Regulatory Support Services Clause Samples

Regulatory Support Services. State Street shall provide the services as listed on Schedule B, subject to the authorization and direction of the Trust and, in each case where appropriate, the review and comment by the Trust’s independent accountants and legal counsel and in accordance with procedures which may be established from time to time between the Trust and State Street. State Street shall perform such other services for the Trust that are mutually agreed to by the parties from time to time, for which the Trust will pay such fees as may be mutually agreed upon, including State Street’s reasonable out-of-pocket expenses. The provision of such services shall be subject to the terms and conditions of this Agreement. State Street shall provide the office facilities and the personnel determined by it to perform the services contemplated herein.

Regulatory Support Services. The Administrator shall perform the following regulatory services for the Fund: · Maintain a calendar for all SEC, CFTC, NFA and NYSE Arca regulatory matters in the form of Exhibit B; provided that the Fund and/or General Partner shall notify the Administrator of additional regulatory matters to be added to such calendar as soon as practicable. · Within a 45 day production cycle, or shorter time period as required by the U.S. Securities and Exchange Commission (the “SEC”) and communicated to the Administrator by the Fund and/or the General Partner, one first fiscal quarter report of the Fund, one second fiscal quarter report of the Fund and one third fiscal quarter report of the Fund, each on Form 10-Q. · Within a 90 day production cycle, or shorter time period as required by the SEC and communicated to the Administrator by the Fund and/or General Partner, one annual report of the Fund on Form 10-K per fiscal year. The preparation of the Form 10-K includes the coordination of all printer and author edits and the review of printer drafts. · Within 90 days after the end of the Fund’s fiscal year, an Annual Report of the Fund in compliance with the requirements of the NFA and CFTC Rule §4.22(c); such preparation includes the coordination of all printer and author edits and the review of printer drafts. The Fund and/or General Partner shall make arrangements for the printing and mailing of the Annual Report. Upon review and approval of each above-mentioned report by the General Partner’s Treasurer and/or Chief Financial Officer (or such person performing such functions), the Administrator shall Edgarize and file, or cause to be Edgarized and filed, such reports with the SEC, CFTC and/or NFA as required, including any applicable executive officer certifications or other exhibits to such reports. The Administrator shall perform the following additional regulatory services for the Fund: · Prepare the materials for and attend one unitholder meeting per calendar year (including preparation of the proxy statement, notice and other solicitation materials and filing such materials with the SEC and taking minutes of the meeting), at the Fund’s request · Coordinate with the Fund’s transfer agent or solicitor in monitoring the unitholder vote solicitation and tabulation for one unitholder meeting per calendar year, at the Fund’s request · Prepare and file, or cause to be filed, the following regulatory notices/forms/reports: o With the SEC, Forms 3, 4 and 5 and Schedules...

Regulatory Support Services. The Administrator shall perform the following regulatory services for the Fund: · Maintain calendar for all regulatory matters · Prepare all required annual updates to the Fund’s registration statement and file the same with the SEC (includes coordination of the update with Fund personnel, Fund and Independent Trustee counsel and independent auditors) · Prepare and file up to four supplements (“Stickers”) to the Fund’s registration statement per calendar year and coordinate the printing with the client’s printer · File the fidelity bond with the SEC · Assist the Fund in preparing one annual Form N-PX filing per calendar year and file the same with the SEC · Prepare and file one annual report and one semi-annual report on Form N-CSR · Review and comment on shareholder reports · Assist in monitoring regulatory proposals and changes that may affect the Fund · Prepare registration statements for new portfolios/classes as requested · Prepare or assist with preparation of shareholder meeting materials · Assist with handling regulatory examinations The Administrator shall perform the following transfer agency services:

Regulatory Support Services. The Distributor shall apply for the Registration Approval and the Reimbursement Approval (and, if necessary in New Zealand, in the name of such Affiliate) subject to the following conditions. (a) The Distributor hereby agrees to transfer, or cause to be transferred, the Registration Approval and Reimbursement Approval obtained by it in respect of the Product in written form and by means of providing, or **** Material omitted pursuant to a request for confidential treatment under Rule 24b-2 of the Exchange Act of 1934. Material filed separately with the Securities and Exchange Commission. (b) The Distributor shall provide, or cause to be provided, to Bioenvision: (i) notice and a prior written copy of any material filings in connection with the Registration Approval or the Reimbursement Approval, (ii) prompt notice of any other filings so made, (iii) immediate notice and a copy of all material correspondence from the Regulatory Authorities concerning the Registration Approval or Reimbursement Approval, and (iv),a complete copy of each application for Registration Approval prepared for submission by or on behalf of the Distributor for a Product and ten (10) business days to make comments regarding such application prior to filing, which comments shall be considered in good faith by the Distributor, and (v) a complete copy of each application for Reimbursement Approval prepared for submission by or on behalf of the Distributor for a Product, and twenty (20) business days to make comments regarding such application prior to filing, which comments shall be considered in good faith by the Distributor. **** Material omitted pursuant to a request for confidential treatment under Rule 24b-2 of the Exchange Act of 1934. Material filed separately with the Securities and Exchange Commission.

Regulatory Support Services. The Administrator shall perform the following regulatory services for the Fund: · Maintain a calendar for all SEC, CFTC, NFA and NYSE regulatory matters in the form of Exhibit B; provided that the Fund and/or the Sponsor shall notify the Administrator of additional regulatory matters to be added to such calendar as soon as practicable The Administrator also shall prepare and file the following regulatory notices/forms/reports: · With the SEC, Forms 3, 4 and 5 and Schedules 13D and 13G for the officers and Directors/Trustees of the Sponsor and such other persons as requested by the Fund · With the SEC, Current Reports on Form 8-K as circumstances warrant · With the NYSE, such notices/forms as agreed to among the Fund, the Sponsor and the Administrator

Regulatory Support Services. [***] = Certain confidential information contained in this document, marked by brackets, is filed with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Sandoz shall use Commercially Reasonable Efforts to (i) assist Alder in the preparation of an IND, BLA, MAA or other such documentation in relation to the Manufacture of the BDS as may be reasonably required by Alder in support of Alder’s Regulatory Approval for the Product, (ii) respond in a timely manner, with due consideration to the nature of the circumstances and to any reasonable timing requested by Alder, to all queries and requests for information from the FDA and the EMA, (iii) maintain information about the BDS and its Manufacture for such time and in such manner as required by the FDA and the EMA (provided, however, that Sandoz shall notify Alder prior to responding to the FDA or the EMA and permit Alder to consult with it in formulating such response), (iv) assist Alder (to the extent requested by Alder) in the preparation of documentation in relation to the Manufacture of the BDS for the purpose of supporting Alder’s submission to any other Regulatory Authorities and shall respond (to the extent reasonably requested by Alder) to any queries and requests for information from such other Regulatory Authorities (the foregoing activities under (i), (ii), (ii) and (iv) herein individually and collectively referred to as “Regulatory Support Services”). Alder shall compensate Sandoz for any such activities at [***]. Scope, timing and details of regulatory activities shall be discussed and agreed in the Technical Committee as early as reasonably practicable.