SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the Fund. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative section.
Appears in 18 contracts
Samples: Transfer Agency Agreement (Hamilton Lane Private Infrastructure Fund), Transfer Agency Agreement (SKK Access Income Fund), Transfer Agency Agreement (Jackson Credit Opportunities Fund)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the FundTrust’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, “joint filing” in the narrative section.
Appears in 14 contracts
Samples: Transfer Agency Agreement (BCM Focus Funds), Transfer Agency Agreement (Alger Portfolios), Transfer Agency Agreement (Alger Institutional Funds)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s AML officer Fund for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the Fund. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative section.
Appears in 5 contracts
Samples: Transfer Agency Agreement (StepStone Private Credit Income Fund), Transfer Agency Agreement (StepStone Private Markets), Transfer Agency Agreement (StepStone Private Infrastructure Fund)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s AML officer xxxx.xxx@xxxxxxxxxxxxx.xxx for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the Fund. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative section.
Appears in 4 contracts
Samples: Transfer Agency Agreement (Tactical Diversified Futures Fund L.P.), Transfer Agency Agreement (Managed Futures Premier Graham L.P.), Transfer Agency Agreement (Ceres Tactical Macro L.P.)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on FinCEN SAR Form SAR-SF111, and shall send a copy to the Fund’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3§ 1024.320(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the Fund. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative section.
Appears in 3 contracts
Samples: Transfer Agency Agreement (Jackson Real Assets Fund), Transfer Agency Agreement (Jackson Real Assets Fund), Transfer Agency Agreement (Jackson Credit Opportunities Fund)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the FundTrust’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative sectionTrust.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Smead Funds Trust), Transfer Agency Agreement (Brinker Capital Destinations Trust)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the FundTrust’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, words “joint filing” in the narrative section.
Appears in 1 contract
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s Trust's AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3[section]103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, “"joint filing” " in the narrative section.
Appears in 1 contract
Samples: Transfer Agency Agreement (Community Development Fund)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on FinCEN SAR Form SAR-SF111, and shall send a copy to the FundTrust’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3§ 1024.320(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, “joint filing” in the narrative section.
Appears in 1 contract
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the FundTrust’s AML compliance officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, “joint filing” in the narrative section.
Appears in 1 contract
Samples: Transfer Agency Agreement (Investment Managers Series Trust II)
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s Trust's AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the FundTrust, and shall include the words, “"joint filing” " in the narrative section.
Appears in 1 contract
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the FundTrust’s AML compliance officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the FundTrust. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative sectionTrust.
Appears in 1 contract
SAR Filing Procedures. (A) When Transfer Agent observes any Suspicious Activity, Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Fund’s AML officer for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 CFR §§ 103.15(a)(3), with the intent to satisfy the reporting obligation of both Transfer Agent and the Fund. Accordingly, the SAR shall include the name of both Transfer Agent and the Fund, and shall include the words, “joint filing” in the narrative section.
Appears in 1 contract
Samples: Transfer Agency Agreement (A3 Alternative Credit Fund)
