{"component": "clause", "props": {"groups": [{"snippet": "(1) The provisions of this Section 3(c) (the \u201cRed Flags Section\u201d) shall apply in the event the Fund elects to receive the \u201cRed Flags Services\u201d, which are hereby defined to mean the following services:\n(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the \u201cControls\u201d. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:", "size": 98, "samples": [{"hash": "2h2Q8RxdNGU", "uri": "/contracts/2h2Q8RxdNGU#red-flags-services", "label": "Transfer Agency and Shareholder Services Agreement (Innovation Access Fund)", "score": 37.0574951172, "published": true}, {"hash": "j7IQ0fcdITG", "uri": "/contracts/j7IQ0fcdITG#red-flags-services", "label": "Transfer Agency and Shareholder Services Agreement (Global X Venture Fund)", "score": 36.8877487183, "published": true}, {"hash": "lfaQ5CUX4uI", "uri": "/contracts/lfaQ5CUX4uI#red-flags-services", "label": "Transfer Agency Agreement (Baillie Gifford Institutional Trust)", "score": 36.7727584839, "published": true}], "snippet_links": [{"key": "provisions-of-this-section", "type": "clause", "offset": [8, 34]}, {"key": "the-fund", "type": "clause", "offset": [91, 99]}, {"key": "to-receive", "type": "definition", "offset": [107, 117]}, {"key": "in-connection-with", "type": "clause", "offset": [318, 336]}, {"key": "account-opening", "type": "clause", "offset": [341, 356]}, {"key": "account-activities", "type": "clause", "offset": [367, 385]}, {"key": "with-respect-to", "type": "clause", "offset": [435, 450]}, {"key": "direct-accounts", "type": "definition", "offset": [451, 466]}, {"key": "covered-persons", "type": "definition", "offset": [543, 558]}, {"key": "covered-accounts", "type": "definition", "offset": [581, 597]}, {"key": "from-time-to-time", "type": "clause", "offset": [656, 673]}, {"key": "for-purposes-of-the", "type": "clause", "offset": [734, 753]}, {"key": "capitalized-terms", "type": "definition", "offset": [777, 794]}], "hash": "7de645394c404db2a4e1afd1b1292edb", "id": 1}, {"snippet": "(1) DTI will provide each Fund with the \"Red Flags Services\", which is hereby defined to mean the following services:", "size": 34, "samples": [{"hash": "7KLxzB8rUPX", "uri": "/contracts/7KLxzB8rUPX#red-flags-services", "label": "Transfer Agency Agreement (Dreyfus Institutional Liquidity Funds)", "score": 28.9233398438, "published": true}, {"hash": "d6dUjLjRh8i", "uri": "/contracts/d6dUjLjRh8i#red-flags-services", "label": "Transfer Agency Agreement (BNY Mellon Absolute Insight Funds, Inc.)", "score": 26.8398361206, "published": true}, {"hash": "j71nH0wZNf2", "uri": "/contracts/j71nH0wZNf2#red-flags-services", "label": "Transfer Agency Agreement (Dreyfus BNY Mellon Funds, Inc.)", "score": 25.0574951172, "published": true}], "snippet_links": [{"key": "will-provide", "type": "clause", "offset": [8, 20]}], "hash": "ca6c6854cf1c895490ff7cdcb76c7c89", "id": 2}, {"snippet": "In the event the Fund elects to receive the Red Flags Services, the provisions of Schedule C, which is hereby incorporated by reference into this Agreement as if fully set forth herein, shall apply.", "size": 33, "samples": [{"hash": "gPtPY5z8gGn", "uri": "/contracts/gPtPY5z8gGn#red-flags-services", "label": "Transfer Agency and Shareholder Services Agreement (Touchstone Tax Free Trust)", "score": 23.8254623413, "published": true}, {"hash": "lH9pfQRjofP", "uri": "/contracts/lH9pfQRjofP#red-flags-services", "label": "Transfer Agency Services Agreement (Bennett Group Master Funds)", "score": 23.6557159424, "published": true}, {"hash": "gVcwxx6Y3GL", "uri": "/contracts/gVcwxx6Y3GL#red-flags-services", "label": "Transfer Agency and Shareholder Services Agreement (Stratton Funds, Inc.)", "score": 23.327173233, "published": true}], "snippet_links": [{"key": "the-fund", "type": "clause", "offset": [13, 21]}, {"key": "to-receive", "type": "definition", "offset": [29, 39]}, {"key": "the-provisions-of", "type": "clause", "offset": [64, 81]}, {"key": "schedule-c", "type": "definition", "offset": [82, 92]}, {"key": "incorporated-by-reference", "type": "definition", "offset": [110, 135]}, {"key": "this-agreement", "type": "clause", "offset": [141, 155]}], "hash": "3f9c800c5542f4adeefb9e80f8800286", "id": 3}, {"snippet": "(1) BNYMTI will provide each Fund with the \u201cRed Flags Services\u201d, which is hereby defined to mean the following services:\n(i) BNYMTI will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYMTI by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the \u201cControls\u201d. Solely for purposes of this Section 3(c), the capitalized terms below will have the respective meaning ascribed to each:", "size": 13, "samples": [{"hash": "8QdbY1MnjuF", "uri": "/contracts/8QdbY1MnjuF#red-flags-services", "label": "Transfer Agency Agreement (Bny Mellon Midcap Index Fund, Inc.)", "score": 37.1533203125, "published": true}, {"hash": "hGXAd6xiz9n", "uri": "/contracts/hGXAd6xiz9n#red-flags-services", "label": "Transfer Agency Agreement (Bny Mellon Opportunity Funds)", "score": 37.068447113, "published": true}, {"hash": "cnDoo5aIKwc", "uri": "/contracts/cnDoo5aIKwc#red-flags-services", "label": "Transfer Agency Agreement (Bny Mellon Funds Trust)", "score": 36.9917869568, "published": true}], "snippet_links": [{"key": "will-provide", "type": "clause", "offset": [11, 23]}, {"key": "in-connection-with", "type": "clause", "offset": [240, 258]}, {"key": "account-opening", "type": "clause", "offset": [263, 278]}, {"key": "account-activities", "type": "clause", "offset": [289, 307]}, {"key": "with-respect-to", "type": "clause", "offset": [357, 372]}, {"key": "direct-accounts", "type": "definition", "offset": [373, 388]}, {"key": "covered-persons", "type": "definition", "offset": [467, 482]}, {"key": "covered-accounts", "type": "definition", "offset": [505, 521]}, {"key": "from-time-to-time", "type": "clause", "offset": [580, 597]}, {"key": "for-purposes-of-this-section", "type": "clause", "offset": [658, 686]}, {"key": "capitalized-terms", "type": "definition", "offset": [697, 714]}], "hash": "4b123d1342c6d2b66d1d60923fbe347a", "id": 4}, {"snippet": "In the event the Fund elects to receive the Red Flags Services, the provisions of Appendix B, which is hereby incorporated by reference into this Agreement as if fully set forth herein, shall apply.", "size": 5, "samples": [{"hash": "6qeQUxAToyR", "uri": "/contracts/6qeQUxAToyR#red-flags-services", "label": "Transfer Agency Services Agreement (Destra Investment Trust)", "score": 21.9691982269, "published": true}, {"hash": "8CcMb86ZphJ", "uri": "/contracts/8CcMb86ZphJ#red-flags-services", "label": "Transfer Agency Services Agreement (PNC Funds)", "score": 21.5749492645, "published": true}, {"hash": "65oo2nccy7W", "uri": "/contracts/65oo2nccy7W#red-flags-services", "label": "Transfer Agency Services Agreement (PNC Advantage Funds)", "score": 21.5749492645, "published": true}], "snippet_links": [{"key": "the-fund", "type": "clause", "offset": [13, 21]}, {"key": "to-receive", "type": "definition", "offset": [29, 39]}, {"key": "the-provisions-of", "type": "clause", "offset": [64, 81]}, {"key": "appendix-b", "type": "definition", "offset": [82, 92]}, {"key": "incorporated-by-reference", "type": "definition", "offset": [110, 135]}, {"key": "this-agreement", "type": "clause", "offset": [141, 155]}], "hash": "8ee9fa32a9f83faa1231fc4cbb0a3bce", "id": 5}, {"snippet": "The provisions of this Section 4.6 (the \u201cRed Flags Section\u201d) shall apply in connection with the provision of Ultimus\u2019s \u201cRed Flags Services\u201d, which are hereby defined to mean the following services:\n4.6.1. Ultimus will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through Ultimus with respect to Direct Accounts, and (ii) transactions effected directly through Ultimus by Covered Persons in Covered Accounts. Such controls, as they may be revised from time to time hereunder, are referred to herein as the \u201cControls\u201d. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:", "size": 2, "samples": [{"hash": "5l9dnsyezUg", "uri": "/contracts/5l9dnsyezUg#red-flags-services", "label": "Master Services Agreement (Domini Investment Trust)", "score": 31.1574268341, "published": true}], "snippet_links": [{"key": "section-46", "type": "clause", "offset": [23, 34]}, {"key": "in-connection-with", "type": "clause", "offset": [73, 91]}, {"key": "provision-of", "type": "clause", "offset": [96, 108]}, {"key": "account-opening", "type": "clause", "offset": [344, 359]}, {"key": "account-activities", "type": "clause", "offset": [370, 388]}, {"key": "with-respect-to", "type": "clause", "offset": [441, 456]}, {"key": "direct-accounts", "type": "definition", "offset": [457, 472]}, {"key": "covered-persons", "type": "definition", "offset": [533, 548]}, {"key": "covered-accounts", "type": "definition", "offset": [552, 568]}, {"key": "from-time-to-time", "type": "clause", "offset": [608, 625]}, {"key": "for-purposes-of-the", "type": "clause", "offset": [686, 705]}, {"key": "capitalized-terms", "type": "definition", "offset": [729, 746]}], "hash": "8b7e5fbae3e06f6488f4efa5a82a79e5", "id": 6}, {"snippet": "(1) The provisions of this Section 3(c) (the \u201cRed Flags Section\u201d) shall apply in the event the Fund elects to receive the \u201cRed Flags Services\u201d, which are hereby defined to mean the following services:\n(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Notwithstanding the foregoing, the Fund acknowledges: (i) that as described in Section 1, no account owner of a Direct Account will directly conduct account openings or other account activities or transactions with BNYM and no Covered Person will directly effect transactions through BNYM, (ii) that solely the Fund or its agents will conduct such activities with shareholders and prospective shareholders, (iii) that, as a consequence, BNYM will not have the direct contact contemplated by the first sentence of this Section 3(c)(1)(i), and (iv) that BNYM will use the controls described in the first sentence of this Section 3(c)(1)(i) to attempt to reasonably detect the occurrence of Red Flags solely from the data and information inputted into the BNYM System by the Fund with respect to the account openings and other account activities and transactions conducted by owners of Direct Accounts and by Covered Persons. The Fund shall have sole and exclusive responsibility for detecting the occurrence of Red Flags in connection with (i) account opening and other account activities and transactions conducted directly through the Fund or its agents (other than BNYM) with respect to Direct Accounts, and (ii) transactions effected directly through the Fund or its agents (other than BNYM) by Covered Persons in Covered Accounts. The controls of BNYM, as they may be revised from time to time hereunder, are referred to herein as the \u201cControls\u201d. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:", "size": 1, "samples": [{"hash": "chfFrcIbgDt", "uri": "/contracts/chfFrcIbgDt#red-flags-services", "label": "Transfer Agency Agreement (Plan Investment Fund Inc)", "score": 28.1622180939, "published": true}], "snippet_links": [{"key": "provisions-of-this-section", "type": "clause", "offset": [8, 34]}, {"key": "in-the-event-the", "type": "clause", "offset": [78, 94]}, {"key": "to-receive", "type": "definition", "offset": [107, 117]}, {"key": "in-connection-with", "type": "clause", "offset": [318, 336]}, {"key": "account-opening", "type": "clause", "offset": [341, 356]}, {"key": "account-activities", "type": "clause", "offset": [367, 385]}, {"key": "with-respect-to", "type": "clause", "offset": [435, 450]}, {"key": "direct-accounts", "type": "definition", "offset": [451, 466]}, {"key": "covered-persons", "type": "definition", "offset": [543, 558]}, {"key": "covered-accounts", "type": "definition", "offset": [581, 597]}, {"key": "notwithstanding-the-foregoing", "type": "clause", "offset": [618, 647]}, {"key": "section-1", "type": "definition", "offset": [697, 706]}, {"key": "account-owner", "type": "definition", "offset": [711, 724]}, {"key": "transactions-with", "type": "clause", "offset": [815, 832]}, {"key": "direct-contact", "type": "clause", "offset": [1078, 1092]}, {"key": "to-attempt-to", "type": "clause", "offset": [1256, 1269]}, {"key": "data-and-information", "type": "definition", "offset": [1332, 1352]}, {"key": "bnym-system", "type": "definition", "offset": [1371, 1382]}, {"key": "by-the-fund", "type": "clause", "offset": [1383, 1394]}, {"key": "the-account", "type": "clause", "offset": [1411, 1422]}, {"key": "by-owners", "type": "clause", "offset": [1488, 1497]}, {"key": "responsibility-for", "type": "clause", "offset": [1580, 1598]}, {"key": "from-time-to-time", "type": "clause", "offset": [1997, 2014]}, {"key": "for-purposes-of-the", "type": "clause", "offset": [2075, 2094]}, {"key": "capitalized-terms", "type": "definition", "offset": [2118, 2135]}], "hash": "50eeaacb24158a50960c1d9e5d8799b0", "id": 7}, {"snippet": "(1) The provisions of this Section 3(c) (the \u201dRed Flags Section\u201d) shall apply in the event the Fund elects to receive the \u201dRed Flags Services\u201d, which are hereby defined to mean the following services:\n(i) BNYM will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNYM with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNYM by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the \u201dControls\u201d. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:\n(A) Red Flag\u201d means a pattern, practice, or specific activity or a combination of patterns, practices or specific activities which may indicate the possible existence of Identity Theft (as defined below) affecting a Registered Owner (as defined below) or a Covered Person.\n(B) Identity Theft\u201d means a fraud committed or attempted using the identifying information of another person without authority.", "size": 1, "samples": [{"hash": "6DX0dJwWY59", "uri": "/contracts/6DX0dJwWY59#red-flags-services", "label": "Transfer Agency and Shareholder Services Agreement (KKR US Direct Lending Fund-U)", "score": 34.7796020508, "published": true}], "snippet_links": [{"key": "provisions-of-this-section", "type": "clause", "offset": [8, 34]}, {"key": "the-fund", "type": "clause", "offset": [91, 99]}, {"key": "to-receive", "type": "definition", "offset": [107, 117]}, {"key": "in-connection-with", "type": "clause", "offset": [318, 336]}, {"key": "account-opening", "type": "clause", "offset": [341, 356]}, {"key": "account-activities", "type": "clause", "offset": [367, 385]}, {"key": "with-respect-to", "type": "clause", "offset": [435, 450]}, {"key": "direct-accounts", "type": "definition", "offset": [451, 466]}, {"key": "covered-persons", "type": "definition", "offset": [543, 558]}, {"key": "covered-accounts", "type": "definition", "offset": [581, 597]}, {"key": "from-time-to-time", "type": "clause", "offset": [656, 673]}, {"key": "for-purposes-of-the", "type": "clause", "offset": [734, 753]}, {"key": "capitalized-terms", "type": "definition", "offset": [777, 794]}, {"key": "specific-activity", "type": "definition", "offset": [896, 913]}, {"key": "specific-activities", "type": "clause", "offset": [957, 976]}, {"key": "identity-theft", "type": "definition", "offset": [1022, 1036]}, {"key": "registered-owner", "type": "definition", "offset": [1068, 1084]}, {"key": "information-of", "type": "clause", "offset": [1204, 1218]}, {"key": "another-person", "type": "definition", "offset": [1219, 1233]}], "hash": "139be1d6dc892d13c56b12fa3dd8182f", "id": 8}, {"snippet": "(1) BNYM shall perform the Red Flags Services (defined immediately below) for the Fund in accordance with this Section 27 (the \u201cRed Flags Section\u201d). \u201cRed Flags Services\u201d is hereby defined to mean the following services:", "size": 1, "samples": [{"hash": "bJF97B7qO0l", "uri": "/contracts/bJF97B7qO0l#red-flags-services", "label": "Transfer Agency Agreement (Chestnut Street Exchange Fund)", "score": 25.3203277588, "published": true}], "snippet_links": [{"key": "the-fund", "type": "clause", "offset": [78, 86]}, {"key": "in-accordance-with", "type": "definition", "offset": [87, 105]}, {"key": "section-27", "type": "clause", "offset": [111, 121]}], "hash": "5cb33b8c4f4a85198c12ac516c3d4c0f", "id": 9}, {"snippet": "(1) The provisions of this Section 4(c) (the \u201cRed Flags Section\u201d) shall apply in the event the Fund elects to receive the \u201cRed Flags Services\u201d, which are hereby defined to mean the following services:\n(i) BNY Mellon will maintain written controls reasonably designed to detect the occurrence of Red Flags (as defined below) in connection with (i) account opening and other account activities and transactions conducted directly through BNY Mellon with respect to Direct Accounts (as defined below), and (ii) transactions effected directly through BNY Mellon by Covered Persons (as defined below) in Covered Accounts (as defined below). Such controls, as they may be revised from time to time hereunder, are referred to herein as the \u201cControls\u201d. Solely for purposes of the Red Flags Section, the capitalized terms below will have the respective meaning ascribed to each:", "size": 1, "samples": [{"hash": "5G3Z4vZl0dP", "uri": "/contracts/5G3Z4vZl0dP#red-flags-services", "label": "Administrative Services Agreement (Ironwood Multi-Strategy Fund LLC)", "score": 28.5236148834, "published": true}], "snippet_links": [{"key": "provisions-of-this-section", "type": "clause", "offset": [8, 34]}, {"key": "the-fund", "type": "clause", "offset": [91, 99]}, {"key": "to-receive", "type": "definition", "offset": [107, 117]}, {"key": "bny-mellon", "type": "definition", "offset": [205, 215]}, {"key": "in-connection-with", "type": "clause", "offset": [324, 342]}, {"key": "account-opening", "type": "clause", "offset": [347, 362]}, {"key": "account-activities", "type": "clause", "offset": [373, 391]}, {"key": "with-respect-to", "type": "clause", "offset": [447, 462]}, {"key": "direct-accounts", "type": "definition", "offset": [463, 478]}, {"key": "covered-persons", "type": "definition", "offset": [561, 576]}, {"key": "covered-accounts", "type": "definition", "offset": [599, 615]}, {"key": "from-time-to-time", "type": "clause", "offset": [674, 691]}, {"key": "for-purposes-of-the", "type": "clause", "offset": [752, 771]}, {"key": "capitalized-terms", "type": "definition", "offset": [795, 812]}], "hash": "6dad0209e5086d451e0a0503400163fe", "id": 10}], "next_curs": "ClsSVWoVc35sYXdpbnNpZGVyY29udHJhY3RzcjcLEhZDbGF1c2VTbmlwcGV0R3JvdXBfdjU2IhtyZWQtZmxhZ3Mtc2VydmljZXMjMDAwMDAwMGEMogECZW4YACAA", "clause": {"parents": [["services", "Services"], ["miscellaneous", "Miscellaneous"], ["changes", "Changes"], ["entire-agreement", "Entire Agreement"], ["liability", "LIABILITY"]], "title": "Red Flags Services", "children": [["", ""], ["governance-meetings", "GOVERNANCE MEETINGS"], ["facilitated-contact", "Facilitated Contact"], ["general-matters", "General Matters"], ["general-terms-and-conditions", "General Terms and Conditions"]], "size": 184, "id": "red-flags-services", "related": [["saas-services", "SaaS Services", "SaaS Services"], ["hospice-services", "Hospice Services", "Hospice Services"], ["verizon-oss-services", "Verizon OSS Services", "Verizon OSS Services"], ["surgery-services", "Surgery Services", "Surgery Services"], ["dialysis-services", "Dialysis Services", "Dialysis Services"]], "related_snippets": [], "updated": "2026-04-30T06:05:53+00:00"}, "json": true, "cursor": ""}}