Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so.
1. On each day on which both the New York Stock Exchange and the Fund are open for business (a “Business Day”), the TPA(s) shall receive, on behalf of and as agent of the Fund, Instructions (as hereinafter defined) from the Plan. Instructions shall mean as to each Fund (i) orders by the Plan for the purchases of Shares, and (ii) requests by the Plan for the redemption of Shares; in each case based on the Plan’s receipt of purchase orders and redemption requests by Participants in proper form by the time required by the term of the Plan, but not later than the time of day at which the net asset value of a Fund is calculated, as described from time to time in that Fund’s prospectus. Each Business Day on which the TPA receives Instructions shall be a “Trade Date.”
2. The TPA(s) shall communicate the TPA(s)’s acceptance of such Instructions, to the applicable Plan.
3. On the next succeeding Business Day following the Trade Date on which it accepted Instructions for the purchase and redemption of Shares, (TD+1), the TPA(s) shall notify the Transfer Agent of the net amount of such purchases or redemptions, as the case may be, for each of the Plans. In the case of net purchases by any Plan, the TPA(s) shall instruct the Trustees of such Plan to transmit the aggregate purchase price for Shares by wire transfer to the Transfer Agent on (TD+1). In the case of net redemptions by any Plan, the TPA(s) shall instruct the Fund’s custodian to transmit the aggregate redemption proceeds for Shares by wire transfer to the Trustees of such Plan on (TD+1). The times at which such notification and transmission shall occur on (TD+1) shall be as mutually agreed upon by each Fund, the TPA(s), and the Transfer Agent.
4. The TPA(s) shall maintain separate records for each Plan, which record shall reflect Shares purchased and redeemed, including the date and price for all transactions, and Share balances. The TPA(s) shall maintain on behalf of each of the Plans a single master account with the Transfer Agent and such account shall be in the name of that Plan, the TPA(s), or the nominee of either thereof as the record owner of Shares owned by such Plan.
5. The TPA(s) shall maintain records of all proceeds of redemptions of Shares and all other distributions not reinvested in Shares.
6. The TPA(s) shall prepare, and tr...
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so.
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. PHOENIX EQUITY PLANNING CORPORATION BOSTON FINANCIAL DATA SERVICES, INC. By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxx X. Xxxxxxx Name: Xxxxx Xxxxxxxx Name: Xxxx X. Xxxxxxx Title: Vice President, Mutual Fund Services Title: Division Vice President Remittance Cash Processing (DDPS System) X Remittance Cash Processing QA X Offline Cash Deposits X Remittance Cash Processing – Items not in good order X Check Imaging – (ESTUB) X Plan Allocation Group Purchase Lists/Transmissions X Prepare Cash Estimates X ACH Payroll X ACH Payroll QA X Federal Fund Wire Purchases X Federal Fund Wire Purchases QA X New Account Setup X New Account Quality Assurance (QA) X Transfers (Re-registrations) X Transfers QA X Exchanges X Exchanges QA X Redemptions X Redemptions QA X Federal Funds Wire Redeems X Federal Funds Wire Redeems QA X Wire Order Trade Establishment X Trade Settlement (Checks to BFDS) X QA X Monitoring of Outstanding Trades X Maintenance X Maintenance QA X Certificates X Certificates QA X Adjustments X Adjustments QA X SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X NSCC FundServ/Networking Implementation X X NSCC FundServ/Networking Activity Monitoring and Trade Corrections X Dealer and Advisor File Maintenance X System Enhancements X Create NSCC Position Files X Create NSCC Commission Files X Telephones for NSCC Firms — segregation for Focus Firms X TA2000 X AWD X Cash Settlement (including NSCC) X Reconcile Transfer Agent DDA’s X Compile Fund Share Activity & Estimates and Transmit to PFPC X Checkwriting Payments X Research and Resolve Imbalances X X Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Transfer Agent/Networking Invoice Reconciliation and Payment X X Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification (Bank or Address change) X (Personix) Tax Forms X (Personix) Corrected Tax Forms X (DSTOutput) RPO Mail X Microfiche (COOL) N/A CD Rom (Investment Checks) X E-Statements/Tax Forms X (EPSIIA) Dealer Statement CDRoms X (EPSIIA) Statement Suppression & Consent Database X (EPSIIA) Annual Account History Transcripts (COOL) X Year End Tax Reporting X Proxy Mailing a...
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so. General: Per Account Fees and CUSIP Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed and shall continue until such account is purged from the system. Per Account Fee1 Direct Non Trust /Cash Sweep Account Fee $ 15.00 per account Direct Trust Account Fee $ 10.00 per account Matrix Xxxxx 0 & Cash Sweep Account Fee $ 8.00 per account Closed Account Fee $ 1.20 per account CUSIP Fee2,3 1 - 50 CUSIPs (Months 13+) $ 20,000.00 51 - 100 CUSIPs (Months 13+) $ 10,000.00 101 or more CUSIPs (Months 13+) $ 5,000.00 1 - 50 CUSIPs (1 - 12 months) $ 15,000.00 51 - 100 CUSIPs (1 - 12 months) $ 7,500.00 101 or more CUSIPs (1 – 12 months) $ 3,750.00 Billed as incurred in accordance with Section 2.2 of the Agreement. 1 A minimum surcharge of $0.50 per account will apply to all floating NAV Money Market Account Fund accounts upon implementation of Money Market Reform. The surcharge rate will be subject to review and amendment upon mutual agreement.
Support Due Diligence Programs. (a) Update system watch list with pe1iinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so. General: Fees are billable on a monthly basis at the rate of 1/12 of the annual fee. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed and shall continue until such account is purged from the system.
I. Annual Account Service Fees
II. Money Market Reform Fees2 Implementation Fee3 Annual Fee $150,000.00 per year Institutional CUSIP fee (includes 1 -3 intraday $25,000.00 per CUSIP price points)4 ____________________ 1 Annual Account Service Fees Minimum is the greater of the $650,000 or the total Annual Account Service Fees. In the event that Total Annual Transfer Agent Fees set forth in Section I are below $850,000, then the difference between $850,000 and the Total Annual Transfer Agent Fees will be billed to the Fund in 12 monthly installments along with the Fund's regular monthly invoice in the following year. Any "true up" payment made by the Fund based on a prior year's failure to meet $850,000 in Total Annual Transfer Agent Fees will not be included in the determination of whether the Total Annual Transfer Agent Fees have met the $850,000 threshold for the current 12 month period. In the final year of the Agreement, if the Total Annual Transfer Agent Fees do not meet the $850,000 threshold, then the true-up payment will be paid to the Transfer Agent at the time of the termination of the Agreement. For purposes of determining the Total Annual Transfer Agent Fees for any year, the calculation shall not include Money Market Reform Fees, Blue Sky Fees, 22c-2 Fees or other charges and expenses.
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detail audit trail of all accounts that are blocked and reason for doing so. Upon approval by XXXX for the establishment of a G class account and in accordance with the G Classes Procedures shall perform the following:
1. Respond to basic telephone inquiries from Shareholders with respect to their Guaranteed Benefit Certificate regarding their Guaranteed Benefit Certificate base. The Transfer Agent shall respond to such inquiries in accordance with the training materials and guidelines, as may be amended from time to time, provided by XXXX to the Transfer Agent and accessing Guaranteed Benefit Certificate base information on the XXXX Access Allstate system. Inquiries outside of those set forth in the training materials and guidelines shall be forwarded for handling, in accordance with the G Classes Procedures. Calls shall be handled during the standard call center hours agreed upon by the Trust and the Transfer Agent in Section 1.2(k) of this Agreement.
2. Prior to the end of each calendar quarter, the Transfer Agent will calculate and redeem from each Shareholder’s G class account the amount of G class Shares equal to the percentage of Share account value as communicated by XXXX to the Transfer Agent, and will forward the proceeds of such redemptions to XXXX.
3. Upon receipt of written instructions from the Shareholder, add systematic withdrawal program (“SWP”) instructions for the Guaranteed Benefit Certificate to designated G class accounts.
4. Make daily reports available to XXXX in order that XXXX may determine when an account balance reduces to zero.
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so. 1. Services. Customer has requested, and DST will provide Digital Investor Services as one of the Digital Solutions Services pursuant to the terms of the attached Services Agreement (the “Agreement”) between Customer and DST. The Services are further described in the Statement of Work for Digital Investor Platform Development (“SOW”), attached hereto. Any terms not defined in this Service Exhibit shall have the same meaning as the terms in the Agreement. This Service Exhibit expressly incorporates by reference and is subject to the Agreement. In the event of any conflict between the terms and conditions of the Agreement and the terms and conditions of this Service Exhibit, the terms and conditions of this Service Exhibit will control such conflict with respect to the services provided hereunder
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so. Funds that are Parties to the Agreement: X. Xxxx Price OHA Private Credit Fund Delaware, statutory trust 8Schedule C This Schedule is made subject to the terms of the Transfer Agent Agreement (the “Agreement”), and to the extent the terms hereunder conflict with the terms of the Agreement, the terms of this Exhibit shall prevail. The requirements of this Exhibit are applicable if and to the extent that SS&C creates, has access to, or receives from or on behalf of The Fund any The Fund Confidential Information (as defined in the Agreement) in electronic format.
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so. Funds that are Parties to the Agreement: X. Xxxx Price OHA Private Credit Fund Delaware, statutory trust X. Xxxx Price OHA Flexible Credit Income Fund Delaware, statutory trust This Schedule is made subject to the terms of the Transfer Agent Agreement (the “Agreement”), and to the extent the terms hereunder conflict with the terms of the Agreement, the terms of this Exhibit shall prevail. The requirements of this Exhibit are applicable if and to the extent that SS&C creates, has access to, or receives from or on behalf of The Fund any The Fund Confidential Information (as defined in the Agreement) in electronic format.
