Dealer Services Sample Clauses

Dealer Services. With respect to shareholder services, the Company hereby appoints Dealer to render shareholder services to each of the Funds. Shareholder services may include, but are not limited to, answering routine client inquiries regarding the Funds; providing information to shareholders on their investments in the Funds; providing personnel and communication equipment used in connection therewith; and providing such other services as the Company may reasonably request.
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Dealer Services. With respect to shareholder services, the Company hereby appoints Dealer to render shareholder services to each of the 12b-1 Funds (as defined below). Shareholder services may include, but are not limited to, answering routine client inquiries regarding the 12b-1 Funds; providing information to shareholders on their investments in the 12b-1 Funds; providing personnel and communication equipment used in connection therewith; and providing such other services as the Company may reasonably request.
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Dealer Services. Generate data files for production of daily dealer advices for dealer-coded accounts in accordance with the dealer branch or group mail. · Provide flexibility in flagging the number of copies and frequency of statements for dealer-coded accounts in accordance with the dealer branch or group mail. · Generate data files for daily and monthly reporting on selected institutional firms. · Provide dealer access to shareholder information and the security by dealer. · Provide differentiated levels of access by dealer/institution for inquiry and transaction processing. · Provide system and operational support for manual and rush wire requests from Dreyfus and for manually settled dealer transmissions. · Provide NSCC support, as follows: · Call out to Dealers for all Fundserv and nightly cycle Rejects. · Accept and handle inbound calls from dealers. · Estimate all rejects. · Estimate Firm Exits-No Purchases or No redemptions-before settlement with Letter of Indemnity. · Enter estimates received from dealers. · Run daily delinquent trade open order reports and resolve. · Process Fundserv rejects manually or thru the DST NSCC Desktop. · Inform Dreyfus of Large Trades if notified via phone by a dealer. · Will handle all Fund Exception Processing (i.e., funds closed to new investors or closed to all purchases except wrap accounts etc.). · Process trades that pend due to Certificate Shares. · Process Global Rejects. · Process Cancel Rebills, as of Trades or Current Day manual Trades with Letter of Indemnity. · Settle Paid & Waiting Trades for Fundserv orders placed on networked and non-networked accounts. · Process Position File set up Requests and Refresher File Updates. · Process Ad Hoc Position file requests from dealers. · Coordinate Mass Broker to Broker conversions. · Coordinate of account transfers or maintenances for Mass Broker to Broker conversions. · Process rejected dividend reports and fix accounts that are causing rejected dividend files. · Process Registration Error Report by maintaining accounts. RPMS report #R02362. · Monitors networked Accounts without BIN report (RPMS1774) by making call out to dealers and maintain accounts. · Process rejected dividend sweeps and auto-exchange will also fix accounts · Monitor ACAT rejects. · Set dealers up to Test thru Commission/Serv and obtain signoff from Dxxxxxx before making them live. · Process maintenances, transfers or stripping of BINS. · Monitor and adjust account and order number inventory levels. · Handle ...
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Dealer Services. 1. Prepare and mail confirmation statements to dealers daily.
Sample 1
Dealer Services. Dealer shall provide shareholder, administration and recordkeeping services to the Customers with respect to their investments in the Funds. Such services shall include the maintenance of record of purchases, sales, exchanges and transfers of Shares of the Funds by the Customers. Dealer also shall provide the Customers with account statements documenting such transactions in compliance with applicable legal requirements. Dealer also shall be responsible for complying with all applicable federal, state and local tax reporting requirements regarding the Customers' transactions in Shares. In addition, Dealer shall: (i) aggregate and process instructions from the Customers regarding transactions in Shares; (ii) respond to inquiries about the Funds from the Customers; (iii) process dividend payments on behalf of the Customers that have invested in one of more of the Funds; (iv) provide subaccounting services to plans regarding shares beneficially held by participants of such plans; (v) forward shareholder communications, such as proxies, shareholder reports, dividend and tax contract revised 07- notices, and updated Prospectuses, to the Customers that invested in one or more of the Funds, to the extent required by applicable law; and (vi) provide such other information and services as the Funds and/or Distributor may reasonably request, to the extent that Dealer is permitted by applicable law to do so. The provision of shareholder and administrative services by Dealer to the Customers shall be the responsibility of Dealer and not Distributor. Dealer shall maintain adequate accounting and reporting systems to collect and provide such information to Customers.
Sample 1
Dealer Services. The company hereby appoints the dealer to perform the following services in accordance with the terms and conditions set forth in this agreement: The dealer will consult with the officers and employees of the company concerning matters relating to the management and organization of the company, their financial policies, the terms and conditions of appointment, and generally any matter arising out of the business affairs of the company.
Sample 1
Dealer Services. Prepare and mail statements to dealers daily. Prepare and mail copies of statements to dealers, same frequency as investor statements. PERIODIC ACTIVITIES Mail transaction confirmation statements daily to investors. Mail periodic statement to investors. Compute, prepare and furnish all necessary reports to Governmental authorities: Forms 1096, 1099DIV, 1099B, 1042 and 1042S. SCHEDULE II FEE SCHEDULE - PACIFIC INNOVATIONS Funds: Money Market Fund Managed Bond Fund Capital Income Fund Mid-Cap Fund Blue Chip Fund Aggressive Growth Fund International Fund
Sample 1
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Related to Dealer Services

  • Customer Services Customer Relationship Management (CRM): All aspects of the CRM process, including planning, scheduling, and control activities involved with service delivery. The service components facilitate agencies’ requirements for managing and coordinating customer interactions across multiple communication channels and business lines. Customer Preferences: Customizing customer preferences relative to interface requirements and information delivery mechanisms (e.g., personalization, subscriptions, alerts and notifications).

  • Our Services As insurance intermediaries we generally act as the agent of our client. We are subject to the law of agency, which imposes various duties on us. However, in certain circumstances we may act for and owe duties of care to other parties, including the insurer. We will advise you when these circumstances occur, so you will be aware of any possible conflict of interest. We offer a wide range of products and services which may include: • Offering you a single or range of products from which to choose a product that suits your insurance needs; • Advising you on your insurance needs; • Arranging suitable insurance cover with insurers to meet your requirements; • Helping you with any subsequent changes to your insurance you have to make; • Providing all reasonable assistance with any claim you make. In some cases, we act for insurers under a delegated authority agreement and can enter into insurance policies, issue policy documentation and/or handle or settle claims on their behalf. Where we act on behalf of the insurer and not you, we will notify you accordingly and in relation to claims we will advise you of this fact when you notify us of a claim. Notwithstanding this, we endeavour to always act in your best interest. As intermediaries, we offer a wide range of insurance products and have access to many leading insurance companies and the Lloyd’s market. Depending on the type of cover you require and where we have provided advice based on a personal recommendation, we will offer you a policy from either: • a single insurer; • a limited range of insurers; or • a fair analysis that is representative of the insurance market. We will advise you separately as to which of these apply before we arrange your policy and where we have not undertaken a fair analysis of the market, we will provide you with a list of insurers considered. Jensten Retail Consumer Client TOBA Version 1.0 Nov 2021 Policies taken out, amended, or renewed through our online service will be on a non-advised basis. This means sufficient information will be provided for you to make an informed decision about any product purchased online and you should therefore ensure that any policy provides the cover you require and is suitable for your needs. For Motor Vehicle insurance we require customers to pay an additional charge for our claims service – Coversure Claimsline (details are provided in a separate document). This is a “one-stop” service that enables us to assist you with any claim you may incur. The cost of the Coversure Claimsline services will be included in the price quoted to you for the Motor Vehicle insurance and shown separately in your documentation. By purchasing motor insurance from us, you authorise Coversure and its agents to take all necessary actions to handle your claim including dealing with your insurers, third parties and their insurers and other service suppliers on your behalf. For all other policies, including optional additional products and premium finance (if relevant), before the insurance contract is concluded and after we have assessed your demands & needs, we will provide you with advice and make a personal recommendation. This will include sufficient information to enable you to make an informed decision about the policy that we have recommended, together with a quotation which will itemise any fees that are payable in addition to the premium. This documentation will also include a statement of your demands and needs. You should read this carefully as it will explain reasons for making the recommendation we have made.

  • Provider Services The Contractor’s system shall collect, process, and maintain current and historical data on program providers. This information shall be accessible to all parts of the MCMIS for editing and reporting.

  • Special Services Should the Trust have occasion to request the Adviser to perform services not herein contemplated or to request the Adviser to arrange for the services of others, the Adviser will act for the Trust on behalf of the Fund upon request to the best of its ability, with compensation for the Adviser's services to be agreed upon with respect to each such occasion as it arises.

  • Hospice Services Services are available for a Member whose Attending Physician has determined the Member's illness will result in a remaining life span of six months or less.

  • Custodial Services The charges and expenses of the custodian appointed by the Trust for custodial services;

  • REGULATORY ADMINISTRATION SERVICES BNY Mellon shall provide the following regulatory administration services for each Fund and Series:  Assist the Fund in responding to SEC examination requests by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list and by making employees responsible for providing services available to regulatory authorities having jurisdiction over the performance of such services as may be required or reasonably requested by such regulatory authorities;  Assist with and/or coordinate such other filings, notices and regulatory matters and other due diligence requests or requests for proposal on such terms and conditions as BNY Mellon and the applicable Fund on behalf of itself and its Series may mutually agree upon in writing from time to time; and

  • Administration Services When a medical prescription drug is administered by infusion, the administration of the prescription drug may be covered separately from the prescription drug. See Infusion Therapy - Administration Services in the Summary of Medical Benefits for benefit limits and the amount you pay. Prescription drugs that are self-administered are not covered as a medical benefit but may be covered as a pharmacy benefit. Please see Pharmacy Prescription Drugs and Diabetic Equipment or Supplies – Pharmacy Benefits section above for additional information. Site of Care Program For some medical prescription drugs, after the first administration, coverage may be limited to certain locations (for example, a designated outpatient or ambulatory service facility, physician’s office, or your home), provided the location is appropriate based on your medical status. For a list of medical prescription drugs that are subject to this Site of Care Program, visit our website. Preauthorization may be required to determine medical necessity as well as appropriate site of care. If we deny your request for preauthorization, or you disagree with our determination for the appropriate site of care, you can submit a medical appeal. See Appeals in Section 5 for information on how to file a medical appeal.

  • EFT SERVICES If approved, you may conduct any one (1) or more of the EFT services offered by the Credit Union.

  • Voice Services In lieu of any other rates and discounts, Customer will pay fixed per-minute rates ranging from $0.000 to $0.000 for the following Voice Services: Domestic Voice Service: Domestic Outbound Voice Service, including Calling Card and Domestic Inbound Voice Service based on origination and termination type. Data Services: Access:

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