REGULATORY AND COMPLIANCE SUPPORT SERVICES Sample Clauses

REGULATORY AND COMPLIANCE SUPPORT SERVICES. Regulatory and Compliance Support Services Administrator Services Responsibility of the Fund or its Delegate Financial Statements and Regulatory Reporting • Prepare the Fund's financial statements for review by Fund management and independent auditors, manage annual and semi-annual report preparation process, prepare Forms N-CEN, N-PORT, N-Q, N-CSR and N-PX, annual fidelity bond, provide Fund performance data for annual report, coordinate printing and delivery of annual and semi-annual reports to shareholders, and file annual fidelity bond, Forms N-CEN, N-PORT, N-Q, N-CSR and N-PX and annual/semi-annual reports via EXXXX; • Review Fund's financial statements. Regulatory Matters • Provide consultation to the Fund on regulatory matters relating to the operation of Fund as requested and coordinate with Fund's legal counsel regarding such matters; • Prepare and file the Fund’s fidelity bond coverage on Form 40-17(g) • Fully cooperate with request from government regulators. Regulatory Examinations • Assist the Fund in handling and responding to routine regulatory examinations with respect to records retained or services provided by the Administrator, and coordinate with Fund's legal counsel in responding to any non-routine regulatory matters with respect to such matters; SEI – 296447 THIS DOCUMENT CONSTITUTES CONFIDENTIAL INFORMATION OF SEI GLOBAL SERVICES, INC. State Registration • Coordinate as necessary the registration or qualification of shares of the Fund with appropriate state securities authorities if applicable; • Provide list of states for registration.
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REGULATORY AND COMPLIANCE SUPPORT SERVICES. REGULATORY AND COMPLIANCE RESPONSIBILITY OF THE TRUST OR ITS SUPPORT ADMINISTRATOR SERVICES DELEGATE SERVICES -------------- ----------------------------------------------- --- ---------------------------------- Financial o Prepare the Trust's financial o Review Trust's financial Statements and statements for review by Trust statements. Regulatory management and independent Reporting auditors, manage annual and semi- annual report preparation process, prepare Forms N-SAR, N-Q, N-CSR and N-PX, provide Trust performance data for annual report, coordinate printing and delivery of annual and semi-annual reports to shareholders, and file Forms N-SAR, N-Q, N-CSR and N-PX and annual/semi-annual reports via EDGAR; ------ ------- ----------------------------------------------- --- ---------------------------------- Regulatory o Provide consultation to the Trust on o Fully cooperate with request from Matters regulatory matters relating to the government regulators. operation of Trust as requested and coordinate with Trust's legal counsel regarding such matters; ------ ------- ----------------------------------------------- --- ---------------------------------- Regulatory o Assist the Trust in handling and Examinations responding to routine regulatory examinations with respect to records retained or services provided by the Administrator, and coordinate with Trust's legal counsel in responding to any non-routine regulatory matters with respect to such matters; ------ ------- ----------------------------------------------- --- ---------------------------------- State o Coordinate as necessary the o Provide list of states for Registration registration or qualification of shares of registration. the Trust with appropriate state securities authorities if applicable; ------ ------- ----------------------------------------------- --- ---------------------------------- Compliance o On a T+2 post-trade basis and based o Primary day-to-day responsibility on the information available to the for assuring compliance, including Administrator, periodically monitor the on a pre-trade basis. portfolios of the Trust for compliance with applicable limitations as set forth in the Trust's then current Prospectuses or Statements of Additional Information (this provision shall not relieve Trust's investment adviser and sub-advisers, if any, of their primary day-to-day responsibility for assuring such compliance, including on a pre-trade basis). ------ ------- ----------------------------...
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REGULATORY AND COMPLIANCE SUPPORT SERVICES. 1. Provide complaint information/documentation support to Customer.
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REGULATORY AND COMPLIANCE SUPPORT SERVICES. 1. Maintaining a complete and accurate log of complaints received directly at IBM IOS.
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REGULATORY AND COMPLIANCE SUPPORT SERVICES. Regulatory and Compliance Support Services Administrator Services Responsibility of the Trust or its Delegate Financial Statements and Regulatory Reporting • Prepare the Trust’s financial statements for review by Trust management and independent auditors, manage annual and semi-annual report preparation process, provide fund performance data for annual report, coordinate printing and delivery of annual and semi-annual reports to shareholders, and coordinate the preparation and filing of the following Forms and shareholder reports with the SEC via XXXXX: Forms N-SAR, N-Q, N-CSR, N-CEN, N-PORT and 24f-2 and annual/semi-annual reports and such other reports, forms or filings as may be mutually agreed upon from time to time, and coordinate printing and filing with printing provider • Review Trust’s financial statements SEI – 273023 THIS DOCUMENT CONSTITUTES CONFIDENTIAL INFORMATION OF SEI INVESTMENTS GLOBAL FUNDS SERVICES
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REGULATORY AND COMPLIANCE SUPPORT SERVICES. 1. Maintaining a complete and accurate log of complaints.
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Related to REGULATORY AND COMPLIANCE SUPPORT SERVICES

  • Compliance Support Services Provide compliance policies and procedures related to services provided by BNY Mellon and, if mutually agreed, certain of the BNY Mellon Affiliates; summary procedures thereof; and periodic certification letters. · Such Compliance Support Services are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of a Fund or any other person, and such services are subject to review and approval by the applicable Fund and by the Fund’s legal counsel. · Provide access to Fund records so as to permit the Fund or TRP to test the performance of BNY Mellon in providing the services under this Agreement. · Such Compliance Support Services performed by BNY Mellon under this Agreement shall be at the request and direction of the Fund and/or its chief compliance officer (the “Fund’s CCO”), as applicable. BNY Mellon disclaims liability to the Fund, and the Fund is solely responsible, for the selection, qualifications and performance of the Fund’s CCO and the adequacy and effectiveness of the Fund’s compliance program.

  • Compliance Services (a) If Schedule I contains a requirement for the BNY to provide the Fund with compliance services, such services shall be provided pursuant to the terms of this Section 6 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between the BNY and each Fund, and the results of the BNY’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Fund. The BNY shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.

  • Regulatory Compliance Cooperation (a) CIT/VC agrees to use commercially reasonable best efforts to avoid the occurrence of a Regulatory Problem. In the event that CIT/VC determines that it has a Regulatory Problem, the Company agrees to use commercially reasonable efforts to take all such actions as are reasonably requested by CIT/VC in order (A) to effectuate and facilitate any transfer by CIT/VC of any Securities of the Company then held by CIT/VC to any Person designated by CIT/VC (subject, however, to compliance with Section 3 of this Agreement), (B) to permit CIT/VC (or any Affiliate of CIT/VC) to exchange all or any portion of the voting Securities of the Company then held by such Person on a share-for-share basis for shares of a class of non-voting Securities of the Company, which non-voting Securities shall be identical in all respects to such voting Securities, except that such new Securities shall be non-voting and shall be convertible into voting Securities on such terms as are requested by CIT/VC in light of regulatory considerations then prevailing, and (C) to continue and preserve the respective allocation of the voting interests with respect to the Company arising out of CIT/VC's ownership of voting Securities of the Company and/or provided for in this Agreement before the transfers and amendments referred to above (including entering into such additional agreements as are requested by CIT/VC to permit any Person(s) designated by CIT/VC to exercise any voting power which is relinquished by CIT/VC upon any exchange of voting Securities for nonvoting Securities of the Company); and the Company shall enter into such additional agreements, adopt such amendments to this Agreement, the Company's Charter and the Company's By-laws and other relevant agreements and taking such additional actions, in each case as are reasonably requested by CIT/VC in order to effectuate the intent of the foregoing. If CIT/VC elects to transfer Securities of the Company to a Regulated Holder in order to avoid a Regulatory Problem, the Company shall enter into such agreements with such Regulated Holder as it may reasonably request in order to assist such Regulated Holder in complying with applicable laws, and regulations to which it is subject. Such agreements may include restrictions on the 39. redemption, repurchase or retirement of Securities of the Company that would result or be reasonably expected to result in such Regulated Holder holding more voting securities or total securities (equity and debt) than it is permitted to hold under such laws and regulations.

  • Support Services Other than the assistance provided in the Information, the BNPP Entities do not offer any support services in connection with the Software.

  • TECHNICAL SUPPORT SERVICES 2.1 The technical support services (the "Services"): Party A agrees to provide to Party B the relevant services requested by Party B, which are specified in Exhibit 1 attached hereto ("Exhibit 1").

  • Money Market Fund Compliance Testing and Reporting Services Subject to the authorization and direction of the Trust and, in each case where appropriate, the review and comment by the Trust’s independent accountants and legal counsel, and in accordance with procedures that may be established from time to time between the Trust and the Administrator, the Administrator will:

  • TAX SUPPORT SERVICES BNY Mellon shall provide the following tax support services for each Fund:  Provide various data and reports as agreed upon in the SLDs to support TRP’s tax reporting and tax filing obligations, including: · Wash sales reporting; · QDI reporting; · DRD reporting; · PFIC analysis; · Straddle analysis; · Paydown adjustments; · Equalization debit adjustments · Tax compliance under §851, §817(h); · Foreign bond sale analysis (§988); · Troubled debt analysis; · Estimation of income for excise tax purposes; · Swap analysis; · Inflation adjustments; · §1256 adjustments; · Market discount analysis; OID adjustments; · CPDI analysis; · Shareholder tax reporting information (e.g. FTC, UGG income, foreign source income by country, exempt income by state);  Provide data, and reports based on such data, maintained by BNY Mellon on its fund accounting platform as reasonably requested by TRP to support TRP’s obligations to comply with requests from tax authorities and TRP’s tax reporting and tax filing obligations.  Assist with other tax-related data needs as mutually agreed upon in writing from time-to-time.

  • Clinical Data and Regulatory Compliance The preclinical tests and clinical trials conducted by the Company, and to the knowledge of the Company, the preclinical tests and clinical trials conducted on behalf of or sponsored by the Company, that are described in, or the results of which are referred to in, the Registration Statement, the Time of Sale Prospectus or the Prospectus were and, if still pending, are being conducted in all material respects in accordance with the protocols, procedures and controls designed and approved for such studies and with standard medical and scientific research procedures and all applicable laws and regulations, including, without limitation, 21 C.F.R. Parts 50, 54, 56, 58, and 312; each description of the results of such studies is accurate and complete in all material respects and fairly presents the data derived from such studies, and the Company and its subsidiaries have no knowledge of any other studies the results of which are inconsistent with, or otherwise call into question, the results described or referred to in the Registration Statement, the Time of Sale Prospectuses or the Prospectus; the Company and its subsidiaries have made all such filings and obtained all such Permits as may be required by the Food and Drug Administration of the U.S. Department of Health and Human Services or any committee thereof or from any other U.S. or foreign government or drug or medical device regulatory agency, or health care facility Institutional Review Board (collectively, the “Regulatory Agencies”) for the operation of the Company’s business as currently conducted, except as would not, individually or in the aggregate, reasonably be expected to have a Material Adverse Effect; neither the Company nor any of its subsidiaries has received any notice of, or correspondence from, any Regulatory Agency requiring the termination, suspension or modification of any clinical trials that are described or referred to in the Registration Statement, the Time of Sale Prospectus or the Prospectus; and the Company and its subsidiaries have each operated and currently are in compliance in all material respects with all applicable rules and regulations of the Regulatory Agencies except as would not, individually or in the aggregate, reasonably be expected to have a Material Adverse Effect.

  • Commercialization Reports After the First Commercial Sale of a Licensed Product anywhere in the Territory, LICENSEE shall submit to Cornell semi-annual reports on or before each February 28 and August 31 of each year. Each report shall cover LICENSEE’s (and each Affiliate’s and Sublicensee’s) most recently completed calendar half-year and shall show:

  • Maintenance and Support Services Distributor shall provide Maintenance and Support Services to all of its Customers of Licensed Software as set forth in Sections 3.4(a) and 3.4(b) below. Distributor may require Customers to provide the own First-Line Support: however, in no event shall Siebel be responsible for First-Line or Second-Line Support. Subject to Distributor's payment of the Maintenance Fees set forth in EXHIBIT A Siebel shall provide Third-Line Support to Distributor in accordance with Siebel's then current Maintenance and Support Services Policy. Distributor shall be responsible for all support related to the Value Added Offering.

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