TRANSFER AGENCY AND RELATED SERVICES. Transfer Agency
TRANSFER AGENCY AND RELATED SERVICES. (Applicable only to ETF Portfolios; the ETF Portfolios are referred to as the ETF or the ETFs)
TRANSFER AGENCY AND RELATED SERVICES. Establish and maintain shareholder accounts • Process and record purchase and redemption orders • Process dividends and capital gain distributions • Perform NSCC processing • Manage operating account settlement (NSCC and custody) • Produce and mail confirmations and account statements • Process year-end shareholder tax reporting • Perform required AML and CIP services • Maintain and coordinate Blue Sky registration • Handle 800-line phone calls on recorded lines • Compile monthly reports on call statistics
TRANSFER AGENCY AND RELATED SERVICES. Transfer Agency Investor Services
TRANSFER AGENCY AND RELATED SERVICES. Transfer Agency · Establish and maintain shareholder accounts · Process and record purchase and redemption orders · Prepare shareholder lists in connection with any proxy solicitation · Process dividends and capital gain distributions · Perform NSCC processing · Produce and mail confirmations and account statements · Coordinate the mailing of shareholder reports and prospectuses to current shareholders with the Trust’s selected vendor and at the direction of the Trust · Process year-end shareholder tax reporting · Perform AML and CIP services as requested by the Trust · Maintain and coordinate Blue Sky registration Investor Services · Handle 800-line phone calls on recorded lines · Collect and communicate daily fulfillment orders · Compile monthly reports on call statistics · Provide client branded investor account access site
