Dealer Services Clause Samples
The Dealer Services clause defines the range of services that a dealer is obligated to provide under an agreement. Typically, this includes activities such as sales support, product distribution, after-sales service, and customer assistance related to the products or services covered by the contract. By clearly outlining these responsibilities, the clause ensures both parties understand the dealer's role and helps prevent disputes over service expectations or performance.
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.
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 D▇▇▇▇▇▇ before making them live. · Process maintenances, transfers or stripping of BINS. · Monitor and adjust account and order number inventory levels. · Handle ...
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.
Dealer Services. 1. Prepare and mail confirmation statements to dealers daily.
2. Prepare and mail copies of statements to dealers, with the same frequency as periodic statements to investors.
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
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.
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;