REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services for each Fund and Series: Assist the Fund in responding to SEC examination requests by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list and by making employees responsible for providing services available to regulatory authorities having jurisdiction over the performance of such services as may be required or reasonably requested by such regulatory authorities; Assist with and/or coordinate such other filings, notices and regulatory matters and other due diligence requests or requests for proposal on such terms and conditions as BNY Mellon and the applicable Fund on behalf of itself and its Series may mutually agree upon in writing from time to time; and
REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services for each Fund and Series: § Assist the Fund in responding to SEC examination requests by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list and by making employees responsible for providing services available to regulatory authorities having jurisdiction over the performance of such services as may be required or reasonably requested by such regulatory authorities; § Assist with and/or coordinate such other filings, notices and regulatory matters and other due diligence requests or requests for proposal on such terms and conditions as BNY Mellon and the applicable Fund on behalf of itself and its Series may mutually agree upon in writing from time to time; and § 38a-1 Compliance Support Services: · Provide compliance policies and procedures related to services provided by BNY Mellon and, if mutually agreed, certain of the BNY Mellon Affiliates; summary procedures thereof; and periodic certification letters. · Such Compliance Support Services are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of a Fund or any other person, and such services are subject to review and approval by the applicable Fund and by the Fund’s legal counsel. · Provide access to Fund records so as to permit the Fund or TRP to test the performance of BNY Mellon in providing the services under this Agreement. · Such Compliance Support Services performed by BNY Mellon under this Agreement shall be at the request and direction of the Fund and/or its chief compliance officer (the “Fund’s CCO”), as applicable. BNY Mellon disclaims liability to the Fund, and the Fund is solely responsible, for the selection, qualifications and performance of the Fund’s CCO and the adequacy and effectiveness of the Fund’s compliance program.
REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services for each Fund: § Maintain a regulatory calendar for each Fund listing various SEC filing and Board approval deadlines; § Assemble and distribute board materials for quarterly meetings of the Board, including the drafting of agendas and resolutions for such quarterly meetings of the Board (with final selection of agenda items made by Fund counsel); § Attend (in-person or telephonically) quarterly Board meetings and draft minutes thereof; § Prepare and coordinate the filing of annual post-effective amendments to a Fund’s registration statement (not including the initial registration statement or related to the addition of one or more classes of shares or series), along with any wrapper or facing page and provide print ready/bookmarked pdfs to Fund for filing purposes; § Prepare and coordinate the filing of any SEC filings pursuant to Rule 497(c) and (j); and coordinate the filing of supplements pursuant to Rule 497(e). § Coordinate EDGARization with Funds’ EXXXX team and Funds’ legal counsel as well as assist with filing coordination (including obtaining signatures and signoffs); § Prepare and coordinate the filing of Forms N-CSR and N-PX, as applicable (with the Fund supplying the voting records in the format required by BNY Mellon)2; File Form N-CSR with Securities and Exchange Commission (see Financial Reporting above) § Assist the Fund in the handling of SEC examinations by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list; and § Assist in the preparation of notices of annual or special meetings of shareholders and proxy materials relating to such meetings 2. § eBoard Book Services: · Permit persons or entities entering a valid password to have electronic access, via an Internet-based secure website, to current quarterly board meeting materials and such other board meeting materials as may be agreed between BNY Mellon and a Fund 2.
REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services for each Fund and Series:
REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services with respect to each Trust: ▪ Maintain a regulatory calendar with respect to the Trust listing various SEC filing and Board approval deadlines; ▪ Assemble and distribute board materials for quarterly meetings of the Board, including the drafting of agendas and resolutions for such quarterly meetings of the Board (with final selection of agenda items made by Trust counsel); ▪ Attend (in-person or telephonically) quarterly Board meetings (and other off-cycle meetings, not to exceed three (3) Board meetings per quarter) and draft minutes thereof with a goal (but not obligation) of distributing draft minutes to the Administrator within thirty-five (35) days following a Board meeting; ▪ Attend (in-person or telephonically) Pricing Committee meetings and draft minutes thereof; ▪ Prepare and coordinate the filing of (1) annual post-effective amendments to the Trust’s registration statement (not including the initial registration statement or related to the addition of one or more classes of shares or series or the combining of multiple prospectuses into one prospectus or the splitting of one prospectus into multiple prospectuses) (including a secondary review of the iXBRL tagging, after completion of the tagging by the Workiva team (or a successor provider to that team) and review by the Administrator, and prior to the applicable filing), (2) annual summary prospectus filings and (3) prospectus and Statement of Additional Information supplement filings as directed by Trust counsel; ▪ Prepare and coordinate annual and quarterly trustee questionnaires; ▪ Provide reasonable assistance to the Administrator and Trust counsel with respect to written consents for the Trust; ▪ Prepare and coordinate the filings of Form N-CSR; ▪ Prepare and coordinate the Trust’s Fidelity Bond filings with the SEC; ▪ Prepare and coordinate the filing of Form N-PX (with the Trust supplying the voting records in the format required by BNY Mellon); ▪ Assist the Trust in the handling of SEC examinations by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list; and ▪ Assist with and/or coordinate such other filings, notices and regulatory matters on such terms and conditions as BNY Mellon and the Administrator may mutually agree upon in writing from time to time. ▪ eBoard Book Services [*Vendor Eligible Service] • Permit persons or entities entering a valid password to...
REGULATORY ADMINISTRATION SERVICES. BNYM shall provide the following regulatory administration services: • Assistance and maintenance of a regulatory calendar for each Fund listing various SEC filing and Board approval deadlines; • Assistance with the assembly and distribution of board materials (electronically or in hard copy) for four regular meetings, five committee meetings and one special meeting of the Board during any twelve month period, including the drafting of agendas and resolutions for such meetings of the Board (with final item selection being made by Fund counsel and/or a Fund officer); • Attend quarterly and special Board meetings and provide draft minutes thereof; • Prepare and coordinate the filing of annual post-effective amendments to a Fund’s Registration Statement (not including the initial Registration Statement or the addition of one or more classes of shares or series); • Provide requested Fund documents in the possession of BNYM in connection with an SEC request list related to an SEC examination of a Fund; • Administratively assist in completing fidelity bond and D&O/E&O insurance applications and coordinate the filing of the fidelity bond with the SEC; • Coordinate the EDGARIZATION and filing of a Fund’s Schedule TO with the SEC; • Assistance with the preparation of notices of one annual and one special meeting of shareholders per calendar year and proxy materials relating to such meeting and coordinate the EDGARIZATION and filing of such proxy materials with the SEC; • Provide such other regulatory administration services on such terms and conditions as the parties may hereto may agree in writing. • eBoard Book**: • Permit persons or entities entering a valid password to have electronic access, via an Internet-based secure website, to current quarterly board meeting materials and such other board meeting materials as may be agreed between BNYM and a Fund.
REGULATORY ADMINISTRATION SERVICES. Citi will provide the following regulatory administration services to the Client:
(a) Prepare for review and approval by the Client and counsel to the Funds (“Fund Counsel”) drafts of: (a) the annual update to each Funds’ registration statement on Form N-1A, (b) as requested by the Client or Fund Counsel, other amendments to each Funds’ registration statement and supplements to its prospectus and statements of additional information reflecting developments from time to time with respect to existing Funds, and (c) notices of annual or special meetings of shareholders of the Client and proxy materials relating thereto, and file any of the foregoing with the Commission upon the request of the Client or counsel to the Client; Subject to approval by the Client and Fund Counsel, file any of the foregoing with the SEC;
(b) Maintain corporate records on behalf of the Funds and provide access to fund governance information as it relates to Regulatory Administration’s Services, including, but not limited to, board books, minute books, Declaration of Trust and by-laws, and prepare, at the direction of Client, amendments to the Client's Declaration of Trust and by-laws and file as necessary;
(c) Assist the Funds in obtaining and maintaining fidelity bonds and directors and officers/errors and omissions insurance policies for the Funds at the expense of the Funds in accordance with the requirements of Rules 17g-1 and 17d-1
REGULATORY ADMINISTRATION SERVICES. (a) If Schedule I contains a requirement for BNY Mellon to provide the Trust with compliance support services and/or Regulatory Administration services, such services shall be provided pursuant to the terms of this Section 8 (such services, collectively hereinafter referred to as the “Regulatory Support Services”).
(b) Notwithstanding anything in this Agreement to the contrary, the Regulatory Support Services provided by BNY Mellon under this Agreement are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of the Trust or any other person.
(c) All work product produced by BNY Mellon in connection with its provision of Regulatory Support Services under this Agreement is subject to review and approval by the Trust and by the Sponsor’s legal counsel. The Regulatory Support Services performed by BNY Mellon under this Agreement will be at the request and direction of the Trust and/or its officers or other Authorized Persons, as applicable. BNY Mellon disclaims liability to the Trust, and the Trust is solely responsible, for the selection, qualifications and performance of the Trust’s officers or other Authorized Persons and the adequacy and effectiveness of the Trust’s compliance program.
REGULATORY ADMINISTRATION SERVICES. (i) Assemble and distribute Board materials for meetings of the Board, including the drafting of agendas and resolutions for such meetings of the Board.
(ii) Prepare and coordinate the filing of post-effective amendments to a Fund’s registration statement (including post-effective amendments to the registration statement related to the addition of one or more series of shares) and any amendments or supplements thereto.
(iii) Prepare or assist Fund counsel in the preparation and filing of notices of special meetings of shareholders and proxy materials relating to such meetings and coordinate and oversee additional function related to such meetings, including solicitation and proxy tabulation services.
(iv) Prepare and respond to regulatory examinations, requests and/or matters.
(v) Oversee the provision of services to the Funds by third parties, including the Funds’ administrator and affiliates of the Adviser.
(vi) Provide to the Board periodic and special reports, as the Board may reasonably request, relating to the provision of services hereunder and also concerning the services of the Funds’ administrator, custodian and transfer agent.
REGULATORY ADMINISTRATION SERVICES. Provide administrative services for quarterly Board meetings by (A) coordinating Board book production, preparation, and distribution, (B) subject to review and approval by the Client and its counsel, preparing Board agendas, resolutions, and minutes, (C) preparing the relevant sections of the Board materials required to be prepared by Service Provider, (D) assisting to gather and coordinate special materials related to annual contract renewals of Client-related plans, policies and procedures for and as directed by the Board or Client counsel, (E) attending Board meetings and recording the minutes, and (F) performing such other Board meeting functions as shall be agreed by the parties in writing.
