Common use of SAR Filing Procedures Clause in Contracts

SAR Filing Procedures. (A) If Transfer Agent observes any Suspicious Activity, it shall prepare and send a draft SAR 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 Parties. Accordingly, the SAR shall include the name of both Parties and the words “joint filing” in the narrative section. (B) The Fund’s AML officer shall review the SAR and provide comments (if any) to Transfer Agent within a time frame sufficient to permit Transfer Agent to file the SAR in accordance with the deadline set forth in 31 CFR §103.15(b)(3). Upon receipt of final approval from the Fund’s AML officer, Transfer Agent (or its affiliate) shall file the SAR in accordance with the procedures set forth in 31 CFR §103.15(b). (C) Transfer Agent shall provide a copy of each SAR filed (with supporting documentation) to the Fund. In addition, Transfer Agent shall maintain a copy of the same for a period of at least 5 years from the date of the SAR filing. (D) Nothing in this Agreement shall prevent either Party from making a determination that it has an obligation under the USA PATRIOT Act of 2001 to file a SAR relating to any Suspicious Activity and from making such filing independent of the other Party.

SAR Filing Procedures. (A) If When Transfer Agent observes any Suspicious Activity, it Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a draft SAR copy to the Fund’s AML officer Investment Adviser for review. Transfer Agent shall complete each SAR in accordance with the procedures set forth in 31 12 CFR §103.15(a)(3)21.11 , with the intent to satisfy the reporting obligation of both PartiesTransfer Agent and the Fund. Accordingly, the SAR shall include the name of both Parties Transfer Agent and the words Fund, and shall include the words, “joint filing” in the narrative section. (B) The Fund’s AML officer Investment Adviser shall review the SAR and provide comments (comments, if any) , to Transfer Agent within a time frame sufficient to permit Transfer Agent to file the SAR in accordance with the deadline set forth in 31 12 CFR §103.15(b)(3)21.11 . Upon receipt of final approval from the Fund’s AML officerInvestment Adviser, Transfer Agent (or its affiliate) shall file the SAR in accordance with the procedures set forth in 31 12 CFR §103.15(b)21.11 . (C) Transfer Agent shall provide to the Fund a copy of each SAR filed (filed, together with supporting documentation) to the Fund. In addition, Transfer Agent shall maintain a copy of the same for a period of at least 5 five (5) years from the date of the SAR filing. (D) Nothing in this Agreement shall prevent either Party party from making a determination that it such party has an obligation under the USA PATRIOT Act of 2001 to file a SAR relating to any Suspicious Activity Activity, and from making such filing independent of the other Partyparty hereto.

SAR Filing Procedures. (A) If When Transfer Agent observes any Suspicious Activity, it Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a draft SAR 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 PartiesTransfer Agent and the Trust. Accordingly, the SAR shall include the name of both Parties Transfer Agent and the words “joint filing” in the narrative sectionTrust. (B) The FundTrust’s AML officer shall be provided an opportunity to review the SAR and provide comments (comments, if any) , to Transfer Agent within a time frame sufficient to permit Transfer Agent to file the SAR in accordance with the deadline set forth in 31 CFR §§ 103.15(b)(3). Upon receipt of final approval from the Fund’s AML officer, Transfer Agent (or its affiliate) shall file the SAR in accordance with the procedures set forth in 31 CFR §§ 103.15(b). (C) Transfer Agent shall provide to the Trust a copy of each SAR filed (filed, together with supporting documentation) to the Fund. In addition, Transfer Agent shall maintain a copy of the same for a period of at least 5 five (5) years from the date of the SAR filing. (D) Nothing in this Agreement shall prevent either Party party from making a determination that it such party has an obligation under the USA PATRIOT Act of 2001 to file a SAR relating to any Suspicious Activity Activity, and from making such filing independent of the other Partyparty hereto.

SAR Filing Procedures. (A) If When Transfer Agent observes any Suspicious Activity, it Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a draft SAR 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 PartiesTransfer Agent and the Trust. Accordingly, the SAR shall include the name of both Parties Transfer Agent and the words “joint filing” in the narrative sectionTrust. (B) The FundTrust’s AML officer shall be provided an opportunity to review the SAR and provide comments (comments, if any) , to Transfer Agent within a time frame sufficient to permit Transfer Agent to file the SAR in accordance with the deadline set forth in 31 CFR §103.15(b)(3). Upon receipt of final approval from the Fund’s AML officer, Transfer Agent (or its affiliate) shall file the SAR in accordance with the procedures set forth in 31 CFR §103.15(b). (C) Transfer Agent shall provide to the Trust a copy of each SAR filed (filed, together with supporting documentation) to the Fund. In addition, Transfer Agent shall maintain a copy of the same for a period of at least 5 five (5) years from the date of the SAR filing. (D) Nothing in this Agreement shall prevent either Party party from making a determination that it such party has an obligation under the USA PATRIOT Act of 2001 to file a SAR relating to any Suspicious Activity Activity, and from making such filing independent of the other Partyparty hereto.

SAR Filing Procedures. (A) If When Transfer Agent observes any Suspicious Activity, it Transfer Agent shall prepare a draft of a SAR on Form SAR-SF, and shall send a draft SAR 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 PartiesTransfer Agent and the Trust. Accordingly, the SAR shall include the name of both Parties Transfer Agent and the words “joint filing” in the narrative sectionTrust. (B) The FundTrust’s AML compliance officer shall review the SAR and provide comments (comments, if any) , to Transfer Agent within a time frame sufficient to permit Transfer Agent to file the SAR in accordance with the deadline set forth in 31 CFR §103.15(b)(3). Upon receipt of final approval from the Fund’s AML officer, Transfer Agent (or its affiliate) shall file the SAR in accordance with the procedures set forth in 31 CFR §103.15(b). (C) Transfer Agent shall provide to the Trust a copy of each SAR filed (filed, together with supporting documentation) to the Fund. In addition, Transfer Agent shall maintain a copy of the same for a period of at least 5 five (5) years from the date of the SAR filing. (D) Nothing in this Agreement shall prevent either Party party from making a determination that it such party has an obligation under the USA PATRIOT Act of 2001 to file a SAR relating to any Suspicious Activity Activity, and from making such filing independent of the other Partyparty hereto.