Required Records. The AML Compliance Officer shall maintain records documenting each Fund's compliance with this AML Program, including: * the assurances received from Service Providers regarding the nature and extent of their anti-money laundering programs, as well as other records relating to the evaluation of Service Providers; * all Suspicious Activity Referral Forms and Suspicious Activity Investigation Forms, and any SARs filed by the Fund, along with all supporting documentation; * the AML Compliance Officer's annual report to the Board of Directors; * the minutes from any meeting of the Board of Directors at which this Program was reviewed and approved; * all documentation relating to education and training under this Program, including the date of each training session, the attendees, the topics covered and the training materials disseminated; and * the annual audit report prepared by an independent third party.
Appears in 36 contracts
Samples: Principal Underwriting Agreement (Waddell & Reed Advisors Cash Management Inc), Shareholder Servicing Agreement (Waddell & Reed Advisors Retirement Shares Inc), Shareholder Servicing Agreement (Waddell & Reed Advisors Vanguard Fund Inc)
Required Records. The AML Compliance Officer shall maintain records documenting each Fund's compliance with this AML Program, including: * the assurances received from Service Providers regarding the nature and extent of their anti-money laundering programs, as well as other records relating to the evaluation of Service Providers; * all Suspicious Activity Referral Forms and Suspicious Activity Investigation Forms, and any SARs filed by the Fund, along with all supporting documentation; * the AML Compliance Officer's annual report to the Board of Directors; * the minutes from any meeting of the Board of Directors at which this Program was reviewed and approved; * all documentation relating to education and training under this Program, including the date of each training session, the attendees, the topics covered and the training materials disseminated; and * the annual audit report prepared by an independent third party.
Appears in 2 contracts
Samples: Shareholder Servicing Agreement (Waddell & Reed Advisors Select Funds Inc), Underwriting Agreement (Waddell & Reed Advisors Select Funds Inc)