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.
Appears in 20 contracts
Samples: Transfer Agency Services Agreement (Ing Variable Insurance Trust), Agreement (Ing Prime Rate Trust), Transfer Agency Services Agreement (Ing Equity Trust)
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.
Appears in 1 contract
Samples: Transfer Agency Services Agreement (Voya Enhanced Securitized Income Fund)