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FORM N-4, ITEM 24(b)(8.42)
FORM OF SELLING/SERVICE AGREEMENT FORM CRM MUTUAL FUND TRUST
BETWEEN PFPC DISTRIBUTORS, INC. AND AMERICAN UNITED LIFE INSURANCE COMPANY(R)
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PFPC Distributors, Inc.
Version 0308
PFPC Distributors, Inc.
Version 0308
SELLING / SERVICE AGREEMENT FOR
CRM MUTUAL FUND TRUST
TO: PFPC DISTRIBUTORS, INC.
000 Xxxxx Xxxx
Xxxx xx Xxxxxxx, XX 00000
FROM:
American United Life Insurance Company
Name of Firm
One American Square
Address of Principal Office
Indianapolis, IN 46282
City, State, Zip Code
Ladies and Gentlemen:
For the mutual promises contained herein and other good and valuable
consideration, we (the "Service Provider ") enter into this Agreement with you
(the 'Distributor") for the sale of shares (the "Shares") in the CRM Mutual Fund
Trust (the "Trust") of which you are the principal underwriter as such term is
defined in the Investment Company Act of 1940 ("1940 Act") and for which you are
the exclusive agent for the continuous distribution of Shares pursuant to the
terms of a Distribution Agreement between you and the Trust. Unless the context
otherwise requires, as used herein the term "Prospectus" shall mean the
prospectus and related statement of additional information ("Statement of
Additional Information") incorporated therein by reference, as amended and
supplemented, of each investment portfolio of the Trust ("Fund") included in the
then currently effective registration statement (or post-effective amendment
thereto) of the Trust, as filed with the Securities and Exchange Commission
("SEC") pursuant to the Securities Act of 1933 ("Registration Statement"). Upon
acceptance of this Agreement by the Distributor, the Service Provider
understands that it may offer and sell Shares of the Funds subject, however, to
all of the terms and conditions hereof and to the Distributor's right, without
notice, to suspend or terminate the sale of Shares.
1. Purchase, Redemption and Exchange Transactions
All orders for the purchase of any Fund Shares shall be executed at the then
current public offering price per share (i.e., the net asset value per share
plus any applicable sales load and all orders for the redemption of any Fund
Shares shall be executed at the net asset value per share, in each case as
described in the Prospectus of such Fund and pursuant to Rule 22c-1(a) under the
1940 Act (the "Current Offering Price"). The minimum initial purchase order and
minimum subsequent purchase order shall be as set forth in the Prospectus of
such Fund. All orders are subject to acceptance or rejection by you at your sole
discretion. Unless otherwise mutually agreed in writing, each transaction shall
be confirmed promptly in writing directly to the customer. We acknowledge that
the Trust has reserved the right, at its discretion and without notice, to
suspend the sale of Shares or withdraw entirely the sale of Shares of any or all
of the Funds, including any class of Shares of any Fund. Exchanges (i.e., the
investment of the proceeds from the liquidation of Shares of one Fund in the
Shares of another Fund or shares of another registered open-end investment fund
specified in the Prospectus) shall, where available, be made in accordance with
the terms of the Prospectus of each Fund. Orders for Shares received from the
Service Provider will be accepted by each Fund only at the price and other terms
applicable to each order as described in the Prospectus.
2. Servicing Activities
The Service Provider wishes to maintain, and provide certain administrative and
servicing functions in relation to, the accounts of shareholders of the Shares
(the "Customers"), either directly or indirectly through arrangements with other
investment advisers, financial institutions and other persons (each, a "Third
Party Service Provider") and the Distributor will confirm transactions in
accordance with the terms and conditions set forth herein.
a. The Customers are for all purposes customers of the Service Provider
and not customers of the Distributor. The Fund shall execute
transactions for each of the Service Provider's Customers only upon
authorization of the Service Provider; it being understood in all
cases that (i) the Service Provider is acting as the agent for the
Customer; (ii) as between the Service Provider and the Customer, the
Customer will have beneficial ownership of the securities; (iii) each
transaction is initiated solely upon the order of the Customer; (iv)
each transaction shall be executed by the Fund only upon receipt of
instructions from the Service Provider acting as agent for its
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Customer, and (v) each transaction is for the account of the Customer
and not for the account of the Service Provider. The Service Provider
represents and warrants that it will have the full right, power and
authority to effect transactions (including without limitation,
placing any purchase and redemptions) in Shares on behalf of all
customer accounts provided by it to any transfer agent of the Fund as
such term is defined in the Prospectus (the "Transfer Agent").
b. The Service Provider shall maintain, and provide administrative and
servicing functions in relation to, the accounts of Customers (the
"Servicing Activities"), which shall, except as the parties may
otherwise agree from time to time, include without limitation:
o answering customer inquiries regarding account status and
history, the manner in which purchases, exchanges and redemptions
of the Shares may be effected, the proxy voting policies and
record of the Trust, and other matters pertaining to the Funds;
o assisting Customers in designating and changing dividend options,
account designations and addresses;
o establishing and maintaining certain shareholder accounts and
records, as may reasonably be requested from time to time by the
Trust;
o assisting in processing Share purchase, exchange, and redemption
transactions;
o arranging for the wiring of funds relating to transactions in
Shares;
o transmitting and receiving funds in connection with Customer
orders to purchase, exchange, or redeem Shares;
o verifying and guaranteeing Customer signatures in connection with
redemption orders, transfers among and changes in
Customer-designated accounts;
o providing periodic statements showing a Customer's account
balances and, to the extent practicable, integration of such
information with information concerning other client transactions
otherwise effected with or through the Service Provider;
o furnishing on behalf of the Distributor (either separately or on
an integrated basis with other reports sent to a Customer by the
Service Provider) periodic statements and confirmations of all
purchases, exchanges, and redemptions of Shares in a Customer's
account required by applicable federal or state law, all such
confirmation and statements to conform to Rule 10b-10 under the
Securities Exchange Act of 1934, and other applicable legal
requirements;
o transmitting proxy statements, annual reports, updating
prospectuses, and other communications from the Trust to
Customers;
o receiving, tabulating, and transmitting to the Trust proxies
executed by Customers with respect to annual and special meetings
of shareholders of the Trust;
o providing reports (upon the request of the Distributor)
containing state-by-state listings of the principal residences of
the beneficial owners of the Shares;
o completing all customer identification procedures relating to the
Customers under the Trust's anti-money laundering program and
taking all appropriate action in relation to Customers under
anti-money laundering requirements, including closing Customer
accounts, notifying appropriate authorities of money laundering
concerns and deferring payments of redemption proceeds while
potential money laundering concerns are investigated;
o providing to Customers who are individuals all privacy notices
and other communications required under Regulation S-P, which
shall be given on the basis that any such Customer is a
"customer" as defined in Rule 3(j) of Regulation S-P of the
Service Provider rather than of the Trust; and
o providing such other related services as the Trust or a Customer
may reasonably request.
The Service Provider shall provide at its own expense and risk all personnel and
facilities necessary or appropriate for the Service Provider to perform the
functions described above.
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3. Compensation
The Service Provider understands that it will be compensated by the Distributor
as set forth in the Prospectus and as mutually agreed upon from time to time,
consistent with the terms of the Prospectus. The Service Provider acknowledges
that compensation paid to it, if any, is subject to the terms of any Rule 12b-1
Plan that may be adopted by the Trust (the "Plan") under Rule 12b-1 promulgated
pursuant to the 1940 Act, and any rules and regulations of the Financial
Industry Regulatory Authority ("FINRA"), formerly known as the National
Association of Securities Dealers, Inc. or the "NASD" which may be applicable.
The Service Provider further acknowledges that any compensation paid to it by
the Distributor will not be from the Distributor's assets but will only derive
from amounts paid to the Distributor from the Fund. The Service Provider also
acknowledges and agrees that the Distributor shall not be responsible for the
payment of any such fee unless and until the Distributor has received
reimbursement for such payment from the Fund, and the Service Provider agrees to
waive payment of such fee unless and until the Distributor has received payment
from the Fund. Xxxxxx Xxxxxxxxx XxXxxxx, LLC ("CRM"), which serves as the
investment adviser to each Fund, may make payments to the Service Provider out
of its own resources, including revenue from the advisory fees received from the
Funds to compensate the Service Provider for marketing and/or shareholder
servicing activities. In the event Service Provider utilizes the services of a
broker-dealer to clear and settle transactions with the Funds ("Clearing Firm"),
Service Provider acknowledges and agrees that any compensation payable by
Distributor under this Section 1 shall be paid to the Clearing Firm for the full
credit to the Service Provider. The agreement between the Service Provider and
the Clearing Firm will govern the pass through of fees from the Clearing Firm to
the Service Provider. To the extent that Service Provider permits the Clearing
Firm to retain any payments made by Distributor pursuant to this Section 1, the
parties acknowledge that such payments represent compensation for the services
provided by the Clearing Firm to the Service Provider and not for distribution
or shareholder services provided to the Distributor, the Funds or Shareholders
of the Funds.
4. Authority
In no transaction shall the Service Provider have any authority to act as agent
for the Fund or for the Distributor. The Service Provider understands and agrees
that, as Distributor for the Shares, the F Distributor is acting as a disclosed
agent of the Fund and is not liable to the Fund for payment for purchases of
Shares.
5. Order Handling / Payment of Transactions
a. The procedures relating to all orders and the handling thereof shall
be subject to the terms of the Prospectus of each Fund and the written
instructions provided by the Distributor or the Fund to the Service
Provider from time to time. No conditional orders will be accepted.
The Service Provider agrees to place orders with the Fund immediately
for the same number of shares and at the same price as any sales by
the Service Provider. The Service Provider shall not withhold placing
orders received from Customers so as to profit themselves as a result
of such withholding by a change in the net asset value from that used
in the offering price to such Customers, or otherwise; provided,
however, that the foregoing shall not prevent the purchase of shares
by any Fund by the Service Provider for its own bona fide investment.
The Service Provider agrees that: (i) it shall not effect any
transaction (including, without limitation, any purchases and
redemption) in any Fund shares registered in the name of, or
beneficially owned by, any customer unless such customer has granted
the Service Provider full right, power and authority to effect such
transaction on his or her behalf and (ii) each Fund, the Distributor,
the Transfer Agent and their respective officers, directors or
trustees, agents, employees and affiliates shall not be liable for,
and shall be fully indemnified and held harmless by the Service
Provider from and against, any and all claims, demands, liabilities
and expenses (including without limitation, reasonable attorneys fees)
which may be incurred by the Fund or any of the foregoing persons
entitled to indemnification from the Service Provider hereunder
arising out of or in connection with the execution of any transactions
in Fund shares registered in the name of, or beneficially owned by,
any Customer in reliance upon any oral or written instruction believed
to be genuine and to have been given by or on behalf of the Service
Provider.
b. The Service Provider will not present any conditional orders, and the
Service Provider understands that no conditional orders will be
accepted by the Fund or its agents. The Service Provider agrees that
purchase orders placed by it will be made only for the purpose of
covering purchase orders already received from its Customers and that
the Service Provider will not make purchases for any securities dealer
or broker.
c. Payment for purchases of Shares made by wire order from the Service
Provider shall be made directly to the Transfer Agent, as per the
Prospectus instructions, in an amount equal to the Current Offering
Price per Share being purchased. If payment for any purchase order is
not received by the Fund in accordance with the terms of the
applicable Fund Prospectus, you reserve the right, without notice, to
cancel the sale and to hold the Service Provider responsible for any
loss sustained as a result thereof. The Service Provider further
represents and warrants that it maintains, and will continue to
maintain during the term of this Agreement, internal policies and
procedures which are reasonably designed to be appropriate and
sufficient with respect to orders of Fund Shares
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in accordance with the Trust's prospectus requirements and the
placement of orders with the Distributor or the Transfer Agent for
purchases or redemptions of Trust Shares on a timely basis.
6. Offer and Sale of Shares / Delivery of Information and Materials
a. The Service Provider shall offer and sell the Shares only in
accordance with the terms and conditions of the Prospectus and
Statement of Additional Information. In connection with offers to sell
and sales of Shares of each Fund, the Service Provider agrees to
deliver or cause to be delivered to each person to whom such offer or
sale is made, at or prior to the time of completion of such sale, a
copy of the Prospectus and, upon request, the Statement of Additional
Information of such Fund. Unless otherwise mutually agreed in writing,
the Distributor shall deliver or cause to be delivered to the Service
Provider copies of all annual and interim reports and any other
information and materials relating to such Funds and prepared by or on
behalf of the Distributor, the Fund or its investment adviser,
custodian, transfer agent or dividend disbursing agent for
distribution to each such customer for distribution to the Service
Provider's Customers. The Distributor agrees to supply the Service
Provider with copies of the Prospectus, Statement of Additional
Information, annual reports, interim reports, proxy solicitation
materials and any such other information and materials relating to
each Fund in reasonable quantities upon request.
b. The Service Provider agrees that it will not sell or offer for sale
Shares in any state or jurisdiction in which the Shares have not been
qualified for sale. The Distributor will make available to the Service
Provider a current list of the jurisdictions in which the Shares are
qualified for sale, but the Distributor shall have no obligation or
responsibility to make Shares available for sale to Customers of the
Service Provider in any jurisdiction.
c. The Service Provider acknowledges and understands that a Fund may
offer more than one class of Shares as described in the Prospectus.
The Service Provider shall be responsible for determining the Share
class that is appropriate for its Customer.
7. Selling Representations
Unworkable
8. Taxpayer Identification Number
The Service Provider agrees to obtain from each Customer to whom the Service
Provider sells Shares any taxpayer identification number ("TIN") certification
required by Section 3406 of the Internal Revenue Code of 1986, as amended (the
"Code"), and the regulations promulgated thereunder, and to provide the Fund or
its designee with timely written notice of any failure to obtain such TIN
certification in order to enable the implementation of any required backup
withholding in accordance with Section 3406 of the Code and the regulations
thereunder.
9. Distribution Agreement
The obligations of the Distributor to the Service Provider under this Agreement
are subject to all applicable provisions of any Distribution Agreement entered
into between the Distributor and the Fund. The Service Provider understands and
agrees that in performing its services covered by this Agreement the Service
Provider is acting as agent for the customer, and that neither the Distributor
nor the Fund is in any way responsible for the manner of the Service Provider's
performance or for any of the Service Provider's acts or omissions in connection
therewith.
10. Representations and Warranties
Each party hereby represents and warrants that: (i) it is a corporation, limited
liability company, partnership or other entity duly organized and validly
existing in good standing under the laws of the jurisdiction in which it is
organized; (ii) it has full power and authority to enter into and perform this
Agreement; and (iii) upon execution and delivery by each party, and assuming due
and valid execution and delivery by the Distributor, this Agreement will
constitute a valid and binding agreement between the parties.
The Service Provider agrees to abide by all the rules and regulations of the SEC
and the FINRA (if applicable), including, without limitation, the FINRA Business
Conduct Rules.
The following section is applicable to any Service Provider that is registered
as a broker-dealer with the FINRA
The Service Provider hereby represents and warrants: (i) that it is a member of
the FINRA and agrees to maintain membership in the FINRA or (ii) in the
alternative, that it is a foreign dealer not eligible for membership in the
FINRA. The Service Provider agrees to notify the Distributor immediately in the
event of its expulsion or suspension from the
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FINRA, or violation of any applicable federal or state law, rule or regulation
arising out of or in connection with this Agreement.
11. Indemnifications and Liabilities
a. The Service Provider agrees that the Fund, Distributor, their
directors, officers, employees, shareholders and agents shall not be
liable for any error of judgment or mistake of law or for any loss
suffered by the Service Provider in connection with the performance of
the Distributor's obligations and duties under this Agreement, except
a loss resulting from the Distributor's willful misfeasance, bad faith
or gross negligence in the performance of such obligations and duties,
or by the Distributor's reckless disregard thereof.
b. The Service Provider agrees to indemnify the Fund, Distributor and
hold the Distributor, its affiliates and the Fund and its affiliates
(including all officers, trustees, directors, employees and agents
thereof) (an "Indemnified Party") harmless from and against any and
all claims, losses, demands, liabilities or expenses (including
reasonable attorney's fees) of any sort or kind which may be asserted
against an Indemnified Party for which an Indemnified Party may be
held liable in connection with this Agreement (a "Claim") unless such
Claim resulted from a grossly negligent act or omission to act or bad
faith by the Distributor in the performance of its duties hereunder.
All expenses which the Service Provider incurs in connection with its
activities under this Agreement shall be borne by the Service
Provider.
c. The Distributor agrees to indemnify the Service Provider and hold the
Service Provider and its affiliates (including all officers, trustees,
directors, employees and agents thereof) (an "Indemnified Party")
harmless from and against any and all claims, losses, demands,
liabilities or expenses (including reasonable attorney's fees) of any
sort or kind which may be asserted against an Indemnified Party for
which an Indemnified Party may be held liable in connection with this
Agreement (a "Claim") provided that such Claim resulted from a grossly
negligent act or omission to act or bad faith by the Distributor in
the performance of its duties hereunder. All expenses which the
Distributor incurs in connection with its activities under this
Agreement shall be borne by the Distributor.
d. Each party shall have the duty to mitigate damages for which the other
party may become responsible. Neither party may assert any cause of
action against the other party under this Agreement that accrued more
than two (2) years prior to the filing of the suit (or commencement of
arbitration proceedings) alleging such cause of action.
e. Notwithstanding anything in this Agreement to the contrary, in no
event shall either party, its affiliates or any of its or their
directors, officers, employees agents or subcontractors be liable to
the other party under any theory of tort, contract, strict liability
or other legal or equitable theory for lost profits, exemplary,
punitive, special, incidental, indirect or consequential damages, each
of which is hereby excluded by agreement of the parties regardless of
whether such damages were foreseeable or whether either party or any
entity has been advised of the possibility of such damages.
12. Limitation of Liability of Trustees and Others
The Service Provider acknowledges that the trustees, officers, employees, agents
or shareholders of the Trust shall not be liable for any obligations of the
Trust or of the Funds under this Agreement and agrees that, in asserting any
rights or claims under this Agreement, it shall look only to the assets and
property of the Fund to which the Service Provider's rights or claims relate in
settlement of such rights or claims, and not to the trustees, officers,
employees, agents or shareholders of the Trust.
13. Regulation S-P
Notwithstanding anything in this Agreement to the contrary, each party agrees
that any Nonpublic Personal Information, as defined under Section 248.3(t) of
Regulation S-P ("Regulation S-P"), promulgated under the Xxxxx-Xxxxx-Xxxxxx Act
(the "Act"), disclosed hereunder is for the specific purpose of permitting the
Service Provider to perform the services set forth in this Agreement. Each party
agrees that, with respect to such information, it will comply with Regulation
S-P and the Act and that the Service Provider will not disclose any Nonpublic
Personal Information received in connection with this Agreement, to any other
party, except to the extent as necessary to carry out the services set forth in
this Agreement or as otherwise permitted by Regulation S-P or the Act.
14. Anti-Money Laundering
The Service Provider shall have policies and procedures in place in order to
comply with the provisions of the Money Laundering Abatement Act, USA Patriot
Act and the Bank Secrecy Act, and any other Anti-Money Laundering law, rule or
regulation appropriate to such Service Provider, including any FINRA or NYSE
rules to which the Service Provider may be
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subject. The Service Provider agrees that, at all times, it will remain in
compliance with all regulations to which it is subject, including without
limitation, rules requiring the Service Provider to implement anti-money
laundering ("AML") and customer identification programs ("CIP"). The Service
Provider will, upon the Distributor's reasonable request, certify to the
Distributor that it remains in compliance with such rules; specifically, that it
(i) provides notice of its CIP to all new customers, (ii) obtains required
identifying data elements for each customer, (iii) reasonably verifies the
identity of each new customer (using the data elements), (iv) takes appropriate
action, including additional due diligence, with respect to persons the
identities of whom it cannot verify, and (v) retains all records in a manner and
for the time periods required by any regulation to which it is subject.
15. Recordkeeping
The Service Provider shall maintain records concerning its performance under
this Agreement and Customer transactions in Shares in a form reasonably
acceptable to the Trust and in compliance with applicable legal requirements,
including the recordkeeping requirements of Section 31(a) of the 1940 Act, and
the rules thereunder. Such records shall be the property of the Trust and will
be made available, at the Trust's request, for inspection and use by the Trust,
representatives of the Trust, and any of their respective delegees. The
recordkeeping obligations imposed in this paragraph shall survive any
termination of this Agreement for a period of six years
16. Definitions. For purposes of this Agreement:
The term "Shares" means the interests of Shareholders corresponding to the
redeemable securities of record issued by the Fund under the 1940 Act that are
held by the Service Provider.
The term "Shareholder" means the beneficial owner of Shares, whether the Shares
are held directly or by the Service Provider in nominee name. For retirement
plan recordkeepers, the term "Shareholder" means the Plan participant
notwithstanding that the Plan may be deemed to be the beneficial owner of
Shares. For insurance companies, the term "Shareholder" means the holder of
interests in a variable annuity or variable life insurance contract issued by
the Service Provider or an affiliate of the Service Provider.
17. Effective Date and Assignment
This Agreement shall become effective as of the date when it is executed and
dated by the Distributor below and shall be in substitution of any prior
agreement between the parties covering the Servicing Activities. This Agreement
and all the rights and obligations of the parties hereunder shall be governed by
and construed under the laws of the State of Delaware, without giving effect to
principles of conflicts of laws. This Agreement is not assignable or
transferable, except that the Distributor may assign or transfer this Agreement
to any successor firm or corporation which becomes the Distributor of the Fund
upon prior notice to the Service Provider.
18. Termination
This Agreement may be terminated at any time by either party upon fifteen (15)
days prior written notice to the other party. Notwithstanding the termination of
this Agreement all unfulfilled obligations, duties and liabilities of either
party to the other as of the date of termination including, without imitation,
all obligations of indemnification of either to the other shall remain the
responsibility of the respective party. This Agreement may be amended only by a
written instrument signed by both the parties hereto, except that the Service
Provider agrees that the Distributor has and reserves the right, in its sole
discretion, to modify, amend or cancel this Agreement upon written notice to the
Service Provider of such modification, amendment or cancellation, which shall be
effective on the date stated in such notice. This Agreement may be terminated
with respect to a Fund or a class of Shares thereof at any time, without payment
of any penalty, by the Distributor, vote of a majority of the Disinterested
Trustees (as defined in the Shareholder Service Plan adopted by the Trust), or
by vote of a majority of the class of Shares of such Fund for which services are
provided hereunder, on not more than sixty (60) days' written notice. Without
limiting the foregoing, the Distributor may terminate this Agreement for cause
on violation by the Service Provider of any of the provisions of this Agreement,
said termination to become effective on the date of mailing notice to the
Service Provider of such termination.
In addition, without limiting the foregoing, any provision hereof to the
contrary notwithstanding, expulsion of the Service Provider from the FINRA
(where the Service Provider is a FINRA member) will automatically terminate this
Agreement without notice and suspension of the Service Provider from the FINRA
or the Service Provider's violation of applicable state or Federal laws or rules
and regulations of an authorized regulatory agencies will terminate this
Agreement effective upon the date of the Distributor's mailing notice to the
Service Provider of such termination. Waiver of any breach of any provision of
this Agreement will not be construed as a waiver of the provision or of the
Distributor's right to enforce said provision thereafter. Failure by the
Distributor to terminate for any cause shall not constitute a waiver of its
right to
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terminate at a later date for any such cause. All notices hereunder shall be to
the respective parties at the addresses listed hereon, unless changed by notice
given in accordance with this Agreement.
19. Headings
The heading in this Agreement are for informational purposes only.
AMERICAN UNITED LIFE INSURANCE COMPANY
BY:
Print Name and Title
Contact Person:_______________________________
E-Mail Address:_______________________________
Telephone Number:____________________________
[If Applicable: SEC Broker Dealer Res. No. __________; F
INRA Firm CRD No. __________]
REQUIRED: TAX IDENTIFICATION NUMBER: _____________________________________
Accepted:
PFPC DISTRIBUTORS, INC.
By: __________________________________________________________
Date: ___________day of_______________,___________
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PFPC Distributors, Inc.
Know Your Customer Questionnaire for Intermediaries
In response to the requirements of The USA PATRIOT Act, PFPC Distributors, Inc.
is required to"Know Our Customers." We request your cooperation with compliance
and ask you to complete in total the information below and return with the
executed agreement.
Thank you,
PFPC Distributors, Inc.
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___________________________________________
Name of Institution
______________________________________________
Taxpayer Identification Number
______________________________________________
Type of Business
______________________________________________
State in Which Corporation is Domiciled
______________________________________________
Date of Incorporation
______________________________________________
Regulatory Body with Oversight Authority
______________________________________________
SEC Broker Dealer Res. No. (if applicable)
______________________________________________
FINRA Firm CRD No. (if applicable)
______________________________________________
Contact Person
______________________________________________
Contact Person's Email Address
______________________________________________
Contact Person's Telephone Number
______________________________________________
Other Information (or attachments noted)
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CRM MUTUAL FUND TRUST DEALER PROFILE SHEET
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1 Has signed dealer agreement been sent to distributor? Yes or No Date
sent:
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2 Dealer name:
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3 Dealer address:
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4 Dealer contact:
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5 Dealer phone number/email address/fax number:
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QUESTIONS PRECEDED BY ** RELATE TO FUND\SERV
IF NOT A FUND\SERV PARTICIPANT, PLEASE SKIP TO QUESTION #10
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**6 Is the dealer using Fund\Serv? Yes or No If yes, what is their NSCC Number?
What is their alpha indicator?
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**7 Is the dealer using networking? Yes or No
If yes, when would they like to receive position files? Choices are:
1st & 3rd Friday 2nd & 4th Friday 1st & 3rd Thursday 2nd & 4th Thursday
Please note: Any additional position files are on an as requested basis.
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**8 If using networking, indicate network level:
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**9 If another dealer is clearing for them, what is the other dealer's name:
Address:
NSCC number:
Alpha indicator:
Network level:
Contact name:
Contact phone:
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10 What is the address of the main office for mailing purposes of checks for
payment? (MAIN OFFICE ONLY)
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11 Will statements go to main office or branch? Main Office Branch ----------
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PLEASE ATTACH A COMPLETE BRANCH AND REP LISTING
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12 Omnibus account? Yes or No If yes, how will you notify the transfer agent
of the proper Blue Sky state information for the subaccounts? (I.E. a
monthly report will be sent or trades will be placed with state information
provided)_____________________ ----------
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Completed fact sheet to be forwarded to:
PFPC Distributors, Inc.
000 Xxxxx Xxxx, Xxxx xx Xxxxxxx, XX 00000
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