Transfer Agency Reports. 1. Daily Shareholder Activity Journal
Transfer Agency Reports. Daily Shareholder Activity Journal Daily Fund Activity Summary Report Beginning Balance Transactions Shareholder Transactions Reinvested Dividends Exchanges Adjustments Ending Balance Daily Wire and Check Registers Monthly Dealer Processing Reports Monthly Dividend Reports Sales Data Reports for Blue Sky Registration A copy of the most recent report by independent public accountants describing control structure policies and procedures relating to transfer agency operations pursuant to AICPA Statement on Auditing Standards Number 70. Such special reports and additional information that the parties may agree upon, from time to time. In addition to the forgoing, following each quarterly period, BISYS will provide a report to the following effect pertaining to the AML Services rendered by BISYS hereunder during such quarterly period: performed good order review for all new and reregistered accounts; performed acceptance review for all monetary instruments received; administered signature guarantee policy in accordance with prospectus requirements; administered escrow hold policy in accordance with prospectus requirements; verified customer address changes; verified customer identification for all new accounts and all name changes on existing accounts; monitored all purchase transactions made with cash equivalents totaling in excess of $10,000 resulting in the filing of Form 8300 reports during the period. The Fund does not accept cash or currency; monitored all accounts for suspicious activity resulting in the filing of [x] Form SAR reports during the period; reviewed shareholder names against lists of suspected terrorist and terrorist organizations supplied by various governmental organizations, such as the Office of Foreign Asset Control resulting in the freezing and reporting of accounts during the period; created the documentation necessary to provide a basis for law enforcement authorities to trace illicit funds; and maintained all records and other documentation related to shareholder accounts and transactions required to be prepared and maintained pursuant to the Fund's anti-money laundering program for all BISYS transfer agent services. The following will be provided in such report if the Company falls under the related USA PATRIOT Act provisions: performed the required due diligence to help prevent the opening of any accounts for foreign shell banks during the period either directly or through correspondent accounts; and performed required due diligen...
