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. 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 SCHEDULE 1.2(h) DIVISION OF SERVICES Function Transfer Agent Sub-Transfer Agent Transaction Processing 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 Function Transfer Agent Sub-Transfer Agent Transaction Processing Certificates X Certificates QA X Adjustments X Adjustments QA X Vendor Oversight SLA Review and Adherence X Management and Board Reporting X Ongoing Due Diligence and Feedback X Invoice and Billing Reconciliation X Customer Service Telephones for Open and Closed End Funds (Series 6) X Correspondence (Shareholder/Dealer Letters/Emails) X Correspondence QA X Dealer Services 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 Operator Security TA2000 X AWD X Fund Control Reconciliation 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 Function Transfer Agent Sub-Transfer Agent Fund Control Reconciliation Calculate and Pay Distributions X Produce Commission Data X Prepare Manual Checks X Sub Transfer Agent/Networking Invoice Reconciliation and Payment X X Print & Electronic Output Checks (Redeem, SWP, Dividend, Replacement) X (Personix) Investor Statements (Daily & Quarterly) X (Personix) Maintenance Verification ...
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. EACH OF THE ENTITIES, INDIVIDUALLY BOSTON FINANCIAL DATA SERVICES, AND NOT JOINTLY, AS LISTED ON INC. SCHEDULE A By: /s/Xxxxxxx Xxxxxxxxx By: /s/Xxxxx X. Xxxxxx Xxxxxxx Xxxxxxxxx, Chief Financial Officer Xxxxx X. Xxxxxx, Vice President As an Authorized Officer on behalf of each of the Funds indicated on Schedule A SCHEDULE 2.3 THIRD PARTY ADMINISTRATOR(S) PROCEDURES Dated: October 1, 2007
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. Schedule 1.1(i) - 2 SCHEDULE 2.1 THIRD PARTY ADMINISTRATOR(S) PROCEDURES Dated: April 1, 2013
Support Due Diligence Programs. (i) Updating system watch list with pertinent information on trade violators. Confidential And Proprietary Execution Version
