Common use of Suspicious Activity Report AML Services Clause in Contracts

Suspicious Activity Report AML Services. (i) PNC as agent for the Fund shall: (A) use reasonable efforts to determine in coordination with the Fund’s AML Compliance Officer when a suspicious activity report (“SAR”) should be filed as required by regulations applicable to the Fund, (B) prepare and file the SAR and, maintain documents supporting the SAR, (C) if appropriate under regulatory guidance and procedures, file a Joint SAR, and (D) provide the Fund with a copy of the SAR and supporting documentation within a reasonable time after filing. Although PNC may file a joint SAR for the Fund and other financial institutions, PNC shall do so solely as agent for the Fund and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC may share information related to the Services under this Section 6 with its supervising parent entities and financial institutions subject to a joint SAR filing. (ii) Unless prohibited by applicable law, each party will promptly notify the other party if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iii) Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party. If after consultation with PNC, the Fund disagrees with a PNC recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (iv) In addition to any confidentiality obligations set forth in this Agreement, each party understands and acknowledges the highly confidential nature of underlying information concerning SAR filings (“SAR Confidential Information”). Except as otherwise provided herein, each party shall hold all SAR Confidential Information in strict confidence and may share such SAR Confidential Information only with, to the extent permitted by applicable law: (A) the other party, (B) the Fund’s control affiliates (“control” as defined under Section 2(a)(9) of the Investment Company Act of 1940), which may include the Fund’s investment adviser, and (C) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-to-know basis. The Fund represents and warrants to PNC that the Fund has in place a confidentiality agreement with the Fund’s control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (v) The Fund hereby authorizes PNC, as its agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC and the Fund, the Fund will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC to share such information.

Suspicious Activity Report AML Services. (i1) PNC Each GE Party hereby engages USBFS as its agent for to make the Fund shall: (A) use reasonable efforts determinations of and to determine in coordination with the Fund’s AML Compliance Officer when a prepare and file suspicious activity report (“SAR”) filings on behalf of the GE Party as described herein. USBFS will use reasonable efforts to (i) determine in coordination with the GE Party’s AML Compliance Officer when a Form SAR should be filed as required by regulations applicable to the Fundregulations, (Bii) prepare and file the Form SAR as agent for the GE Party and, maintain documents supporting the SAR, (Ciii) if appropriate under regulatory guidance and procedures, procedures file a Joint SAR, SAR as agent for the GE Party and any other designated financial institutions and (Div) provide the Fund GE Party with a copy of the Form SAR and supporting documentation within a reasonable time after filing. Although PNC USBFS may file a joint SAR for the Fund GE Party and other financial institutions, PNC USBFS shall do so solely as agent for the Fund GE Party, and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC USBFS may share information related to the Services under this Section 6 hereunder with its supervising parent entities and financial institutions subject to a joint SAR filing. (ii2) Unless prohibited by applicable law, each Each party will promptly notify the other party (as permitted by applicable law) if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iii3) Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party; provided that, for any such filing by USBFS on behalf of a GE Party, USBFS shall have first used reasonable efforts to consult in advance with the AML Compliance Officer and provide him/her with relevant information in USBFS’ determination to make that filing. If after consultation with PNCupon consultation, the Fund disagrees parties disagree with a PNC USBFS recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (iv4) In addition to any confidentiality obligations set forth in this the Agreement, each party understands and acknowledges the highly extreme confidential nature of underlying information concerning SAR filings (“SAR Confidential Information”). Except as otherwise provided herein, each Each party shall agrees to hold all SAR Confidential Information in strict confidence and may to share such SAR Confidential Information only with, to the extent permitted by applicable law: , (Ai) the other party, (Bii) the FundUSBFS control affiliates and each GE Party’s control affiliates (“control” as defined under Section (2(a)(9) of the Investment Company Act of 1940), which may include the FundGE Party’s investment adviser, and (Ciii) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-to-know basis. The Fund represents and warrants to PNC that the Fund has in place a confidentiality agreement with the Fund’s control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (v5) The Fund Each GE Party hereby authorizes PNCUSBFS, as its agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC USBFS and the FundGE Party, the Fund GE Party will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC USBFS to share such information. This Information Security Addendum lists the security controls that GE Suppliers are required to adopt when accessing, processing, transmitting, and/or storing GE data.

Suspicious Activity Report AML Services. (ia) PNC Transfer Agent shall serve as agent for to the Fund shall: (A) Funds to make the determinations of and to prepare and file SARs on behalf of the Funds as described in this Section. Transfer Agent will use reasonable efforts to (i) determine in coordination with the Fund’s Funds’ AML Compliance Officer Committee when a suspicious activity report (“SAR”) Form SAR should be filed as required by regulations applicable to the FundFunds, (Bii) prepare and file the Form SAR as agent for the Funds within the time periods required by the regulations applicable to the Funds and, maintain documents supporting the SAR, (Ciii) if appropriate under regulatory guidance and procedures, procedures file a Joint SAR, joint SAR as agent for the Funds and any other designated financial institutions and (Div) provide the Fund Funds with a copy of the Form SAR and supporting documentation (either in original form or copies thereof) within a reasonable time after filing. Although PNC Transfer Agent may file a joint SAR for the Fund Funds and other financial institutions, PNC Transfer Agent shall do so solely as agent for the Fund Funds, and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC Transfer Agent may share information related to the Services under this Section 6 hereunder with its supervising parent entities and financial institutions subject to a joint SAR filing. (iib) Unless prohibited by applicable law, each Each party will promptly notify the other party (as permitted by applicable law) if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iiic) Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party. If after consultation with PNCupon consultation, the Fund disagrees parties disagree with a PNC Transfer Agent recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (ivd) In addition to any confidentiality obligations set forth in this the Agreement, each party understands and acknowledges the highly extreme confidential nature of underlying information concerning SAR filings (“SAR Confidential Information”). Except as otherwise provided herein, each Each party shall agrees to hold all SAR Confidential Information in strict confidence and may to share such SAR Confidential Information only with, to the extent permitted by applicable law: , (Ai) the other party, (Bii) the Fund’s Funds’ control affiliates (“control” as defined under Section 2(a)(9) of the Investment Company Act of 1940), which may include the Fund’s Funds’ investment adviser, and (Ciii) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-to-know basis. The Fund represents Funds represent and warrants warrant to PNC Transfer Agent that the Fund has Funds have in place a confidentiality agreement with the Fund’s Funds’ control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (ve) The Fund Funds hereby authorizes PNCauthorize Transfer Agent, as its their agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC Transfer Agent and the FundFunds, the Fund Funds will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC Transfer Agent to share such information.

Suspicious Activity Report AML Services. Section [16] of the Agreement is hereby amended and supplemented to add the following new provisions: The Fund hereby engages PFPC as its agent to make the determinations of and to prepare and file suspicious activity report (i"SAR") PNC as agent for filings on behalf of the Fund shall: (A) as described in this Section. PFPC will use reasonable efforts to (i) determine in coordination with the Fund’s 's AML Compliance Officer when a suspicious activity report (“SAR”) Form SAR should be filed as required by regulations applicable to the Fund, (Bii) prepare and file the Form SAR as agent for the Fund and, maintain documents supporting the SAR, (Ciii) if appropriate under regulatory guidance and procedures, procedures file a Joint SAR, SAR as agent for the Fund and any other designated financial institutions and (Div) provide the Fund with a copy of the Form SAR and supporting documentation within a reasonable time after filing. Although PNC PFPC may file a joint SAR for the Fund and other financial institutions, PNC PFPC shall do so solely as agent for the Fund Fund, and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC PFPC may share information related to the Services under this Section 6 hereunder with its supervising parent entities and financial institutions subject to a joint SAR filing. (ii) Unless prohibited by applicable law, each . Each party will promptly notify the other party (as permitted by applicable law) if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iii) . Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s 's authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party. If after consultation with PNCupon consultation, the Fund disagrees parties disagree with a PNC PFPC recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (iv) In addition to any confidentiality obligations set forth in this Agreement, each party understands and acknowledges the highly confidential nature of underlying information concerning SAR filings (“SAR Confidential Information”). Except as otherwise provided herein, each party shall hold all SAR Confidential Information in strict confidence and may share such SAR Confidential Information only with, to the extent permitted by applicable law: (A) the other party, (B) the Fund’s control affiliates (“control” as defined under Section 2(a)(9) of the Investment Company Act of 1940), which may include the Fund’s investment adviser, and (C) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-to-know basis. The Fund represents and warrants to PNC that the Fund has in place a confidentiality agreement with the Fund’s control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (v) The Fund hereby authorizes PNC, as its agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC and the Fund, the Fund will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC to share such information.

Suspicious Activity Report AML Services. (i) PNC as agent for the Fund shall: (A) use reasonable efforts to determine in coordination with the Fund’s 's AML Compliance Officer when a suspicious activity report (“"SAR”") should be filed as required by regulations applicable to the Fund, (B) prepare and file the SAR and, maintain documents supporting the SAR, (C) if appropriate under regulatory guidance and procedures, file a Joint SAR, and (D) provide the Fund with a copy of the SAR and supporting documentation within a reasonable time after filing. Although PNC may file a joint SAR for the Fund and other financial institutions, PNC shall do so solely as agent for the Fund and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC may share information related to the Services under this Section 6 with its supervising parent entities and financial institutions subject to a joint SAR filing. (ii) Unless prohibited by applicable law, each party will promptly notify the other party if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iii) Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s 's authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party. If after consultation with PNC, the Fund disagrees with a PNC recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (iv) In addition to any confidentiality obligations set forth in this Agreement, each party understands and acknowledges the highly confidential nature of underlying information concerning SAR filings (“"SAR Confidential Information”"). Except as otherwise provided herein, each party shall hold all SAR Confidential Information in strict confidence and may share such SAR Confidential Information only with, to the extent permitted by applicable law: (A) the other party, (B) the Fund’s 's control affiliates (“"control” " as defined under Section 2(a)(9) of the Investment Company Act of 1940), which may include the Fund’s 's investment adviser, and (C) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-need- to-know basis. The Fund represents and warrants to PNC that the Fund has in place a confidentiality agreement with the Fund’s 's control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (v) The Fund hereby authorizes PNC, as its agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC and the Fund, the Fund will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC to share such information.

Suspicious Activity Report AML Services. Schedule A of the Agreement is hereby amended and supplemented to add the following new provisions: The Fund hereby engages PFPC as its agent to make the determinations of and to prepare and file suspicious activity report (i"SAR") PNC as agent for filings on behalf of the Fund shall: (A) as described in this Section. PFPC will use reasonable efforts to (i) determine in coordination with the Fund’s 's AML Compliance Officer when a suspicious activity report (“SAR”) Form SAR should be filed as required by regulations applicable to the Fund, (Bii) prepare and file the Form SAR as agent for the Fund and, maintain documents supporting the SAR, (Ciii) if appropriate under regulatory guidance and procedures, procedures file a Joint SAR, SAR as agent for the Fund and any other designated financial institutions and (Div) provide the Fund with a copy of the Form SAR and supporting documentation within a reasonable time after filing. Although PNC PFPC may file a joint SAR for the Fund and other financial institutions, PNC PFPC shall do so solely as agent for the Fund Fund, and not as agent for any other financial institution. To the extent permitted by applicable law or regulation, PNC PFPC may share information related to the Services under this Section 6 hereunder with its supervising parent entities and financial institutions subject to a joint SAR filing. (ii) Unless prohibited by applicable law, each . Each party will promptly notify the other party (as permitted by applicable law) if any further communication is received from the U.S. Department of the Treasury or any law enforcement agencies regarding the SAR. The parties will reasonably cooperate and assist each other in responding to inquiries from the U.S. Department of the Treasury or law enforcement agencies with respect to the SAR or with respect to supporting documentation for the SAR requested by any law enforcement agency. (iii) . Unless prohibited by applicable law, each party will use reasonable efforts to consult with the other party’s 's authorized personnel prior to contacting law enforcement authorities or filing a SAR. Notwithstanding the foregoing, each party reserves the sole discretion to make any such contacts or filings without prior notification or approval of the other party. If after consultation with PNCupon consultation, the Fund disagrees parties disagree with a PNC PFPC recommendation to contact law enforcement or file a SAR, either party may make a notification or file a SAR, as applicable, independently of the other party. (iv) In addition to any confidentiality obligations set forth in this Agreement, each party understands and acknowledges the highly confidential nature of underlying information concerning SAR filings (“SAR Confidential Information”). Except as otherwise provided herein, each party shall hold all SAR Confidential Information in strict confidence and may share such SAR Confidential Information only with, to the extent permitted by applicable law: (A) the other party, (B) the Fund’s control affiliates (“control” as defined under Section 2(a)(9) of the Investment Company Act of 1940), which may include the Fund’s investment adviser, and (C) if applicable, another financial institution involved in the transaction, and each of their respective employees on a need-to-know basis. The Fund represents and warrants to PNC that the Fund has in place a confidentiality agreement with the Fund’s control affiliates and any other financial institution for which joint SARs may be filed that require the control affiliates and each such financial institution to maintain the confidence of SAR Confidential Information as required by applicable law. (v) The Fund hereby authorizes PNC, as its agent, to share information about potentially suspicious activities, but not the acknowledgment or copy of any SAR filing, with other financial institutions in accordance with Section 314(b) of the USA PATRIOT Act. As between PNC and the Fund, the Fund will be solely responsible for the timely filing of any annual notices required by Section 314(b) to allow PNC to share such information.