CONTROL PROCEDURES. Fund Settlement, Reconciliation and Estimate Procedures * Dreyfus Procedure DDA Reconciliation Procedure Standard Operational Procedure Corporate Action Procedures * Dreyfus Procedure Wire/ACH Processing Procedures * Dreyfus Procedure Commissions/12b-1 Procedures * Dreyfus Procedure CERTIFICATE PROCESSING PROCEDURES Processing Requirements for Cancelled Security Certificates (Exchange Act Rule 17Ad-19) Rule 38a-1 Compliance Procedure Reporting Missing, Lost, Counterfeit or Stolen Certificates (Exchange Act Rule 17f-1) Rule 38a-1 Compliance Procedure Lost Certificate Processing Procedures * Dreyfus Procedure MUTUAL FUND PROCEDURES Pricing of Transactions-Trade Cut-Off (Investment Company Act Rule 22c-1(a)) Rule 38a-1 Compliance Procedure Redemption of Shares (Investment Company Act Rule 22(e)) Rule 38a-1 Compliance Procedure Turnaround Time for Written Inquiries and Requests (Exchange Act Rule 17Ad-5) Rule 38a-1 Compliance Procedure Mutual Fund Redemptions (Investment Company Act Rule 22c-2) Rule 38a-1 Compliance Procedure Money Market Liquidity Risk Procedures (KYC Reports) Rule 38a-1 Compliance Procedure LOST SHAREHOLDER PROCEDURES Lost Shareholders (Exchange Act Rule 17Ad-17) Rule 38a-1 Compliance Procedure Lost Shareholders- Returned from Post Office ("RPO") Processing Procedures Standard Operational Procedure Unclaimed Property Reporting Process Procedures Standard Operational Procedure PRINT/MAIL PROCEDURES Print/Mail Processing Procedures * Dreyfus Procedure Confirmations (Exchange Act Rule 10b-10) Rule 38a-1 Compliance Procedure RECORD RETENTION PROCEDURES Investment Company Records (Investment Company Act Rule 31a-1,2,3) Rule 38a-1 Compliance Procedure Transfer Agent Record Retention Matrix Rule 38a-1 Compliance Procedure SAFEGUARDING CLIENT INFORMATION PROCEDURES Safeguarding and Disposal of Client Information Policy and Guidelines (Regulation S-P) Rule 38a-1 Compliance Procedure Safeguarding Funds and Securities (Exchange Act Rule 17Ad-12) Rule 38a-1 Compliance Procedure Limitations on Affiliate Marketing (Regulation S-AM) Rule 38a-1 Compliance Procedure Information Security and Protection Policies and Standards Standard Operational Procedure Procedures for New or Existing Data Transmissions to Brokers or Other Entities Dreyfus Procedure TRANSFER AGENT COMPLIANCE PROCEDURES Registration and Annual Reporting Requirements for Transfer Agents (Exchange Act Rule 17Ac2-1,-2) Rule 38a-1 Compliance Procedure Reporting Aged Record Differences and Buy-ins...
CONTROL PROCEDURES. The Company shall have an internal quality control program that verifies, on a regular basis, the existence and accuracy of the legal documents, credit documents, property appraisals, and underwriting decisions. The program shall include evaluating and monitoring the overall quality of the Company's loan production and the servicing activities of the Company in accordance with industry standards.
CONTROL PROCEDURES. Assist CLIENT in developing procedures for control of the operation and maintenance of, and recordkeeping for, equipment and systems. No Yes No
CONTROL PROCEDURES. 5.1. Masters of Community fishing vessels engaged in fishing activities in Guinea-Bissau waters shall allow and facilitate boarding and the discharge of their duties by any Guinea-Bissau official responsible for the inspection and control of fishing activities.
CONTROL PROCEDURES. 4.1. Skippers of Community fishing vessels engaged in fishing activities in Madagascar’s waters shall allow and facilitate boarding and the discharge of their duties by any Malagasy official responsible for the inspection and control of fish- ing activities.
CONTROL PROCEDURES. 2.1. The Mozambican authorities may allow an agent on board to inspect fishing activities.
CONTROL PROCEDURES. Progress review meetings and performance reports will be specified in each Delivery Order.
CONTROL PROCEDURES. 4.1. Skippers of Community fishing vessels engaged in fishing activities in São Xxxxxx xxxxxx shall allow and facilitate boarding and the discharge of their duties by any São Toméan official responsible for the inspection and control of fishing activities.
CONTROL PROCEDURES. Masters of Community fishing vessels engaged in fishing activities in Kiribati waters shall allow and facilitate boarding and the discharge of their duties by any Kiribati official responsible for the inspection and control of fishing activities. — These officials shall not remain on board for longer than is necessary for the discharge of their duties. — Once the inspection has been completed, a certificate shall be issued to the master of the vessel.
CONTROL PROCEDURES. 4.1. Masters of Community fishing vessels engaged in fishing activities in the Solomon Islands fishing zone shall allow and facilitate boarding and the discharge of their duties by any Solomon Islands official responsible for the inspection and control of fishing activities.
