Governance. 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.
B. Prepare and file proxy materials and administer shareholder meetings.
C. Prepare and file all state registrations of the Fund's securities including annual renewals, registering new Portfolios, preparing and filing sales reports, filing copies of the registration statement and final prospectus and statement of additional information, and increasing registered amounts of securities in individual states.
D. Prepare Board materials for all Board meetings.
E. Assist with the review and monitoring of fidelity bond and errors and omissions insurance coverage and make any related regulatory filings.
F. Prepare and update documents such as charter document, by-laws, foreign qualification filings.
G. Prepare and file Rule 24f-2 Notice.
H. Assist in identifying and monitoring pertinent regulatory and legislative developments which may affect the Fund and, in response to the results of such monitoring, coordinate and provide support to UAMFSI, the Fund and the Fund's investment adviser with respect to those developments and results, including support with respect to routine regulatory examinations or investigations of the Fund, and with respect to such matters, to work in conjunction with outside counsel, auditors and other professional organizations engaged by the Fund.
I. File copies of financial reports to shareholders with the SEC under Rule 30b2-1.
J. Liaison with the Fund's Distributor and outside counsel.
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.
B. Administer shareholder meetings, and assist Fund counsel in the preparation and filing of proxy materials. Unified Fund Services, Inc. 04/20/2005 Unified Series Trust - 17
C. Prepare and file Rule 24f-2 notices.
D. Prepare and file all state notifications of intent to sell the Portfolios’ securities including annual renewals, adding new Portfolios, preparing and filing sales reports, filing copies of the registration statement and final prospectuses and statements of additional information, and increasing registered amounts of securities in individual states.
E. Prepare Board materials for all Board meetings.
F. Monitor fidelity bond and errors and omissions insurance coverage and make any related regulatory filings.
G. Prepare and update documents such as charter document, By-Laws, foreign qualification filings.
H. Assist in identifying and monitoring pertinent regulatory and legislative developments which may affect the Portfolios and, in response to the results of such monitoring, coordinate and provide support to the Portfolios and their advisors and sub-advisors with respect to those developments and results, including support with respect to routine regulatory examinations or investigations of a Portfolio, and with respect to such matters, to work in conjunction with outside counsel, auditors and other professional organizations engaged by the Fund.
I. File copies of financial reports to shareholders with the SEC under Rule 30b2-1.
Regulatory Affairs and Corporate Governance. A. Prepare and file post-effective amendments to the Fund's registration statement and supplements as needed.
B. Prepare and file proxy materials and administer shareholder meetings.
C. Prepare and file all state registrations of the Fund's securities including annual renewals; registering new funds, portfolios, or classes; preparing and filing sales reports; filing copies of the registration statement, prospectus and statement of additional information; and increasing registered amounts of securities in individual states.
D. Prepare Board materials for Board meetings.
E. Assist with the review and monitoring of fidelity bond and errors and omissions insurance coverage and the submission of any related regulatory filings.
F. Prepare and update documents such as charter document, by-laws, and foreign qualification filings.
G. Provide support with respect to routine regulatory examinations or investigations of the Fund.
H. File copies of financial reports to shareholders with the SEC under Rule 30b2-1.
