Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable. (i) Calculate 12b-1 payments; (ii) Maintain proper shareholder registrations; (iii) Review new applications and correspond with shareholders to complete or correct information; (iv) Direct payment processing of checks or wires; (v) Prepare and certify stockholder lists in conjunction with proxy solicitations; (vi) Countersign share certificates; (vii) Prepare and mail to shareholders confirmation of activity; (viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response; (ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC; (x) Provide periodic shareholder lists and statistics to the clients; (xi) Provide detailed data for underwriter/broker confirmations; (xii) Prepare periodic mailing of year-end tax and statement information; (xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and (xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time. (b) Services Provided by PFPC Under Oral Instructions or Written Instructions. (i) Accept and post daily Fund purchases and redemptions; (ii) Accept, post and perform shareholder transfers and exchanges; (iii) Pay dividends and other distributions; (iv) Solicit and tabulate proxies; and (v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 5 contracts
Sources: Transfer Agency Services Agreement (Citizens Funds), Transfer Agency Services Agreement (Kelmoore Strategy Variable Trust), Transfer Agency Services Agreement (Hillview Investment Trust Ii)
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicable.if applicable:
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the multi-class distribution system, including Class B conversion feature or similar conversion feature for other Classes, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts and redemption fees upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B or similar conversion and effect the same;
(vi) Establish and maintain proper shareholder Shareholder registrations;
(iiivii) Review new applications and correspond with shareholders Shareholders to complete or correct information;
(ivviii) Issue dividend checks in accordance with agreed-upon procedures;
(ix) Direct payment processing of checks or wireswires in accordance with agreed-upon procedures;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viiix) Provide toll-free lines for direct shareholder Shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxi) Mail As requested by a Fund by Written Instruction, send duplicate confirmations to broker-dealers of their clients' ’ activity, whether executed through the broker-dealer or directly with PFPCTransfer Agent;
(xxii) Provide periodic shareholder lists Shareholder lists, outstanding Share and Class calculations and related statistics to the clientsFund;
(xixiii) Provide detailed data for underwriter/broker confirmations;
(xiixiv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements) to Shareholder accounts disclosed on its books and records;
(xiiixv) Notify on a timely daily basis the investment adviser, accounting agent, and custodian Custodian of fund activity; and;
(xivxvi) Withhold taxes for U.S. resident and non-resident aliens, where applicable;
(xvii) Maintain and process letters of accumulation and automatic investment plans;
(xviii) Serve as custodian and/or trustee to retirement plans, individual retirement accounts and similar accounts;
(xix) Receive information from third-party administrators to record either plan level or individual participant level information, as require;
(xx) Perform other services with respect to participating broker-dealer shareholder services dealers or Shareholders as may be agreed upon from time to time;
(xxi) Facilitate compliance with state escheatment laws;
(xxii) Monitor account balances for purposes of determining small account fees; and
(xxiii) Effecting mandatory redemption.
(b) Services Provided provided by PFPC Under Transfer Agent under Oral Instructions or Written Instructions.:
(i) Accept and post daily Fund and Class purchases and redemptions;; and
(ii) Accept, post and perform shareholder Shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 5 contracts
Sources: Transfer Agency and Services Agreement (Legg Mason Partners Variable Income Trust), Transfer Agency and Services Agreement (Legg Mason Partners Money Market Trust), Transfer Agency and Services Agreement (Legg Mason Partners Premium Money Market Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Share purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 5 contracts
Sources: Transfer Agency Services Agreement (Smithgraham Institutional Funds), Transfer Agency Services Agreement (Kalmar Pooled Investment Trust), Transfer Agency Services Agreement (Equitable Trust/Ny/)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 3 contracts
Sources: Transfer Agency and Related Services Agreement (Brinson Funds Inc), Transfer Agency and Related Services Agreement (Painewebber Investment Trust Ii), Transfer Agency and Related Services Agreement (Painewebber Financial Services Growth Fund Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction con- junction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 3 contracts
Sources: Transfer Agency Services Agreement (Eii Realty Securities Fund), Transfer Agency Services Agreement (FBR Family of Funds), Transfer Agency Services Agreement (Eii Realty Securities Trust)
Description of Services. The services provided by PFPC shall include the following:
(a) Services Provided on an Ongoing BasisSERVICES PROVIDED ON AN ONGOING BASIS, If Applicable.IF APPLICABLE. PFPC shall provide the following services:
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixvii) Mail duplicate confirmations to broker-dealers upon the request of their clients' activity, whether executed through the broker-dealer or directly with PFPCShareholders;
(xviii) Provide periodic shareholder lists and statistics to the clientsFund;
(xiix) Provide detailed data for underwriter/broker confirmations;
(xiix) Prepare periodic mailing of year-end tax and statement information;
(xiiixi) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and;
(xivxii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixiii) Accept and post daily Fund Share purchases and redemptions;
(iixiv) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxv) Issue and cancel certificates (when requested in writing by the shareholder).
(b) SERVICES PROVIDED BY PFPC UNDER ORAL INSTRUCTIONS OR WRITTEN INSTRUCTIONS. PFPC shall provide the following services upon receipt of Oral or Written Instructions:
(i) Pay dividends and other distributions.
Appears in 2 contracts
Sources: Transfer Agency Services Agreement (Atlas Insurance Trust), Transfer Agency Services Agreement (Atlas Funds)
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicable.if applicable:
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Establish and maintain proper shareholder Accountholder registrations;
(iii) Review new applications and correspond with shareholders Accountholders to complete or correct information;
(iv) Issue dividend checks/wires in accordance with agreed-upon procedures;
(v) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists wires in conjunction accordance with proxy solicitationsagreed-upon procedures;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder useAs requested by a Fund by Written Instruction, plus customer liaison staff for on-line inquiry response;
(ix) Mail send duplicate confirmations to broker-dealers of their clients' an Accountholder’s activity, whether executed through the broker-dealer or directly with PFPCCo-Transfer Agent by the Accountholder;
(xvii) Provide periodic shareholder lists Accountholder lists, outstanding Share and Class calculations with respect to such Accountholders and related statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xiiviii) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements) to Shareholder accounts disclosed on its books and records;
(xiiiix) Notify on a timely daily basis the investment adviser, accounting agent, adviser and custodian Custodian of fund activity; andactivity in the Funds by the Accountholders;
(xivx) Withhold taxes for U.S. resident and non-resident aliens, where applicable;
(xi) Receive information from third-party administrators to record either plan level or individual participant level information, as require;
(xii) Perform other participating broker-dealer shareholder services with respect to Accountholders as may be agreed upon from time to time;
(xiii) Facilitate compliance with state escheatment laws;
(xiv) Monitor account balances for purposes of determining small account fees; and
(xv) Effecting mandatory redemption.
(b) Services Provided provided by PFPC Under Co-Transfer Agent under Oral Instructions or Written Instructions.:
(i) Accept and post daily Fund and Class purchases and redemptions;redemptions with respect to the Accountholders; and
(ii) Accept, post and perform shareholder Accountholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by exchanges if to another Fund for which the shareholder)Co-Transfer Agent has been appointed co-transfer agent under this Agreement.
Appears in 2 contracts
Sources: Co Transfer Agency and Services Agreement (Legg Mason Partners Money Market Trust), Co Transfer Agency and Services Agreement (Legg Mason Partners Income Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentsFurnish state-by-state registration reports;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction con-junction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Coordinate and support the Fund's shares being traded on the Fund/Serv system;
(xiv) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xivxv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Transfer Agency Services Agreement (CRM Mutual Fund Trust), Transfer Agency Services Agreement (CRM Mutual Fund Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iiiii) Review new applications and correspond with shareholders to complete or correct information;
(iviii) Direct payment processing of checks or wires;
(viv) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(viv) Countersign share certificates;
(viivi) Prepare and mail to shareholders confirmation of activity;
(viiivii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixviii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xix) Provide periodic shareholder lists and statistics to the clientsa Fund;
(xix) Provide detailed data for underwriter/broker confirmations;
(xiixi) Prepare periodic mailing of year-end tax and statement information;
(xiiixii) Notify on a timely basis the investment adviserManager, accounting agent, and custodian of fund activity; and;
(xivxiii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixiv) Accept and post daily Fund Share purchases and redemptions;
(iixv) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvi) Issue and cancel certificates (when requested in writing by the shareholder); and
(xvii) Calculate 12b-1 payments.
Appears in 2 contracts
Sources: Transfer Agency Services Agreement (Eip Investment Trust), Transfer Agency Services Agreement (Eip Investment Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders and/or financial intermediaries to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viiivii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixviii) Mail duplicate confirmations to broker-dealers financial intermediaries of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xix) Provide periodic shareholder lists and statistics to the clientsTrust;
(xix) Provide detailed data for underwriter/broker confirmations;
(xiixi) Prepare periodic mailing of year-end tax and statement information;
(xiiixii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and;
(xivxiii) Perform other participating broker-dealer financial intermediary shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixiv) Accept and post daily Fund Share purchases and redemptions;
(iixv) Accept, post and perform shareholder transfers and exchanges;
(iiixvi) Pay dividends Make information available to shareholder servicing unit and other distributionsremote access units regarding trade date, share price, current holdings, yields and dividend information;
(ivxvii) Solicit Provide mailing labels for distribution of financial reports, prospectuses, proxy statements or marketing material to current shareholders;
(xviii) Perform certain administrative and tabulate proxiesministerial duties relating to opening, maintaining and processing transactions for shareholders or financial intermediaries that trade shares through the NSCC; and
(vxix) Issue and cancel certificates confirmations in accordance with Rule 10b-10 under the 1934 Act; and
(when requested in writing by the shareholder)xx) Issue periodic statements for shareholders.
Appears in 2 contracts
Sources: Transfer Agency and Blue Sky Services Agreement (Bb&t Funds /), Transfer Agency and Blue Sky Services Agreement (BB&T Variable Insurance Funds)
Description of Services. (a) Services Provided on an Ongoing BasisSERVICES PROVIDED ON AN ONGOING BASIS, If ApplicableIF APPLICABLE.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Transfer Agency Services Agreement (Pic Investment Trust), Transfer Agency Services Agreement (Westlakes Institutional Portfolios)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund and class purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Transfer Agency and Related Services Agreement (Painewebber Investment Trust), Transfer Agency and Related Services Agreement (Painewebber Managed Investments Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, such of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto as may be agreed upon from time to time; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund and class purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Transfer Agency and Related Services Agreement (Painewebber Investment Trust Ii), Transfer Agency and Related Services Agreement (Painewebber Managed Investments Trust)
Description of Services. (a) Services Provided on an Ongoing BasisSERVICES PROVIDED ON AN ONGOING BASIS, If ApplicableIF APPLICABLE.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Transfer Agency Services Agreement (Offitbank Investment Fund Inc), Transfer Agency Services Agreement (Offitbank Investment Fund Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the administrator, investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Portfolio purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 2 contracts
Sources: Sub Transfer Agency Services Agreement (Harris Insight Funds Trust), Sub Transfer Agency Services Agreement (Ht Insight Funds Inc)
Description of Services. (a) Services Provided on an Ongoing BasisSERVICES PROVIDED ON AN ONGOING BASIS, If Applicable.IF APPLICABLE. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Mitchell Hutchins Series Trust/Ma/)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsMonument;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Share purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Sub Transfer Agency Services Agreement (Monument Series Fund Inc)
Description of Services. Unless PFPC receives Written Instructions to the contrary, PFPC is authorized to take, and shall take, the following actions without Oral or Written Instructions:
(a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activityactivity and periodic statements;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written InstructionsInstructions (which may be standing Instructions or operating procedures).
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholderstockholder); and
(vi) Perform such other duties as the Fund may reasonably request from time to time.
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Pax World High Yield Fund Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
; (x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.. ------------------------------------------------------------
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
; (iii) Pay dividends and other distributions;
; (iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Weiss Treasury Fund)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Trust, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Trust, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Trust shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsTrust;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activityactivity in the Trust;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Mitchell Hutchins Securities Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Calculate front-end sales charges and deferred sales charges payable in connection with the purchase of Series A Investor Class Shares and Series B Investor Class Shares, respectively, and provide for the payment of all such sales charges to or on behalf of the Fund’s distributor (unless otherwise instructed by the Fund or the Fund’s distributor);
(ix) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixx) Mail duplicate confirmations to broker-dealers of their clients' ’ activity, whether executed through the broker-dealer or directly with PFPCPNC;
(xxi) Provide periodic shareholder lists and statistics to the clientsFund;
(xixii) Provide detailed data for underwriter/broker confirmationsconfirmations in accordance with such procedures as may be agreed between the Fund and PNC;
(xiixiii) Prepare periodic mailing of year-end tax and statement information;
(xiiixiv) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Share activity; and;
(xivxv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixvi) Accept and post daily Fund Share purchases and redemptions;
(iixvii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxviii) Issue and cancel Share certificates (when requested in writing by the shareholder); and
(xix) Upon reasonable request, furnish monthly reports of transactions in Shares reflecting such information as agreed between the Fund and PNC from time to time.
Appears in 1 contract
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Furnish state-by-state registration reports to the Trust;
(ii) Calculate sales load, if any, or compensation payment, if applicable, and provide such information to the Trust;
(iii) Calculate dealer commissions, if any, for the Trust, if applicable;
(iv) Calculate 12b-1 payments;
(iiv) Maintain proper shareholder registrations;
(iiivi) Review new applications and correspond with shareholders to complete or correct information;
(ivvii) Direct payment processing of checks or wires;
(vviii) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(viix) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPCH▇▇▇▇▇;
(xxiii) Provide periodic shareholder lists and statistics to the clients;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of year-end tax and statement information;
(xiiixvi) Notify on a timely basis the administrator, investment adviser, accounting agent, and custodian of fund activity; and
(xivxvii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC H▇▇▇▇▇ Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Trust purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Harris Insight Funds Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions; (ii) Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time; (iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iiiv) Maintain Calculate front-end sales load amounts at time of purchase of shares; (v) Determine dates of Class B conversion and effect the same; (vi) Establish and maintain proper shareholder registrations;
; (iiivii) Review new applications and correspond with shareholders to complete or correct information;
; (ivviii) Direct payment processing of checks or wires;
; (vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
; (vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
; (viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
; (ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
; (xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement information;
information (xiii) Notify on a timely basis the investment adviser, accounting agent, including forms 1099-DIV and custodian of fund activity1099-B and accompanying statements); and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Painewebber Index Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Furnish state-by-state registration reports to the Fund;
(ii) Calculate sales load, if any, or compensation payment, if applicable, and provide such information to the Fund;
(iii) Calculate dealer commissions, if any, for the Fund, if applicable;
(iv) Calculate 12b-1 payments;
(iiv) Maintain proper shareholder registrations;
(iiivi) Review new applications and correspond with shareholders to complete or correct information;
(ivvii) Direct payment processing of checks or wires;
(vviii) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(viix) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC▇▇▇▇▇▇;
(xxiii) Provide periodic shareholder lists and statistics to the clients;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of year-end tax and statement information;
(xiiixvi) Notify on a timely basis the administrator, investment adviser, accounting agent, and custodian of fund activity; and
(xivxvii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC ▇▇▇▇▇▇ Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Ht Insight Funds Inc)
Description of Services. (a) Services Provided on an Ongoing BasisSERVICES PROVIDED BY PFPC ON AN ONGOING BASIS, If ApplicableIF APPLICABLE.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviseradvisor, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Hilliard Lyons Investment Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;:
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time; and (xv) Escheat funds to the appropriate governmental authorities, as necessary.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Driehaus Mutual Funds)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Furnish state-by-state registration reports;
(ii) Calculate 12b-1 payments;
(iiiii) Maintain proper shareholder registrations;
(iiiiv) Review new applications and correspond with shareholders to complete or correct information;
(ivv) Direct payment processing of checks or wires;
(vvi) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vivii) Countersign share certificates;
(viiviii) Prepare and mail to shareholders confirmation of activity;
(viiiix) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixx) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly directly, with PFPC;
(xxi) Provide periodic shareholder lists and statistics to the clients;
(xixii) Provide detailed data for underwriter/broker confirmations;
(xiixiii) Prepare periodic mailing of year-end tax and statement information;
(xiiixiv) Coordinate and support the Fund's shares being traded on the Fund/Serv system;
(xv) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xivxvi) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Rodney Square Strategic Fixed Income Fund)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate a tiered distribution system, including any conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of conversion of a particular class and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-broker- dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, such of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex I of the related Delegation Agreement as may be agreed upon from time to time; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Brinson Money Series)
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicableas may be applicable.
(i) Calculate 12b-1 12b-l payments;
(ii) Maintain proper shareholder registrations;
(iii) Review Process funds associated with new applications and subsequent investments in accordance with the Fund’s Prospectus and Statement of Additional Information and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of Process checks or and wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of shareholder account activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' ’ activity, whether executed through the broker-dealer or directly with PFPCPNC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
; (xii) Prepare periodic mailing of year-end statements and periodic mailings of tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Share activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixv) Accept and post daily Fund Share purchases and redemptions;
(iixvi) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvii) Issue and cancel certificates (when requested in writing by the shareholder); and
(xviii) Perform certain administrative and ministerial duties relating to opening, maintaining and processing transactions for shareholders or financial intermediaries that trade shares through the NSCC, if applicable.
Appears in 1 contract
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Exhibit B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund and class purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;; and
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Sma Relationship Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. ----------------------------------------------------
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Van Wagoner Funds Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If if Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time; and
(xv) Escheat funds to the appropriate governmental authorities, as necessary.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Driehaus Mutual Funds)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-broker- dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, such of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto as may be agreed upon from time to time; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Painewebber Series Trust)
Description of Services. PFPC shall provide the following services: ------------------------
(a) Services Provided on an Ongoing Basis, If Applicable.. With respect to each Portfolio:
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsstatistics;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Share activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixv) Accept and post daily Fund Share purchases and redemptions;
(iixvi) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvii) Issue and cancel certificates (when requested in writing by the shareholder); and
(xviii) Perform certain administrative and ministerial duties relating to opening, maintaining and processing transactions for shareholders or financial intermediaries that trade shares through the NSCC.
Appears in 1 contract
Sources: Transfer Agency Services Agreement (YieldQuest Funds Trust)
Description of Services. Unless PFPC receives Written Instructions to the contrary, PFPC is authorized to take, and shall take, the following actions without Oral or Written Instructions:
(a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder stockholder registrations;
(iii) Review new applications and correspond with shareholders stockholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders stockholders confirmation of activityactivity and periodic statements;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-broker- dealers of their clientsFunds' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder stockholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Fund activity; and
(xiv) Perform other participating broker-dealer shareholder stockholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral or Written Instructions (which may be standing Instructions or Written Instructionsoperating procedures).
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder stockholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and;
(v) Issue and cancel certificates (when requested in writing by the shareholder)stockholder) and cancel certificates; and
(vi) Perform such other duties as the Fund may reasonably request from time to time.
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Pax World Growth Fund Inc)
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicable.if applicable
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line online inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviseradvisor, subadvisors, accounting agent, and custodian of fund Fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixv) Accept and post daily Fund Share purchases and redemptions;
(iixvi) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvii) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. PFPC's duties hereunder shall include the furnishing of the following services to the Fund and its shareholders:
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian Custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Share purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Axa Premier Funds Trust)
Description of Services. (a) Services Provided on an Ongoing BasisSERVICES PROVIDED ON AN ONGOING BASIS, If ApplicableIF APPLICABLE.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the administrator, investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Sub Transfer Agency Services Agreement (Morgan Stanley Fund Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate a tiered distribution system, including any conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of conversion of a particular class and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-broker- dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activityactivity ;
(xvii) Perform, itself or through a delegate, such of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex I of the related Delegation Agreement as may be agreed upon from time to time; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Brinson Money Series)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.Requested. ---------------------------------------------------
(i) Calculate 12b-1 service fee payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viiivii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixviii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xix) Provide periodic shareholder lists and routine/customary statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xiix) Prepare periodic mailing of year-end tax and statement information;
(xiiixi) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and;
(xivxii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time; and
(xiii) Furnish state-by-state registration reports to the Fund periodically and upon request.
(b) Services Provided by PFPC Under Upon Oral Instructions or Written ----------------------------------------------------------- Instructions.. ------------
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;; and
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Provident Institutional Funds)
Description of Services. (a) Services Provided on an Ongoing Basis, If if Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPCthe Transfer Agent;
(x) Provide periodic shareholder lists and statistics to the clientsTransfer Agent;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC the Transfer Agent Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Share purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Monument Series Fund Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If if Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-year- end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (BFM Institutional Trust Inc)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clients;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund Portfolio activity; and
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Portfolio purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Haven Capital Management Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. ----------------------------------------------------
(i) Furnish state-by-state registration reports;
(ii) Calculate 12b-1 12b- l payments;
(iiiii) Maintain proper shareholder registrations;
(iiiiv) Review new applications and correspond with shareholders to complete or correct information;
(ivv) Direct payment processing of checks or wires;
(vvi) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vivii) Countersign share certificates;
(viiviii) Prepare and mail to shareholders confirmation of activity;
(viiiix) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixx) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxi) Provide periodic shareholder lists and statistics to the clients;
(xixii) Provide detailed data for underwriter/broker confirmations;
(xiixiii) Prepare periodic mailing of year-end tax and statement information;
(xiiixiv) Coordinate and support the Fund's shares being traded on the Fund/Serv system;
(xv) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xivxvi) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Rodney Square Strategic Equity Fund)
Description of Services. (a) Services Provided to each relevant class on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsTrust;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviser and sub-adviser, accounting agent, and custodian of fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(iixv) AcceptProvide reasonable remote access to designated Authorized Persons, post as agreed between the Trust and PFPC from time to time, to permit such Authorized Persons inquiry only access to shareholder accounts for the purpose of allowing such Authorized Persons to perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing servicing duties owed by the shareholder).such
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Ab Funds Trust/De)
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicable.if applicable:
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line online inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviseradvisor, subadvisors, accounting agent, and custodian of fund Fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixv) Accept and post daily Fund Share purchases and redemptions;
(iixvi) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvii) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Fund, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsFund;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of year-and mail required calendar and taxable year- end tax and statement informationinformation (including forms 1099-DIV and 1099-B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activity;
(xvii) Perform, itself or through a delegate, such of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto as may be agreed upon from time to time; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund and class purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Painewebber Investment Series)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.. -----------------------------------------------------
(i) Calculate 12b-1 paymentspayments to financial intermediaries, including brokers, and financial intermediary trail commissions;
(ii) Maintain Develop, monitor and maintain, in consultation with the Trust, all systems necessary to implement and operate the four-tier distribution system, including Class B conversion feature, as described in the registration statement and related documents of the Trust, as they may be amended from time to time;
(iii) Calculate contingent deferred sales charge amounts upon redemption of Trust shares and deduct such amounts from redemption proceeds;
(iv) Calculate front-end sales load amounts at time of purchase of shares;
(v) Determine dates of Class B conversion and effect the same;
(vi) Establish and maintain proper shareholder registrations;
(iiivii) Review new applications and correspond with shareholders to complete or correct information;
(ivviii) Direct payment processing of checks or wires;
(vix) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail Send duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists lists, outstanding share calculations and related statistics to the clientsTrust;
(xixiv) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of and mail required calendar and taxable year-end tax and statement informationinformation (including forms 1099-DIV and 1099- B and accompanying statements);
(xiiixvi) Notify on a timely daily basis the investment adviser, accounting agent, and custodian of fund activityactivity in the Trust;
(xvii) Perform, itself or through a delegate, all of the services, whether or not included within the scope of another paragraph of this Paragraph 16(a), specified on Annex B hereto; and
(xivxviii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency and Related Services Agreement (Mitchell Hutchins Securities Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iiiii) Review new applications and correspond with shareholders to complete or correct information;
(iviii) Direct payment processing of checks or wires;
(viv) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(viiv) Prepare and mail to shareholders confirmation of activity;
(viiivi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixvii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xviii) Provide periodic shareholder lists and statistics to the clientsTrust;
(xiix) Provide detailed data for underwriter/broker confirmations;
(xiix) Prepare periodic mailing of year-end tax and statement information;
(xiiixi) Notify on a timely basis the investment adviseradvisor, accounting agent, and custodian of fund trust activity; and
(xivxii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund Share purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Sources: Transfer Agency Services Agreement (Blackrock 2012 Term Trust)
Description of Services. (a) Services Provided on an Ongoing Basis, If Applicable.
(i) Develop, monitor and maintain, in consultation with the Fund, all systems necessary to implement and operate a tiered distribution system including Class B conversion feature, as more fully set forth in the Funds registration statement and related documents, which may be amended from time to time;
(ii) Calculate 12b-1 payments;
(iiiii) Maintain proper shareholder registrations;
(iiiiv) Review new applications and correspond with shareholders to complete or correct information;
(ivv) Calculate CDSC amounts upon redemption of Fund shares and deduct such amounts from redemption proceeds;
(vi) Direct payment processing of checks or wires;
(vvii) Determine dates of Class B conversion and effect the same;
(viii) Prepare and certify stockholder lists in conjunction with proxy solicitations;
(viix) Countersign share certificates;
(viix) Prepare and mail to shareholders confirmation of activity;
(viiixi) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line inquiry response;
(ixxii) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(xxiii) Provide periodic shareholder lists outstanding share calculations and statistics to the clientsFund;
(xiix) Provide detailed data for underwriter/broker confirmations;
(xiixv) Prepare periodic mailing of year-end tax and statement information;
(xiiixvi) Notify on a timely basis the investment adviser, accounting agent, and custodian of fund activity; and
(xivxvii) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(i) Accept and post daily Fund purchases and redemptions;
(ii) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(v) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract
Description of Services. (a) Services Provided provided on an Ongoing Basisongoing basis, If Applicable.if applicable:
(i) Calculate 12b-1 payments;
(ii) Maintain proper shareholder registrations;
(iii) Review new applications and correspond with shareholders to complete or correct information;
(iv) Direct payment processing of checks or wires;
(v) Prepare and certify stockholder shareholder lists in conjunction with proxy solicitations;
(vi) Countersign share certificates;
(vii) Prepare and mail to shareholders confirmation of activity;
(viii) Provide toll-free lines for direct shareholder use, plus customer liaison staff for on-line online inquiry response;
(ix) Mail duplicate confirmations to broker-dealers of their clients' activity, whether executed through the broker-dealer or directly with PFPC;
(x) Provide periodic shareholder lists and statistics to the clientsFund;
(xi) Provide detailed data for underwriter/broker confirmations;
(xii) Prepare periodic mailing of year-end tax and statement information;
(xiii) Notify on a timely basis the investment adviseradvisor, subadvisors, accounting agent, and custodian of fund activity; and;
(xiv) Perform other participating broker-dealer shareholder services as may be agreed upon from time to time.;
(b) Services Provided by PFPC Under Oral Instructions or Written Instructions.
(ixv) Accept and post daily Fund Share purchases and redemptions;
(iixvi) Accept, post and perform shareholder transfers and exchanges;
(iii) Pay dividends and other distributions;
(iv) Solicit and tabulate proxies; and
(vxvii) Issue and cancel certificates (when requested in writing by the shareholder).
Appears in 1 contract