Administration Services on a Continuous Basis Sample Clauses

Administration Services on a Continuous Basis. As requested, consult with the Trust’s officers, independent accountants, legal counsel, custodian, fund accountant, distributor and transfer agent in establishing the financial administrative policies and procedures of the Trust; • Provide a President/Principal Executive Officer and Secretary. • Provide necessary office space and equipment for the day-to-day management of the Trust; • Maintain Board and regulatory filing calendars; • Prepare for filing with the Securities and Exchange Commission (“SEC”) the following documents (as required): Form N-CEN, Form N-CSR, Form N-Q, Form N-PORT, Form N-PX, Form N-MFP, Form N-CR, Form N-LIQUID and all amendments to the Registration Statements, including annual updates of the Prospectus(es) and Statements Additional Information for each Fund and any supplements thereto; • Prepare and coordinate the filing of Rule 24f-2 notices, including coordination of related payment, if necessary; • Work with vendor and adviser to prepare and file necessary blue sky filings as required by the laws of individual states and U.S. jurisdictions; • Obtain and maintain the Trust’s fidelity bond and directors and officers errors and omissions insurance policies at the expense of the Funds and coordinate the fidelity bond filing under Rule 17g-1 with the SEC; • Work with Fund counsel in the preparation and filing with the SEC of proxy statements; • Attend and assist in the conduct of shareholder meetings and prepare scripts for and minutes of such meetings; • Advise and consult with Trust management and the investment adviser on matters pertaining to new Fund launches or new share classes, and assist with the deregistration of a Fund/class when applicable; • Prepare and review with Fund counsel and Trust management the agenda, resolutions and notices for all requested Board of Trustees and Committee meetings, attend meetings as appropriate or requested, prepare minutes for Board and Committee meetings; • Maintain books and records for information under the control of or produced by Northern Trust for each Fund as required under Rule 31a-1 of the Investment Company Act of 1940, as amended (the “1940 Act”), and comply with SEC requirements in advance of and during examinations; • Assist each Fund in the production of documentation for routine regulatory examinations of the Trust and each Fund relative to Board and Committee meetings and filings described herein and work closely with the legal counsel in response to any non-routine regulat...
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Administration Services on a Continuous Basis. Financial Reporting • Prepare and review semi-annual and annual financial statements • Prepare and assist with auditors’ supporting work papers, schedules and letters • Provide office facilities for audits • Prepare schedule of investments for Form NQ (quarterly reporting) • Assist in the preparation of Form N-SAR and N-CSR • Compile financial information required in a proxy if shareholder meetings are required • Assist in the preparation of Rule 24f-2 filing Tax Reporting • Calculate and review declaration of income distributions for income and excise tax distribution requirements • Calculate and review declaration of capital gain distributions for income and excise tax distribution requirements • Compute tax basis provisions for both excise and income tax purposes • Maintain records of wash losses and ongoing impact on the tax basis of investments • Provide information for year-end shareholder tax reporting (Northern Trust shall not be responsible for 10/31/09 audits or financial statement reporting, however) • Calculate Dividends Received Deduction for corporate shareholders • Prepare tax footnotes for financial statements • Request and maintain Form W-9 for Trustees and vendors • Prepare, mail and file Form 1099-Misc for Trustees and vendors Compliance Monitoring (post-trade) • Perform independent daily/weekly/monthly/quarterly compliance testing in support of SEC 40-Act Rules and Diversification requirements, Fund prospectus and SAI requirements, IRS Qualification Requirements, Hedge Fund Offering Memorandum requirements and any general investment guideline monitoring requested. • Prepare monthly/quarterly compliance reports to the CCO and reports for inclusion in quarterly board packages. • Monitor regulatory environment • Prepare trustee fee checks for Board members • Prepare monthly expense reporting package for the advisor Performance Reporting • Calculate daily Fund performance information, including after-tax returns, as required • Provide customized total return reporting to advisor • Oversee daily, weekly and monthly NAV and performance dissemination to reporting agencies • Prepare and file monthly, quarterly and annual questionnaires with reporting agencies • Distribute dividend and capital gain information to reporting agencies • Assist in the dissemination of monthly and quarterly portfolio holdings to Morningstar, Lipper, Thomson and others SCHEDULE B FUND ACCOUNTING SERVICES Northern Trust shall provide the following services, in each cas...
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Related to Administration Services on a Continuous Basis

  • Description of Administration Services on a Continuous Basis PFPC will perform the following administration services with respect to each Portfolio:

  • Description of Accounting Services on a Continuous Basis PFPC will perform the following accounting services with respect to each Portfolio:

  • ADMINISTRATION SERVICES The Administrator shall provide the following services, in each case, subject to the control, supervision and direction of the Fund and the review and comment by the Fund's auditors and legal counsel and in accordance with procedures which may be established from time to time between the Fund and the Administrator:

  • Continuous Investment Program The Sub-Adviser shall formulate and implement a continuous investment program for the Allocated Portion in accordance with the Strategy, including determining what portion of such assets will be invested or held uninvested in cash or cash equivalents. Without limiting the generality of the foregoing, the Sub-Adviser is authorized to: (a) make investment decisions for the Fund in respect of the Allocated Portion, including decisions for the investment and reinvestment of the assets (including cash and cash-equivalent assets) held in the Allocated Portion; (b) place purchase and sale orders for portfolio transactions in respect of the Allocated Portion and manage otherwise uninvested cash or cash equivalent assets of the Allocated Portion; and (c) subject to Section 2(d) below, execute account documentation, agreements, contracts and other documents as may be requested by brokers, dealers, counterparties and other persons in connection with the Sub-Adviser’s management of the Allocated Portion (in such respect, and only for this limited purpose, the Sub-Adviser will, as necessary to effect such documentation, agreements, contracts and other documents, act as the Adviser’s and the Fund’s agent and attorney in fact).

  • Bank Provides Diverse Financial Services and May Generate Profits as a Result Customer acknowledges that Bank or its Affiliates may have a material interest in transactions entered into by Customer with respect to the Account or that circumstances are such that Bank may have a potential conflict of duty or interest. For example, Bank or its Affiliates may act as a market maker in the Financial Assets to which Instructions relate, provide brokerage services to other customers, act as financial adviser to the issuer of such Financial Assets, act in the same transaction as agent for more than one customer, have a material interest in the issue of the Financial Assets, or earn profits from any of these activities. Customer acknowledges that Bank or its Affiliates may be in possession of information tending to show that the Instructions received may not be in the best interests of Customer. Bank is not under any duty to disclose any such information.

  • Stock Plan Administration Service Provider The Company transfers the Participant's Personal Information to Fidelity Stock Plan Services LLC, an independent service provider based in the United States, which assists the Company with the implementation, administration and management of the Plan (the “Stock Plan Administrator”). In the future, the Company may select a different Stock Plan Administrator and share the Participant's Personal Information with another company that serves in a similar manner. The Stock Plan Administrator will open an account for the Participant to receive and trade Shares acquired under the Plan. The Participant will be asked to agree on separate terms and data processing practices with the Stock Plan Administrator, which is a condition to the Participant’s ability to participate in the Plan. (c)

  • Stock Plan Administration Service Providers The Company transfers Data to Xxxxxx Xxxxxxx Xxxxx Xxxxxx LLC, an independent service provider, which is assisting the Company with the implementation, administration and management of the Plan. In the future, the Company may select a different service provider and share Data with such other provider serving in a similar manner. The Participant may be asked to agree on separate terms and data processing practices with the service provider, with such agreement being a condition to the ability to participate in the Plan.

  • Delegation of Investment Management Services Subject to the prior approval of a majority of the members of the Board of Trustees, including a majority of the Trustees who are not “interested persons”, and, to the extent required by applicable law, by the shareholders of a Fund, the Adviser may, through a sub-advisory agreement or other arrangement, delegate to a sub-advisor any of the duties enumerated in this Agreement, including the management of all or a portion of the assets being managed. Subject to the prior approval of a majority of the members of the Board of Trustees, including a majority of the Trustees who are not “interested persons”, and, to the extent required by applicable law, by the shareholders of a Fund, the Adviser may adjust such duties, the portion of assets being managed, and the fees to be paid by the Adviser; provided, that in each case the Adviser will continue to oversee the services provided by such company or employees and any such delegation will not relieve the Adviser of any of its obligations under this Agreement.

  • Exit Services The following services will be provided upon receipt of a Termination Notice to exit from this Service. Service # Service Name Description of Service Service Charge ($/hour) IT-Infinium-04 Infinium Migration Service Provider will make commercially reasonable best efforts to assist Service Receiver in exiting of this agreement. These efforts include: • Support of data extraction requests from the Service Receiver • Providing Subject Matter Expertise in helping the Service Receiver understand current state data schema and configuration details Time and Materials Based on Additional Pricing Section IT-Infinium-05 Infinium Knowledge Transfer Service Provider will provide the following knowledge transfer services: • Existing non-sensitive documentation maintained by the Service Provider will be given to the Service Receiver as it relates to the Infinium Application and related interfaces Time and Materials Based on Additional Pricing Section

  • Portfolio Accounting Services (1) Maintain portfolio records on a trade date+1 basis using security trade information communicated from the Fund’s investment adviser.

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