Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund: A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act. B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account. C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”). D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian. E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders. F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus. G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable. H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions. I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans). J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment). K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent. L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding. M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies. N. Mail shareholder reports and Prospectuses to current shareholders. O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders. P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust. Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations. R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state. S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder. T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 31 contracts
Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers), Transfer Agent Servicing Agreement (Hennessy SPARX Funds Trust), Transfer Agent Servicing Agreement (Trust for Professional Managers)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. H. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. I. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. J. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. K. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. L. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. M. Mail shareholder reports and Prospectuses to current shareholders.
O. N. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. O. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. P. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Q. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. R. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 10 contracts
Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers), Transfer Agent Servicing Agreement (Trust for Professional Managers), Transfer Agent Servicing Agreement (Trust for Professional Managers)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 5 contracts
Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers), Transfer Agent Servicing Agreement (Trust for Professional Managers), Transfer Agent Servicing Agreement (Trust for Professional Managers)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 5 contracts
Samples: Transfer Agent Servicing Agreement (Usa Mutuals), Transfer Agent Servicing Agreement (PRUDENT BEAR FUNDS INC C/O US Bancorp Fund Services, LLC), Transfer Agent Servicing Agreement (RBC Funds Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 3 contracts
Samples: Transfer Agent Servicing Agreement (Needham Funds Inc), Transfer Agent Servicing Agreement (Needham Funds Inc), Transfer Agent Servicing Agreement (IronBridge Funds, Inc.)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s 's custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ ' accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s 's prospectus (the “"Prospectus”").
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s 's agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ ' certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s 's duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “"as of” " processing errors for which USBFS is responsible in accordance with the “"as of” " processing guidelines set forth on Exhibit B hereto.
Appears in 3 contracts
Samples: Transfer Agent Servicing Agreement (Academy Funds Trust), Transfer Agent Servicing Agreement (Claymore Trust), Transfer Agent Servicing Agreement (Claymore Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the TrustCompany's custodian.
E. Pay monies upon receipt from the TrustCompany's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 3 contracts
Samples: Transfer Agent Servicing Agreement (Matrix Advisors Value Fund Inc), Transfer Agent Servicing Agreement (Perritt Microcap Opportunities Fund Inc), Transfer Agent Servicing Agreement (Perritt Funds Inc)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 3 contracts
Samples: Transfer Agent Servicing Agreement (MainGate Trust), Transfer Agent Servicing Agreement (EntrepreneurShares Series Trust), Transfer Agent Servicing Agreement (Cushing MLP Funds Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:Fund(s):
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. F. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. G. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. H. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. I. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. J. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. K. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. L. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. M. Record the issuance of shares of the each Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. N. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. O. Mail shareholder reports and Prospectuses to current shareholders.
O. P. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Q. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustMadison.
Q. R. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustTrusts, all as required by applicable federal tax laws and regulations.
R. S. Provide a Blue Sky system that will enable the Trust Madison to monitor the total number of shares of the each Fund sold in each state; provided that the TrustMadison, not USBFS, is is
T. responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. U. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. V. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 2 contracts
Samples: Transfer Agent Servicing Agreement (Madison Mosaic Government Money Market), Transfer Agent Servicing Agreement (Madison Mosaic Tax-Free Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 2 contracts
Samples: Transfer Agent Servicing Agreement (Henlopen Fund), Transfer Agent Servicing Agreement (Hennessy Funds Inc)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:Fund(s):
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. E. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. F. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. G. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. H. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. I. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the each Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. J. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. K. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. L. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. M. Record the issuance of shares of the each Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. N. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. O. Mail shareholder reports and Prospectuses to current shareholders.
O. P. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Q. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustMadison.
Q. R. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustTrusts, all as required by applicable federal tax laws and regulations.. 3/16/09
R. T. Provide a Blue Sky system that will enable the Trust Madison to monitor the total number of shares of the each Fund sold in each state; provided that the TrustMadison, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. U. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. V. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 2 contracts
Samples: Transfer Agent Servicing Agreement (Madison Mosaic Income Trust), Transfer Agent Servicing Agreement (Madison Mosaic Equity Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustFund’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the TrustFund's custodian.
E. Pay monies upon receipt from the TrustFund's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Fund with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustFund.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustFund, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Fund to monitor the total number of shares of the Fund sold in each state; provided that the TrustFund, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 2 contracts
Samples: Transfer Agent Servicing Agreement (Rochdale International Trade Fixed Income Fund), Transfer Agent Servicing Agreement (Cadogan Opportunistic Alternatives Fund, LLC)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCorporation’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Corporation’s custodian.
E. Pay monies upon receipt from the Trust's Corporation’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Corporation with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCorporation.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCorporation, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Kinetics Mutual Funds Inc)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B A hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, purchase and/or redemption repurchase of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustFund’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption repurchase requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Fund’s custodian.
E. Pay monies upon receipt from the Trust's Fund’s custodian, where relevant, in accordance with the instructions of redeeming shareholdersshareholders participating in a repurchase offer.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Fund with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions repurchases and other confirmable transactions as agreed upon with the TrustFund.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustFund, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Fund to monitor the total number of shares of the Fund sold in each state; provided that the TrustFund, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Processing of shareholder redemptions either manually or through the NSCC system.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Global Real Estate Investments Fund)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder, and such other correspondence as may from time to time be agreed upon by USBFS and the Fund.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Cooperate with all reasonable requests of the Fund related to the Fund’s administration and monitoring of the Fund’s compliance program related to the services provided under this Agreement as adopted by the Board of Trustees pursuant to Rule 38a-1 under the 1940 Act, as provided to USBFS.
V. Issue daily transaction confirmations and monthly or quarterly statements.
W. Issue comprehensive written confirmation statements for maintenance transactions.
X. Provide cost basis statements for qualifying accounts.
Y. Set up and maintain shareholder accounts and records, and make appropriate follow-up communications to prospects who return incomplete applications.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Keystone Mutual Funds)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” of processing errors for which USBFS is responsible in accordance with the “as of” ’ processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Reynolds Funds Inc)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus Funds’ prospectus(es) (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the a Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the each Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the each Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses (including any applicable summary prospectuses permitted by Rule 498 of the Security Act of 1933, as amended) to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund Fund(s) each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Lord Asset Management Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
. S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Ambassador Funds /)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Provide the Funds’ adviser (the “Adviser”) a file delivered via DDS mailbox of the daily NAV at the end of day for each Fund.
V. Provide the Adviser month-end shareholder holdings in a file delivered via DDS mailbox, including share balances and account master records for all shareholders.
W. Provide the Adviser a file delivered via DDS mailbox, of daily shareholder transactions in each Fund, including purchases and redemptions.
X. Provide the Adviser a file delivered via DDS mailbox, new account activity records.
Y. Provide the Adviser a file delivered via DDS mailbox, information on dividend payments, including customization for transaction ID #1 & #2.
Z. Provide the Adviser a file delivered via DDS mailbox, including a month-end share balance correction file and correct share balances to account for dividend postings that are backdated to month-end.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Rainier Investment Management Mutual Funds)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
. S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Trust in connection with any certification required of the Trust pursuant to the Xxxxxxxx-Xxxxx Act of 2002 (the “SOX Act”) or any rules or regulations promulgated by the Securities and Exchange Commission thereunder, provided the same shall not be deemed to change USBFS's standard of care as set forth herein.
V. Provide the Trust’s Chief Compliance Officer with reasonable access to USBFS’ personnel and records relating to the services provided by it under this Agreement.
Appears in 1 contract
Samples: Fund Administration Servicing Agreement (Genworth Financial Asset Management Funds)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the FundCompany:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under 22c-1under the 1940 Act, as well as the terms of the Company’s prospectus and SAI, including but not limited to the Company’s market timing and redemption fee policies as disclosed therein.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. H. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. I. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. J. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. K. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. L. Prepare shareholder meeting lists and, as necessarynecessary cooperate with the Company’s proxy service to assist the service in mailing, mail, receive receiving and tabulate tabulating proxies.
N. M. Mail shareholder reports and Prospectuses to current direct shareholders.
O. N. Prepare and file U.S. Treasury Department Forms 1099 945, 1042, 1099, 5498 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. O. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to direct shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. P. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Q. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. R. Answer correspondence and phone calls from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
S. Shareholder telephone, [internet], voice response unit and correspondence servicing, including response to shareholder complaints.
T. Where available, overseeing inquiries, trading and account opening via Internet.
U. Answer shareholder calls intended for Advisers office and relay information to Adviser via e-mail (or as otherwise discussed) in a timely manner (within 2 hours). USBFS will provide a weekly recap of all Adviser calls.
V. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B A hereto.
W. Provide transfer agent reporting as requested by the Company, including, but not limited to: Below Minimum Accounts (monthly), Foreign Accounts (monthly), Complaint Call Log (Monthly), Detailed Call Reporting (Purpose for call, Call Metrics, etc)(Monthly), and any reporting as requested by the Board of Directors..
X. Provide daily notification of large trade events
Y. Financial intermediary shareholder accounts processing and servicing
a. Track Shareholder accounts by financial intermediary source and otherwise as reasonably requested by the Fund and provide periodic reporting to Fund.
b. Receive from Shareholders or debit Shareholder accounts for sales commissions, including contingent deferrerd, deferred, and other sales charges, and service fees (i.e. redemption fees).
c. Prepare and, subject to receipt of good funds, transmit payments to underwriters, selected dealers, and others for commissions and service fees receieved.
Z. IXX and 403(B) account processing and servicing
AA. Provide Company with the ability to opt out of the “VRU”
BB. Coordination with Distributor on the implementation of all Broker-Dealer requests.
CC. Provide the Company’s distributor with such reporting and support as is requested.
DD. Track blue sky sales and make appropriate filings with respect to escheatment laws.
EE. USBFS agrees to provide highly qualified and trained personnel and will conduct periodic training with the personnel.
FF. Provide Company the ability to participate in shareholder calls as requested. GG. Track redemptions fees based on stated accounting method.
HH. Maintain all shareholder accounts and records accordingly.
II. Maintain all tax lots for each shareholder account.
JJ. Company will provide list of “special processing” shareholders so checks can be authorized quickly including but not limited to cashiers checks.
KK. Provide daily estimated transfer agent cash flow subscription and redemption information (direct and NSCC) to the Company by 5:30 PM ET.
LL. Maintain daily ACH transmissions.
MM. Image all source documentation.
NN. Generate user defined reports from the shareholder system.
OO. Perform legal review on all incoming transactions.
PP. Research and resolve account documentation issues.
QQ. Provide phone support for marketing ax xxxxxxxxx and track effectiveness by assets and account size for Fund direct accounts at agreed upon fee.
RR. Provide AML review for direct investors.
SS. Track 12b-1 distributions and commissions. USBFS shall provide the services set forth above in accordance with the applicable service standards set forth in Exhibit D hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Wintergreen Fund, Inc.)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” ’ processing errors for which USBFS is responsible in accordance with the “as of” ’ processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (EntrepreneurShares Series Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B A hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Direxion Insurance Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the each Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from each Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the such Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the a Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the each Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the each Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the each Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the each Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the each Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Wisconsin Capital Funds Inc)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the FundCompany:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under 22c-1under the 1940 Act, as well as the terms of the Company’s prospectus and SAI, including but not limited to the Company’s market timing and redemption fee policies as disclosed therein.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCompany’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Company’s custodian.
E. Pay monies upon receipt from the Trust's Company’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. H. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. I. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. J. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. K. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. L. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. M. Mail shareholder reports and Prospectuses to current shareholders.
O. N. Prepare and file U.S. Treasury Department Forms 1099 945, 1042, 1099, 5498 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. O. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to direct shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. P. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Q. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. R. Answer correspondence and phone calls from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
S. Shareholder telephone, internet, voice response unit and correspondence servicing, including response to shareholder complaints.
T. Where available, overseeing inquiries, trading and account opening via Internet.
U. Answer shareholder calls intended for Advisers office and relay information to Adviser via e-mail (or as otherwise discussed) in a timely manner (within 2 hours). USBFS will provide a weekly recap of all Adviser calls.
V. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B A hereto.
W. Provide transfer agent reporting as requested by the Company, including, but not limited to: Below Minimum Accounts (monthly), Foreign Accounts (monthly), Complaint Call Log (Monthly), Detailed Call Reporting (Purpose for call, Call Metrics, etc)(Monthly), and any reporting as requested by the Board of Directors.
X. Provide daily notification of large trade events
Y. Financial intermediary shareholder accounts processing and servicing
a. Track Shareholder accounts by financial intermediary source and otherwise as reasonably requested by the Fund and provide periodic reporting to Fund.
b. Receive from Shareholders or debit Shareholder accounts for sales commissions, including contingent deferred, deferred, and other sales charges, and service fees (i.e. redemption fees).
c. Prepare and, subject to receipt of good funds, transmit payments to underwriters, selected dealers, and others for commissions and service fees received.
Z. XXX and 403(B) account processing and servicing
AA. Provide Company with the ability to opt out of the “VRU”
BB. Coordination with Distributor on the implementation of all Broker-Dealer requests.
CC. Provide the Company’s distributor with such reporting and support as is requested.
DD. Track blue sky sales and make appropriate filings with respect to escheatment laws.
EE. USBFS agrees to provide highly qualified and trained personnel and will conduct periodic training with the personnel.
FF. Provide Company the ability to participate in shareholder calls as requested. GG. Track redemptions fees based on stated accounting method.
HH. Maintain all shareholder accounts and records accordingly.
II. Maintain all tax lots for each shareholder account.
JJ. Company will provide list of “special processing” shareholders so checks can be authorized quickly including but not limited to cashiers checks.
KK. Provide daily estimated transfer agent cash flow subscription and redemption information (direct and NSCC) to the Company by 5:30 PM ET.
LL. Maintain daily ACH transmissions.
MM. Image all source documentation.
NN. Generate user defined reports from the shareholder system.
OO. Perform legal review on all incoming transactions.
PP. Research and resolve account documentation issues.
QQ. Provide phone support for marketing xx xxxxxxxxx and track effectiveness by assets and account size for Fund direct accounts at agreed upon fee.
RR. Provide AML and Red Flag Identity Theft Prevention review for direct investors.
SS. Track 12b-1 distributions and commissions. USBFS shall provide the services set forth above in accordance with the applicable service standards set forth in Exhibit D hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Wintergreen Fund, Inc.)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s Trusts' custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ ' accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s 's prospectus (the “"Prospectus”").
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Trusts' custodian.
E. Pay monies upon receipt from the Trust's Trusts' custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Prime Obligations Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Trusts with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s 's agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(el7Ad- 10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustTrusts.
Q. Mail requests for shareholders’ ' certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustTrusts, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Trusts to monitor the total number of shares of the Fund sold in each state; provided that the TrustTrusts, not USBFS, is are responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s 's duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “"as of” " processing errors for which USBFS is responsible in accordance with the “"as of” " processing guidelines set forth on Exhibit B hereto.
U. USBFS shall bear all expenses associated with demand deposit accounts maintained by USBFS with financial institutions from time to time for the receipt and disbursement of monies paid by, or payable to, investors in the series of the Trusts pursuant to this Agreement and shall be entitled to retain any earnings credits or other income arising from those accounts.
V. USBFS shall waive all fees and other expenses associated with maintenance of IRAs and Xxxxxxxxx Education Savings Accounts.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Calamos Advisors Trust/Il)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Trust in connection with any certification required of the Trust pursuant to the Xxxxxxxx-Xxxxx Act of 2002 or any rules or regulations promulgated by the Securities and Exchange Commission (“SEC”) thereunder, provided the same shall not be deemed to change USBFS’s standard of care as set forth herein.
V. In order to assist the Trust in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), USBFS will provide the Trust’s Chief Compliance Officer with reasonable access to USBFS’ personnel and records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS that affect or could affect the Trust.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (RBC Funds Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s Trusts' custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ ' accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s 's prospectus (the “"Prospectus”").
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Trusts' custodian.
E. Pay monies upon receipt from the Trust's Trusts' custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Prime Obligations Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Trusts with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s 's agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustTrusts.
Q. Mail requests for shareholders’ ' certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustTrusts, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Trusts to monitor the total number of shares of the Fund sold in each state; provided that the TrustTrusts, not USBFS, is are responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s 's duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “"as of” of processing errors for which USBFS is responsible in accordance with the “"as of” of processing guidelines set forth on Exhibit B hereto.
U. USBFS shall bear all expenses associated with demand deposit accounts maintained by USBFS with financial institutions from time to time for the receipt and disbursement of monies paid by, or payable to, investors in the series of the Trusts pursuant to this Agreement and shall be entitled to retain any earnings credits or other income arising from those accounts.
V. USBFS shall waive all fees and other expenses associated with maintenance of IRAs and Xxxxxxxxx Education Savings Accounts.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Calamos Investment Trust/Il)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the FundFunds:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s Funds’ prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the a Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s Funds’ agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund Funds and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund Funds which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system information that will enable the Trust to monitor the total number of shares of the Fund Funds sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund Funds each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Call Center Services: Answer telephone inquiries from 8:00 am to 7:00 pm, Central Time, each day on which the New York Stock Exchange is open for trading. USBFS will answer and respond to inquiries from existing Shareholders, prospective Shareholders of the Funds and broker-dealers on behalf of such Shareholders in accordance with information and telephone scripts provided by the Funds. Such inquiries may include requests for information on account set-up and maintenance, general questions regarding the operations of the Funds, account information including purchase, redemption, exchange and account balance questions, requests for account access instructions, and literature requests.
V. National Securities Clearing Corporation (NSCC): USBFS will accept and effectuate the registration and maintenance of accounts through NSCC Networking and the purchase, redemption, transfer and exchange of shares in such accounts through Fund/SERV in accordance with instruction transmitted to and received by USBFS from NSCC on behalf of authorized broker-dealers. USBFS will facilitate the settlement of transactions between the Funds and NSCC (acting on behalf of its broker-dealer and bank participants). USBFS will provide account and transaction information from the affected Funds’ records in accordance with NSCC’s Networking and Fund/SERV rules for those broker-dealers and maintain Shareholder accounts through Networking.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Ariel Investment Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s 's custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ ' accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s 's prospectus (the “"Prospectus”").
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s 's agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ ' certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s ' duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “"as of” " processing errors for which USBFS is responsible in accordance with the “"as of” " processing guidelines set forth on Exhibit B hereto.
U. Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the Trust in connection with any certification required of the Trust pursuant to the Sarbanes-Oxley Act of 2002 or any rules or regulaxxxxx promulgated by the Securities and Exchange Commission thereunder, provided the same shall not be deemed to change USBFS' standard of care as set forth herein.
V. In order to assist the Trust in satisfying the requirements of Rule 38a-1 under the 1940 Act (the "Rule"), USBFS will provide the Trust's Chief Compliance Officer with reasonable access to USBFS' personnel and records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving USBFS that affect or could affect the Trust.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Genworth Variable Insurance Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B A hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Direxion Funds)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and or with a First American Money Market Fund, if applicablesuch other money market fund offered by the Trust.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestmentreinvestment or automatic gifting of shares pursuant to the “First Fruit” program).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring . The Trust will take all reasonable action to ensure that shares are not sold in violation of any requirement under the securities laws or regulations of any state. Upon request, USBFS will provide a Blue Sky report to assist the Trust in monitoring the shares sold in each state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B heretohereto or such other policy that is agreed upon by both parties.
U. Provide support to the Chief Compliance Officer (CCO) of the Trust. Examples of functions performed by USBFS in this CCO support role include:
1. Daily Resource to CCO, Fund Board, Advisor
2. Provide USBFS/USB Critical Procedures & Compliance Controls
3. Daily and Periodic Reporting
4. Periodic CCO Conference Calls
5. Dissemination of Industry/Regulatory Information
6. Client & Business Line CCO Education & Training
7. Due Diligence Review of USBFS Service Facilities
8. Quarterly USBFS Certification
9. Board Meeting Presentation and Board Support 10. Testing, Documentation, Reporting
11. Business Line Functions Supported: Fund Administration and Compliance, Transfer Agent and Shareholder Services, Fund Accounting, Custody Services, Securities Lending Services and Distribution Services
V. On a nightly basis, for each day a NAV is reported, USBFS will send a data file to NCTC (the “Advisor”) which substantially conforms to the specifications set forth in Exhibit E.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (New Covenant Funds)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the each Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian.
E. Pay monies upon receipt from the Trust's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s ’ duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
U. Set up account information, including address, dividend option, taxpayer identification numbers and wire instructions.
V. Maintain all shareholder records for each account in the Trust.
W. Issue customer statements on scheduled cycle, providing duplicate second and third party copies if required.
X. MARS SystemTM as set forth on Exhibit D hereto. The provisions of Exhibit D, as applicable, shall continue in effect for as long as the Agreement remains in effect, unless sooner terminated pursuant to Section 12 hereof. The indemnity and defense provisions set forth in Section 7 of the Agreement and in Exhibit D, if applicable, shall indefinitely survive the termination and/or assignment of the Agreement.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brandes Investment Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, . where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds funds both within the same family of funds and with a First American Money Market Fundfund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the Fundfund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.,
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., e.g.. periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, to address changes in plans (e.g., e.g.. systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Quaker Investment Trust)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s Company's custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ ' accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s 's prospectus (the “"Prospectus”").
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the TrustCompany's custodian.
E. Pay monies upon receipt from the TrustCompany's custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Company with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s 's agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCompany.
Q. Mail requests for shareholders’ ' certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCompany, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Company to monitor the total number of shares of the Fund sold in each state; provided that the TrustCompany, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s 's duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “"as of” " processing errors for which USBFS is responsible in accordance with the “"as of” " processing guidelines set forth on Exhibit B hereto.
3. ANTI-MONEY LAUNDERING PROGRAM The Company acknowledges that it has had an opportunity to review, consider and comment upon the written procedures provided by USBFS describing various tools used by USBFS which are designed to promote the detection and reporting of potential money laundering activity by monitoring certain aspects of shareholder activity as well as written procedures for verifying a customer's identity (collectively, the "Procedures"). Further, the Company has determined that the Procedures, as part of the Company's overall anti-money laundering program, are reasonably designed to prevent the Fund from being used for money laundering or the financing of terrorist activities and to achieve compliance with the applicable provisions of the USA Patriot Act of 2002 and the implementing regulations thereunder. Based on this determination, the Company hereby instructs and directs USBFS to implement the Procedures on the Company's behalf, as such may be amended or revised from time to time. It is contemplated that these Procedures will be amended from time to time by the parties as additional regulations are adopted and/or regulatory guidance is provided relating to the Company's anti-money laundering responsibilities. USBFS agrees to provide to the Company:
(a) Prompt written notification of any transaction or combination of transactions that USBFS believes, based on the Procedures, evidence money laundering activity in connection with the Company or any shareholder of the Fund;
(b) Prompt written notification of any customer(s) that USBFS reasonably believes, based upon the Procedures, to be engaged in money laundering activity, provided that the Company agrees not to communicate this information to the customer;
(c) Any reports received by USBFS from any government agency or applicable industry self-regulatory organization pertaining to USBFS's anti-money laundering monitoring on behalf of the Company;
(d) Prompt written notification of any action taken in response to anti-money laundering violations as described in (a), (b) or (c); and
(e) Certified annual and quarterly reports of its monitoring and customer identification activities on behalf of the Company. The Company hereby directs, and USBFS acknowledges, that USBFS shall (i) permit federal regulators access to such information and records maintained by USBFS and relating to USBFS's implementation of the Procedures, on behalf of the Company, as they may request, and (ii) permit such federal regulators to inspect USBFS's implementation of the Procedures on behalf of the Company.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Keeley Funds, Inc.)
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the Trust’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s Funds’ prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's ’s custodian.
E. Pay monies upon receipt from the Trust's ’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust with respect to the a Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s Funds’ agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund Funds and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund Funds which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the Trust, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust to monitor the total number of shares of the Fund sold in each state; provided that the Trust, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. S. Reimburse the Fund Funds each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Services and Duties of USBFS. USBFS shall provide the following transfer agent and dividend disbursing agent services to the Fund:
A. Receive and process all orders for the purchase, exchange, and/or redemption of shares in accordance with Rule 22c-1 under the 1940 Act.
B. Process purchase orders with prompt delivery, where appropriate, of payment and supporting documentation to the TrustCorporation’s custodian, and issue the appropriate number of uncertificated shares with such uncertificated shares being held in the appropriate shareholder account.
C. Arrange for the issuance of shares obtained through transfers of funds from Fund shareholders’ accounts at financial institutions and arrange for the exchange of shares for shares of other eligible investment companies, when permitted by the Fund’s prospectus (the “Prospectus”).
D. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's Corporation’s custodian.
E. Pay monies upon receipt from the Trust's Corporation’s custodian, where relevant, in accordance with the instructions of redeeming shareholders.
F. Process transfers of shares in accordance with the shareholder's ’s instructions, after receipt of appropriate documentation from the shareholder as specified in the Prospectus.
G. Process exchanges between Funds and/or classes of shares of Funds both within the same family of funds and with a First American Money Market Fund, if applicable.
H. Prepare and transmit payments for dividends and distributions declared by the Trust Corporation with respect to the Fund, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with shareholder instructions.
I. Serve as the Fund’s agent in connection with accumulation, open account or similar plans (e.g., periodic investment plans and periodic withdrawal plans).
J. Make changes to shareholder records, including, but not limited to, address changes in plans (e.g., systematic withdrawal, automatic investment, dividend reinvestment).
K. Handle load and multi-class processing, including rights of accumulation and purchases by letters of intent.
L. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) promulgated under the Securities Exchange Act of 1934, as amended (the "“Exchange Act"”), a record of the total number of shares of the Fund which are authorized, issued and outstanding.
M. Prepare shareholder meeting lists and, as necessary, mail, receive and tabulate proxies.
N. Mail shareholder reports and Prospectuses to current shareholders.
O. Prepare and file U.S. Treasury Department Forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders.
P. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the TrustCorporation.
Q. Mail requests for shareholders’ certifications under penalties of perjury and pay on a timely basis to the appropriate federal authorities any taxes to be withheld on dividends and distributions paid by the TrustCorporation, all as required by applicable federal tax laws and regulations.
R. Provide a Blue Sky system that will enable the Trust Corporation to monitor the total number of shares of the Fund sold in each state; provided that the TrustCorporation, not USBFS, is responsible for ensuring that shares are not sold in violation of any requirement under the securities laws or regulations of any state.
. S. Answer correspondence from shareholders, securities brokers and others relating to USBFS’s duties hereunder.
T. Reimburse the Fund each month for all material losses resulting from “as of” processing errors for which USBFS is responsible in accordance with the “as of” processing guidelines set forth on Exhibit B hereto.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Monetta Fund Inc)
