Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that: 4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts. 4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent. 4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts. 4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement. 4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. 4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 24 contracts
Samples: Transfer Agency and Service Agreement, Transfer Agency and Service Agreement, Transfer Agency and Service Agreement (Homestead Funds Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is a duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “"1934 Act”"), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 13 contracts
Samples: Transfer Agency and Service Agreement (Selected American Shares Inc), Transfer Agency and Service Agreement (Davis Variable Account Fund Inc), Transfer Agency and Service Agreement (Selected International Fund, Inc)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 3.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 3.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 3.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 3.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 3.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 3.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 5 contracts
Samples: Transfer Agency and Service Agreement (Nuveen Investment Trust Iii), Transfer Agency and Service Agreement (Nuveen Municipal Trust/Ma), Transfer Agency and Service Agreement (Nuveen Investment Funds Inc)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
4.7 It will comply with all federal and state securities laws, rules and regulations applicable to the performance of its obligations under this Agreement as such are applicable to its transfer agency business.
Appears in 3 contracts
Samples: Transfer Agency and Service Agreement (Alpine Income Trust), Transfer Agency and Service Agreement (Alpine Series Trust), Transfer Agency and Service Agreement (Alpine Equity Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is a duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (CGM Trust), Transfer Agency and Service Agreement (Scottish Widows Investment Partnership Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund and the Sub-Transfer Agent that:
4.1 3.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 3.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 3.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 3.4 It is empowered under applicable laws and by its Articles of Organization Incorporation and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 3.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 3.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 2 contracts
Samples: Transfer Agency, Sub Transfer Agency and Service Agreement, Transfer Agency Agreement (Marshall Funds Inc)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the each Fund that:
4.1 3.1 It is a corporation duly organized and existing and in good standing under the laws of The the Commonwealth of Massachusetts.
4.2 3.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 3.3 It is duly qualified to carry on its business in The the Commonwealth of Massachusetts.
4.4 3.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 3.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 3.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
3.7 It shall comply in all material respects with all laws, rules and regulations, including all provisions of the 1934 Act and the rules thereunder and all state laws, rules and regulations applicable to its transfer agency business.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Ssga Funds), Transfer Agency and Service Agreement (State Street Institutional Investment Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth Common wealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will \viii continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Highland Global Allocation Fund), Transfer Agency and Service Agreement (Highland Global Allocation Fund Ii)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund Trust that:
4.1 It is a corporation trust company duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent to the extent required under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”)amended, and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund Trust in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization Charter and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Neuberger Berman Advisers Management Trust), Transfer Agency and Service Agreement (Lehman Brothers Reserve Liquidity Series)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 5.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 5.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 5.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 5.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 5.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
4.7 It shall comply in all material respects with all laws, rules and regulations, including all provisions of the 1934 Act and the rules thereunder and all state laws, rules and regulations applicable to its transfer agency business.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (State Street Institutional Investment Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agenttransferagent.
4.3 It is duly qualified to carry on its business in The Commonwealth Common wealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will \viii continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Highland Floating Rate Opportunities Fund Ii)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation trust company duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “"1934 Act”"), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization by its Charter and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Gabelli SRI Fund, Inc.)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
4.7 It will comply with all federal and state securities laws, rules, regulations and guidance, and self-regulatory organization rules and guidance applicable to the performance of its obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Credit Suisse Commodity Return Strategy Fund)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.. PAX WORLD MUTUAL FUNDS 9
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Pax World Funds Series Trust I)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund Funds that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund Funds in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Sentinel Group Funds Inc)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
4.7 It will comply with all federal and state securities laws, rules and regulations applicable to the performance of its obligations under this Agreement as such are applicable to its transfer agency business, including applicable federal and state privacy laws.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (MARSHALL FUNDS INC D/B/a BMO FUNDS)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 5.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 5.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 5.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 5.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 5.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 5.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
5.7 It shall comply in all material respects with all laws, rules and regulations, including all provisions of the 1934 Act and the rules thereunder and all state laws, rules and regulations applicable to its transfer agency business.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Rs Investment Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund Trust that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (Lincoln Advisors Trust)
Representations and Warranties of the Transfer Agent. The Transfer Agent represents and warrants to the Fund that:
4.1 It is a corporation duly organized and existing and in good standing under the laws of The Commonwealth of Massachusetts.
4.2 It is duly registered as a transfer agent under Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and it will remain so registered for the duration of this Agreement. It will promptly notify the Fund in the event of any material change in its status as a registered transfer agent.
4.3 It is duly qualified to carry on its business in The Commonwealth of Massachusetts.
4.4 It is empowered under applicable laws and by its Articles of Organization and By-Laws to enter into and perform the services contemplated in this Agreement.
4.5 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.
4.6 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.
4.7 It is in compliance with all material federal and state laws, rules and regulations applicable to its transfer agency business and the performance of its duties, obligations and services under this Agreement.
Appears in 1 contract
Samples: Transfer Agency and Service Agreement (AllianzGI Institutional Multi-Series Trust)
