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
REGULATORY ADMINISTRATION SERVICES. BNYM shall provide the following regulatory administration services: • Assistance and maintenance of a regulatory calendar for each Fund listing various SEC filing and Board approval deadlines; • Assistance with the assembly and distribution of board materials (electronically or in hard copy) for four regular meetings, five committee meetings and one special meeting of the Board during any twelve month period, including the drafting of agendas and resolutions for such meetings of the Board (with final item selection being made by Fund counsel and/or a Fund officer); • Attend quarterly and special Board meetings and provide draft minutes thereof; • Prepare and coordinate the filing of annual post-effective amendments to a Fund’s Registration Statement (not including the initial Registration Statement or the addition of one or more classes of shares or series); • Provide requested Fund documents in the possession of BNYM in connection with an SEC request list related to an SEC examination of a Fund; • Administratively assist in completing fidelity bond and D&O/E&O insurance applications and coordinate the filing of the fidelity bond with the SEC; • Coordinate the EDGARIZATION and filing of a Fund’s Schedule TO with the SEC; • Assistance with the preparation of notices of one annual and one special meeting of shareholders per calendar year and proxy materials relating to such meeting and coordinate the EDGARIZATION and filing of such proxy materials with the SEC; • Provide such other regulatory administration services on such terms and conditions as the parties may hereto may agree in writing. • eBoard Book**: • Permit persons or entities entering a valid password to have electronic access, via an Internet-based secure website, to current quarterly board meeting materials and such other board meeting materials as may be agreed between BNYM and a Fund.
REGULATORY ADMINISTRATION SERVICES. (a) If Schedule I contains a requirement for BNY Mellon to provide the Trust with compliance support services and/or Regulatory Administration services, such services shall be provided pursuant to the terms of this Section 8 (such services, collectively hereinafter referred to as the “Regulatory Support Services”).
REGULATORY ADMINISTRATION SERVICES. ● Assistance and maintenance of a regulatory calendar for the Fund listing various SEC filing and Board approval deadlines; ● Assistance with the assembly and distribution of board materials for quarterly meetings of the Board, including the drafting of notices, agendas, and resolutions for such quarterly meetings of the Board; ● Attend quarterly (in person or by phone) Board meetings (and make presentations, as requested and as appropriate), and draft minutes thereof; ● Prepare and coordinate the filing of annual post-effective amendments to the Fund’s Registration Statement (not including the initial Registration Statement or the addition of one or more classes of shares or series) ● Provide requested Fund documents in the possession of BNYM in connection with an SEC request list related to an SEC examination of the Fund; ● Administratively assist in completing fidelity bond and D&O/E&O insurance applications and coordinate the filing of the fidelity bond with the SEC; ● Assistance with the preparation of notices of annual or special meetings of shareholders and proxy materials relating to such meetings; ● Maintain the Fund’s files; ● Provide periodic updates on recent regulatory events; and ● Assist in amending Schedule TO for quarterly tender offers.
REGULATORY ADMINISTRATION SERVICES. 1. Provide administrative services for quarterly Board meetings by (A) coordinating Board book production, preparation, and distribution, (B) subject to review and approval by the Client and its counsel, preparing Board agendas, resolutions, and minutes, (C) preparing the relevant sections of the Board materials required to be prepared by Service Provider, (D) assisting to gather and coordinate special materials related to annual contract renewals of Client-related plans, policies and procedures for and as directed by the Board or Client counsel, (E) attending Board meetings and recording the minutes, and (F) performing such other Board meeting functions as shall be agreed by the parties in writing.
REGULATORY ADMINISTRATION SERVICES. Provide financial officers for purposes of Sarbanes-Oxley review and certification of regulatory filings and compliance with disclosure controls and procedures; • Provide individuals to serve as ministerial officers of Trust, as requested; SEI – 266168 THIS DOCUMENT CONSTITUTES CONFIDENTIAL INFORMATION OF SEI GLOBAL SERVICES, INC. • Coordinate with Trust’s counsel on filing of Trust’s registration statements and proxy statements, and coordinate printing and delivery of Trust’s prospectuses and proxy statements; • Coordinate Trust’s board of trustees’ schedule, agenda and production of all board of trustees meeting materials and resolutions (including quarterly, telephonic and special meetings), and attend in-person regular board of trustees meetings,; • Provide consultation to Trust on regulatory matters relating to the operation of Trust as requested and coordinate with Trust’s legal counsel regarding such matters; • Assist legal counsel to Trust in the development of policies and procedures relating to the operation of Trust; • Act as liaison to legal counsel to Trust and, where applicable, to legal counsel to Trust’s independent trustees; • Coordinate with Trust counsel in the preparation, review and execution of contracts between Trust and third parties, such as Trust’s investment adviser, transfer agent, and custodian, and record-keepers or shareholder service providers; • Assist Trust in handling and responding to routine regulatory examinations with respect to records retained or services provided by the Administrator, and coordinate with Trust’s legal counsel in responding to any non-routine regulatory matters with respect to such matters; • Coordinate as necessary the registration or qualification of Shares with appropriate state securities authorities; • Manage the preparation for and conducting of board of trustees meetings by (i) coordinating board of trustees book production and distribution process, (ii) subject to review and approval by Trust and its counsel, preparing meeting agendas, (iii) preparing the relevant sections of the board of trustees materials required to be prepared by the Administrator, (iv) assisting to gather and coordinate special materials related to annual contract renewals and approval of rule 12b-1 for and as directed by the trustees or Trust counsel, (v) attending board of trustees meetings, and (vi) performing such other board of trustees meeting functions as shall be agreed by the parties in writing (in this regard,...
REGULATORY ADMINISTRATION SERVICES. Citi shall perform for the Company the regulatory administration services described in Schedule D hereto. Citi shall also perform such special regulatory administration services for the Company and the Funds to the extent agreed upon by the parties from time to time, for which the Company will pay Citi the amounts agreed upon between them.
REGULATORY ADMINISTRATION SERVICES. (i) Coordinate with the Fund’s counsel the preparation of and coordinate the filing of: annual Post-Effective Amendments to the Fund’s Registration Statement (if needed); Form N-Q; Form N-CSR and Form N-PX (provided that the Fund’s voting records are delivered to BNYM in the format required by BNYM and BNYM is not responsible for maintaining the Fund’s voting records);