Transactions Subject to Fund/SERV. On each “Business Day” (as that term is defined in a Fund’s prospectus) on which the Fund determines its per share net asset values, the Fund Agent or its designee shall accept and effect changes in its records upon receipt of purchase, redemption, exchanges, account transfers and registration instructions from the Trust Entity electronically through Fund/SERV (“Instructions”) without supporting documentation from the Client-shareholder. On each Business Day, the Fund Agent or its designee shall accept for processing any Instructions from the Trust Entity and shall process such Instructions in a timely manner.
Transactions Subject to Fund/SERV. Trust Entity certifies that all Instructions delivered to ALPS or its designee on any Business Day shall; (1) be in accordance with Rule 22c-1 of the Investment Company Act of 1940; (2) have been received by the Trust Entity from the Client-shareholder by the close of trading (currently 4:00 p.m. New York time) on the New York Stock Exchange (the “Close of Trading”) on such Business Day and that any Instructions received by it after the Close of Trading on any given Business Day will be transmitted to ALPS or its designee on the next Business Day; and (3) the Trust Entity certifies that all such Instructions received by it from a Client-shareholder by the Close of Trading on any Business Day will be delivered to ALPS or its designee on such Business Day.
Transactions Subject to Fund/SERV. Upon the execution of a Fund/SERV Amendment to this Agreement, transactions in Fund shares may be affected through Fund/SERV.
Transactions Subject to Fund/SERV. Trust Entity certifies that all Instructions delivered to the Fund Agent on any Business Day shall have been received by the Trust Entity or its designee from the Client-shareholder by the close of a Fund (generally 4:00 p.m. Eastern Time (“ET”) other than a money market fund, which generally closes multiple times each day. For a Fund that closes multiple times each day, the Trust Entity certifies that all Instructions delivered to the Fund Agent on any Business Day shall have been received by the Trust Entity or its designee from the Client-shareholder by the applicable close of the applicable Fund) (each close of a Fund, a “Market Close” and the final close on a Business Day of a Fund, the “Close of Trading”). Trust Entity further certifies that any Instructions received by it after the Close of Trading on any given Business Day will be transmitted to Fund Company on the next Business Day. Trust Entity further certifies that all such Instructions received by it or its designee from a Client-shareholder by the Close of Trading on any Business Day will be delivered to Fund Company on such Business Day. Each Instruction shall be deemed to be accompanied by a representation by the Trust Entity that it has received proper authorization from each person whose purchase, redemption, account transfer or exchange transaction is effected as a result of such Instruction. Fund Agent will make available to Trust Entity, via DTCC’s Mutual Fund Service Profile II a list of the states or other jurisdictions in which shares are eligible for sale, which list may be revised from time to time. Trust Entity agrees to offer or make available shares only in the states and other jurisdictions appearing on the most recent list made available by Fund Agent. Trust Entity will not knowingly accept or act upon any instructions to purchase shares from a Client-shareholder located outside the United States of America or for the account of any non-U.S. person. Fund Agent agrees to provide each Fund, each Fund’s transfer agent and/or other parties designated by them with an automated file in a form mutually agreeable to JPMDS and Fund Agent, on a daily basis, containing information necessary for the Fund to make blue sky and other regulatory filings, including, without limitation: (1) the amount of sales by state or jurisdiction of residence for each Fund shareholder for which Fund Agent provides services under this Agreement; (2) information designating whether each sale is an initial o...
Transactions Subject to Fund/SERV. Trust Entity certifies that all Instructions delivered to the Fund Agent on any Business Day shall have been received by the Trust Entity or its designee from the Client-shareholder by the earlier of the close of trading on the New York Stock Exchange or the close of a Fund (generally 4:00 p.m. Eastern Time (“ET”)) (the “Close of Trading”) on such Business Day and that any Instructions received by it after the Close of Trading on any given Business Day will be transmitted to Fund Company on the next Business Day. Trust Entity further certifies that all such Instructions received by it or its designee from a Client-shareholder by the Close of Trading on any Business Day will be delivered to Fund Company on such Business Day. Each Instruction shall be deemed to be accompanied by a representation by the Trust Entity that it has received proper authorization from each person whose purchase, redemption, account transfer or exchange transaction is effected as a result of such Instruction.
Transactions Subject to Fund/SERV. On each business day that the New York Stock Exchange is open for business on which the Portfolios determine their per share net asset values (“Business Day”), the Trust shall accept, and effect, changes in its records upon receipt of purchase, redemption, exchanges, and registration instructions from the Company electronically through Fund/SERV (“Instructions”) without supporting documentation from the Account in accordance with the terms and conditions set forth in this Schedule C. On each Business Day, the Trust shall accept for processing any Instructions from the Company and shall process such Instructions in a timely manner. Purchases to an Account’s Portfolio account shall be posted to such account through nightly processing after both the account registration and purchase settlement have been received. Such purchase shall appear on the account record the following Business Day. Shares are ineligible for redemption until they are posted and appear on the account record.
Transactions Subject to Fund/SERV. Upon the execution of the Fund/SERV Amendment to this Agreement, trades may be made through Fund/SERV.
Transactions Subject to Fund/SERV. On each business day that the New York Stock Exchange is open for business on which the Portfolios determine their per share net asset values ("Business Day"), the Trust or its designee shall accept, and effect changes in the Trust's records upon receipt of purchase and redemption instructions from the Insurance Company electronically through Fund/SERV ("Instructions") without supporting documentation from the Account on whose behalf the Insurance Company is acting. On each Business Day, the Trust or its designee shall accept for processing any Instructions from the Insurance Company and shall process such Instructions in a timely manner. Notwithstanding the foregoing, nothing in this Amendment shall be construed as permitting the Insurance Company to establish new accounts through Fund/SERV; it being understood that any new accounts shall be established in accordance with the Participation Agreement and after submission of a written application to the Trust.
Transactions Subject to Fund/SERV. The Insurance Company certifies that all instructions delivered to the Trust or its designee on any Business Day shall have been received by the Insurance Company from the Separate Account based on instructions from Contractholders received by the close of trading (currently 4:00 p.m. New York time) on the New York Stock Exchange (the "Close of Trading") on such Business Day and that any instructions received by the Insurance Company after the Close of Trading on any given Business Day will be transmitted to the Trust or its designee on the next Business Day. The Insurance Company further certifies that all such Instructions received by it from the Separate Account based on instructions from Contractholders by the Close of Trading on any Business Day will be delivered to the Trust or its designee on such Business Day.
Transactions Subject to Fund/SERV. The Company certifies that all Instructions delivered to the Trust on any Business Day shall have been received by the Company from the Account by the close of trading (currently 4:00 p.m. Eastern Time (“ET”)) on the New York Stock Exchange (the “Close of Trading”) on such Business Day and that any Instructions received by it after the Close of Trading on any given Business Day will be transmitted to the Trust on the next Business Day. Except with respect to Instructions on behalf of business trading under NSCC indicator codes F through O (which include 529 underlying fund trades, share class conversion, health savings account, insurance fund transaction, non-qualified retirement plan, qualified retirement plan, omnibus distribution reconciliation, variable annuity, wrap program, and/or defined benefit plan) (“DCC&S Platform Business”), the Company further certifies that all such Instructions received by it from an Account by the Close of Trading on any Business Day will be delivered to the Trust on such Business Day. With respect to processing of Instructions on behalf of DCC&S Platform Business that the Company received by the Close of Trading on a Business Day, the Company certifies it will:
(i) transmit such Instructions to Fund/SERV by 6:30 a.m. ET on the next Business Day, or
(ii) otherwise notify the Trust of such Instructions by 10:00 a.m. ET on the next Business Day. If the Company must deliver any Instructions to the Trust on a certain Business Day for processing as of the prior Business Day due to systems problems or errors, such Instructions must be delivered by 10:00 a.m. ET to the Trust on such Business Day. If the Trust receives such Instructions after the 10:00 a.m. ET deadline and processes the Instructions, resulting in a loss to the Portfolios, the Company agrees to reimburse the Trust for such loss upon receipt of a reclaim letter from the Trust. The Trust appoints the Company as its agent for the limited purpose of accepting orders for the purchase and redemption of shares of the Portfolios by the Company on behalf of its Accounts.
