SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s AML officer for review. UMBFS 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 UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “joint filing” in the narrative section.
Appears in 12 contracts
Samples: Transfer Agency Agreement (Fpa Funds Trust), Transfer Agency Agreement (Vericimetry Funds), Transfer Agency Agreement (Bragg Capital Trust)
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the TrustCompany’s AML officer for review. UMBFS 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 UMBFS and the TrustCompany. Accordingly, the SAR shall include the name of both UMBFS and the TrustCompany, and shall include the words, “joint filing” in the narrative section.
Appears in 4 contracts
Samples: Transfer Agency Agreement (Fpa Paramount Fund Inc), Transfer Agency Agreement (Fpa New Income Inc), Transfer Agency Agreement (Fpa Capital Fund Inc)
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall use its best efforts to send a copy to the Trust’s AML officer for reviewreview no later than 20 days following the identification of such Suspicious Activity. UMBFS 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 UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “joint filing” in the narrative section.
Appears in 3 contracts
Samples: Transfer Agency Agreement (SteelPath MLP Funds Trust), Transfer Agency Agreement (Alerian MLP Funds Trust), Transfer Agency Agreement (Alerian MLP Funds Trust)
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s 's AML officer for review. UMBFS shall complete each SAR in accordance with the procedures set forth in 31 CFR §Section 103.15(a)(3), with the intent to satisfy the reporting obligation of both UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “"joint filing” " in the narrative section.
Appears in 3 contracts
Samples: Transfer Agency Agreement (Stewart Capital Mutual Funds), Transfer Agency Agreement (Giant 5 Funds), Transfer Agency Agreement (Stewart Capital Mutual Funds)
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s AML compliance officer for review. UMBFS 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 UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “joint filing” in the narrative section.
Appears in 2 contracts
Samples: Transfer Agency Agreement (Investment Managers Series Trust), Transfer Agency Agreement (Investment Managers Series Trust)
SAR Filing Procedures. A. (A) When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the TrustTransfer Agent’s AML officer for review. UMBFS 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 UMBFS each UMBFS, the Transfer Agent and the TrustCorporation. Accordingly, the SAR shall include the name of both UMBFS each UMBFS, the Transfer Agent and the TrustCorporation, and shall include the words, “joint filing” in the narrative section.
Appears in 1 contract
Samples: Sub Transfer Agency Agreement (Lee Financial Mutual Fund, Inc.)
SAR Filing Procedures. A. (A) When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s 's AML officer for review. UMBFS shall complete each SAR in accordance with the procedures set forth in 31 CFR §103.15(a)(3§ I 03.1 S(a)(3), with the intent to satisfy the reporting rep011ing obligation of both UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “"joint filing” " in the narrative section.
Appears in 1 contract
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s 's AML officer for review. UMBFS 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 UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “"joint filing” " in the narrative section.
Appears in 1 contract
Samples: Form of Transfer Agency Agreement (Vericimetry Funds)
SAR Filing Procedures. A. When UMBFS observes any Suspicious Activity, UMBFS shall prepare a draft of a SAR on Form SAR-SF, and shall send a copy to the Trust’s AML officer for reviewreview no later than 20 days following the identification of such Suspicious Activity. UMBFS 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 UMBFS and the Trust. Accordingly, the SAR shall include the name of both UMBFS and the Trust, and shall include the words, “joint filing” in the narrative section.
Appears in 1 contract
