Transfer Agency And Service Agreement

Posted: October 12, 2021 in Uncategorized

2. The transfer agent shall establish and maintain records of the services to be provided under this Agreement, in the form agreed to by the Fund, including, but not on the invoice of each shareholder: “routine registration applications” (i) any summons, court order or request for information from a governmental authority in respect of a shareholder of a fund, (b) which should be maintained by the transfer agent of the Fund( (c) which can be obtained without recourse to information outside the records of the transfer agent, (d) with regard to a matter that does not directly concern the fund or its service providers and (ii) any request to sue the assets in a shareholder account, such as the seizure, filing or enforcement of a court order or administrative subpoena. (9) Anti-Money Laundering Services (LSA). In order to assist the Fund in the Fund`s AML responsibilities, in accordance with the BSA, the US PATRIOT ACT and other applicable AML laws (together the “Applicable AML Act”), the Transfer Agent makes available certain risk-based instruments and procedures to monitor shareholder activities, which are reasonably designed to encourage (i) the detection and notification of potential money laundering activities; and (ii) assistance in the verification of persons who open accounts with the Fund (the “AmL Procedures”). The MRL procedures and the related conditions are set out in the attached Annex 2.1 F(8) (entitled “AML delegation”), which may be amended from time to time following a reciprocal written agreement between the parties. However, it is expressly recognised and agreed that, to the extent that a registration agreement or a control agreement contains conditions which are not included in the conditions or which differ significantly from the conditions laid down in the current forms of the registration agreement and the control agreement which have been verified by the transfer agent, the funds give the transfer agent a reasonable opportunity to amend this amended registration agreement. or a control agreement and indicate any necessary changes. From time to time, Transfer Agent may grant services provided under the Agreement to subcontractors (to the extent provided for in the Agreement) or to a subcontractor or other third party, access to the Fund`s data or its network; provided that such a subcontractor or a third party applies and maintains security measures that the transfer agent considers at least as strict as those described in this security plan. . . .

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