Examples of Fund Service in a sentence
It is incorporated by reference & is legally a part of the Scheme Information Document.“Stock Exchange Platform for Mutual Funds”Mutual Fund Service System (MFSS) of NSE and/or Bombay Stock Exchange Platform for Allotment and Redemption of Mutual Fund units (BSE StAR MF) of BSE.
In addition to the existing modes for transactions in the units of the Regular Plan of the scheme, investors can transact through Mutual Fund Service System (MFSS) platform of National Stock Exchange of India Limited (NSE).
Non-U.S.-based Monitored Employees, including Fund Service and Fund Officer Employees, are required to submit to Local Compliance, upon receipt from their broker, trade confirmations or contract notes for trades in non-exempt securities.
However, unlike the other employee classifications, Fund Officer and Fund Service Employees are subject to a post-trade back-testing analysis that is designed to accumulate and assess employee trading activity that mirrors company or client trades.
Upon receipt of written instructions of an officer of Fund, Service Company will address and mail notices to shareholders.
Monitored Employees, defined as all employees, with the exception of Non-Classified Employees (see previous page), are subject to special requirements concerning where they maintain their brokerage accounts, the accounts required to be reported, the certification of accounts and holdings, and, with the exception of Dreyfus/FINRA Group, Fund Officer, Fund Service, and Service Employees, the duty to preclear non-exempt trades in the Protegent PTA (PTA) system before submitting them to a broker for execution.
Employees will be designated into one or more of the following classifications:Access Decision Maker Dreyfus/FINRA Employee Investment Employee Pre-Release Earning Group Insider Risk Employee Fund Officer Fund Service Employee Non-Classified Employees Service Employee U.S.-based employees must maintain their brokerage accounts with an approved broker-dealer.
Please note that they are required to preclear Exchange Traded Notes (ETNs).Fund Officer, Fund Service, and Service EmployeesCompany OversightWhile employees in these classifications are subject to the General Standards of Conduct and the approved broker-dealer requirement (U.S. employees only) contained in the Policy, they are not required to preclear trades, and therefore, are not subject to pre-trade denials of those trades.
Quarterly Reporting in PTA – For Fund Officer Employees and EMEA based Fund Service Employees Only In addition to the Initial and Annual Reporting that must be completed by all Monitored Employees, Fund Officer Employees and EMEA-based Fund Service Employees are also subject to Quarterly Reporting.
Company OversightWhile Fund Officer and Fund Service Employees are subject to many of the same requirements as the other employee classifications, Fund Officer and Fund Service Employees are not required to preclear trades, and therefore, are not subject to pre-trade denials of those trades.