Shareholder Reporting. Generate and mail transaction confirmations • Generate and mail quarterly statements • Generate and mail applicable tax forms • Maintain records on daily share activity for all Fund transactions • Report daily share activity and money movement to Fund and Custodian • Complete daily settlement reports • Maintain and coordinate Blue Sky registrations and renewals Rule 22c-2 Transaction Monitoring Services • Develop and implement analytics based on Fund specific rules to identify activity within a particular omnibus account that warrants further review of the underlying activity; • Schedule and route data from financial intermediaries, verify receipt of the data requested, including data provided through direct feeds and sub-accounting service providers and DTCC Omniserv; • Systematically analyze trade activity and request underlying account details at the individual and/or plan level; • Capture potential timing activity in the AWD system and review; • Provide identified items to Fund management for further instructions; • Contact financial intermediaries in writing within specified time-frame and provide account restrictions, warnings and other related messages communicated by the Funds; • Maintain restrictions database; and • Generate quarterly reports to summarize activities.
Shareholder Reporting a. Maintain a system to accurately track shareholders who wish to receive statements and reports electronically, and send the requested documents electronically
b. Daily transaction confirmations
c. Monthly, quarterly and annual account statements d. 1099 DIV, 1099 B, 1099R, 1042S, 5498, 1099Q, 5498ESA tax reports to shareholders and to the IRS
Shareholder Reporting a. Maintain a system to accurately track shareholders who wish to receive statements and reports electronically, and send the requested documents electronically
b. Mail annual prospectus updates, semi-annual financial reports and other necessary regulatory documents
c. Provide account and transaction information via secure electronic transmission or through standard industry services
d. Other reporting as required
Shareholder Reporting. (1) Receive orders and review subscription booklets for the purchase of Shares.
(2) Process purchase orders, confirming subscribers’ eligibility under the requirements specified in the respective PPMs to invest in TEI and the Master Fund, as applicable, with prompt delivery, where appropriate, of payment and supporting documentation to the Funds’ custodian, and issue and record the appropriate number of uncertificated Shares with such uncertificated Shares being held in the appropriate Shareholder account, including, with respect to investments in TEI, the issuance and recording of the corresponding conduit investments into the Offshore Fund, and in turn, into the Master Fund.
(3) Arrange for issuance of Shares obtained through transfers of funds from Shareholders’ accounts at financial institutions.
(4) Process Share repurchase tenders by Shareholders pursuant to appropriate tender offering documents and terms and related capital withdrawal requests received in good order, including, without limitation, any and all appropriate corresponding Share repurchases and redemptions among the Funds as necessary and appropriate to handle Share repurchase tenders by Shareholders of TEI, and, where relevant, deliver appropriate documentation to the Manager.
(5) Pay monies upon receipt from the Funds where relevant and appropriate, in accordance with the instructions of redeeming Shareholders. Issue promissory notes where relevant and appropriate based on the applicable provisions of tender offers made by the Funds.
(6) Process transfers of Shares in accordance with the Shareholder’s instructions and as permitted by the Governing Documents (and only upon receipt of any required consents and appropriate supporting documentation).
(7) Prepare and transmit payments for distributions declared by the Funds, after deducting any amount required to be withheld by any applicable laws, rules and regulations and in accordance with Shareholder instructions, and prepare and mail to Shareholder any appropriate notices required under Section 19 of the 1940 Act in connection therewith.
(8) Make changes to Shareholder records, including, but not limited to, address changes.
(9) Provide Shareholder account information upon request and prepare and mail confirmations and monthly statements of account to Shareholders, and other recipient(s) designated by Shareholders, for all purchases, repurchases pursuant to tender offers, corresponding redemptions in the Offshore Fund, and other confir...
Shareholder Reporting
