AML Services. The Trust delegates to Atlantic the performance of the anti-money laundering services set forth below (the “AML Services”) with respect to shareholder accounts maintained by Atlantic pursuant to the Agreement; and subject to the terms and conditions of the Agreement, Atlantic accepts this delegation and agrees to perform the AML Services in accordance with the Trust’s and Atlantic’s AML program and reasonably to cooperate with the Trust’s AML compliance officer (the “AML Compliance Officer”) in the performance of that person’s responsibilities. Notwithstanding this delegation, the Trust shall maintain full responsibility for ensuring that its AML program is and continues to be reasonably designed to ensure compliance with the applicable AML laws.
AML Services. Subject to the foregoing and to the terms, conditions, and limitations of this Agreement, Xxxxxxx shall perform or provide the AML Services described herein on behalf of the Funds, as follows:
AML Services. The Trust hereby delegates to the Distributor, and the Distributor accepts delegation of, the performance, on behalf of the Trust, of those anti-money laundering services (the “AML Services”) set forth in Schedule A concerning shareholder accounts that are maintained pursuant to omnibus account relationships between the Distributor and Sub-Distributors pursuant to certain Dealer Agreements that the Distributor may elect to enter into from time to time. The Distributor agrees to the foregoing delegation and agrees that it will perform the delegated AML Services in accordance with the Trust’s AML Program. In connection therewith, the Distributor agrees to maintain policies and procedures, and related internal controls, that are consistent with the Trust’s AML Program and the requirement that the Trust employ procedures reasonably designed to achieve compliance with applicable anti-money laundering laws, regulations and rules, including the requirement to have policies and procedures that can be reasonably expected to detect and cause the reporting of transactions under the Bank Secrecy Act, as amended by the USA PATRIOT Act of 2001. The Distributor also agrees to keep and maintain on behalf of the Trust all books and records which the Trust and the Distributor is, or may be, required to keep and maintain pursuant to any applicable laws, regulations, and rules, including without limitation Rules 31a-1 and 31a-2 under the 1940 Act, relating to the maintenance of books and records in connection with the AML services to be provided hereunder. The Distributor further agrees that all such books and records shall be the property of the Trust and to make such books and records available for inspection by the Trust or by the Trust’s regulators, including the SEC, at reasonable times and otherwise to keep confidential all books and records and other information relative to the Trust and its shareholders consistent with the requirements of Regulation S-P.
AML Services. Recurring Fees Per Annum Fee for the services of an AML Officer. $12,000, calculated and billed monthly.
AML Services. The Trust hereby delegates to the Distributor, and the Distributor accepts delegation of, the performance, on behalf of the Trust, of those anti-money laundering services (the “AML Services”) set forth in Schedule A concerning those insurance companies that open accounts with the Trust in order to use the Trust’s Shares as the underlying investment vehicle for variable contracts. The Distributor agrees to the foregoing delegation and agrees that it will perform the delegated AML Services in accordance with the Trust’s AML Program. In connection therewith, the Distributor agrees to maintain policies and procedures, and related internal controls, that are consistent with the Trust’s AML Program and the requirement that the Trust employ procedures reasonably designed to achieve compliance with applicable anti-money laundering laws, regulations and rules, including the requirement to have policies and procedures that can be reasonably expected to detect and cause the reporting of transactions under the Bank Secrecy Act, as amended by the USA PATRIOT Act of 2001. The Distributor also agrees to keep and maintain on behalf of the Trust all books and records which the Trust and the Distributor is, or may be, required to keep and maintain pursuant to any applicable laws, regulations, and rules, including without limitation Rules 31a-1 and 31a-2 under the 1940 Act, relating to the maintenance of books and records in connection with the AML services to be provided hereunder. The Distributor further agrees that all such books and records shall be the property of the Trust and to make such books and records available for inspection by the Trust or by the Trust’s regulators, including the SEC, at reasonable times and otherwise to keep confidential all books and records and other information relative to the Trust and its shareholders consistent with the requirements of Regulation S-P.
AML Services. The Trust delegates to Ultimus the performance of the anti-money laundering services set forth below (the “AML Services”) with respect to investor accounts maintained by Ultimus pursuant to the Agreement; and subject to the terms and conditions of the Agreement, Ultimus accepts this delegation and agrees to perform the AML Services in accordance with the Fund’s and Ultimus’ AML program and reasonably to cooperate with the Fund AML Officer in the performance of that person’s responsibilities. Notwithstanding this delegation, the Fund shall maintain full responsibility for ensuring that its AML program is and continues to be reasonably designed to ensure compliance with the applicable AML laws.
AML Services. Provide the following anti-money laundering services (the “BNYM-AIS Anti Money Laundering Services”):
AML Services. The Trust delegates to Citibank the performance of the anti-money laundering services set forth below (the "AML Services") with respect to shareholder accounts maintained by Citibank pursuant to the Agreement; and subject to the terms and conditions of the Agreement, Citibank accepts this delegation and agrees to perform the AML Services in accordance with the Trust's and Citibank's AML program and reasonably to cooperate with the Trust's AML compliance officer (the "AML Compliance Officer") in the performance of that person's responsibilities. Notwithstanding this delegation, the Trust shall maintain full responsibility for ensuring that its APPENDIX E - TRANSFER AGENCY SERVICES AML program is and continues to be reasonably designed to ensure compliance with the applicable AML laws.
AML Services. (a) The Trusts hereby delegate to the Transfer Agent the performance, on behalf of each Trust, of the anti-money laundering services (the "AML Services") set forth in Schedule C to this Agreement as concerns the shareholder accounts maintained by the Transfer Agent pursuant to the Agreement (including direct accounts; accounts maintained through FUND/SERV and Networking; and omnibus accounts). The Transfer Agent agrees to the foregoing delegation and agrees to perform the delegated services in accordance with the anti-money laundering program that has been adopted by the Trust (the "AML Program). In connection therewith, the Transfer Agent agrees to maintain policies and procedures, and related internal controls, that are consistent with the Trusts' AML Program and the requirement that the Trusts employ procedures reasonably designed to achieve compliance with the applicable anti-money laundering laws (the "Applicable AML Laws"), including the requirement to have policies and procedures that can be reasonably expected to detect and cause the reporting of transactions under Section 5318 of the Bank Secrecy Act as required by applicable laws and/or regulations.
AML Services. For investors purchasing shares of the fund, other than via Merrill Lynch, Pierxx, Xxxner & Smith, Inc, in xxx xxle xx x sub-distributor of the Fund, the Trust delegates to Atlantic the performance of the anti-money laundering services set forth below (the "AML Services") with respect to shareholder accounts maintained by Atlantic pursuant to this Agreement; and subject to the terms and conditions of this Agreement, Atlantic accepts this delegation and agrees to perform the AML Services in accordance with the Trust's and Atlantic's AML program and reasonably to cooperate with the Trust's AML compliance officer (the "AML Compliance Officer") in the performance of that person's responsibilities. Notwithstanding this delegation, the Trust shall maintain full responsibility for ensuring that its AML program is and continues to be reasonably designed to ensure compliance with the applicable AML laws.
