REGULATORY ADMINISTRATION SERVICES Sample Clauses

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
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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 § 38a-1 Compliance Support Services: 173 · Provide compliance policies and procedures related to services provided by BNY Mellon and, if mutually agreed, certain of the BNY Mellon Affiliates; summary procedures thereof; and periodic certification letters. · Such Compliance Support Services are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of a Fund or any other person, and such services are subject to review and approval by the applicable Fund and by the Fund’s legal counsel. · Provide access to Fund records so as to permit the Fund or TRP to test the performance of BNY Mellon in providing the services under this Agreement. · Such Compliance Support Services performed by BNY Mellon under this Agreement shall be at the request and direction of the Fund and/or its chief compliance officer (the “Fund’s CCO”), as applicable. BNY Mellon disclaims liability to the Fund, and the Fund is solely responsible, for the selection, qualifications and performance of the Fund’s CCO and the adequacy and effectiveness of the Fund’s compliance program.
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. 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. BNY Mellon shall provide the following regulatory administration services with respect to each Trust: ▪ Maintain a regulatory calendar with respect to the Trust listing various SEC filing and Board approval deadlines; ▪ Assemble and distribute board materials for quarterly meetings of the Board, including the drafting of agendas and resolutions for such quarterly meetings of the Board (with final selection of agenda items made by Trust counsel); ▪ Attend (in-person or telephonically) quarterly Board meetings (and other off-cycle meetings, not to exceed three (3) Board meetings per quarter) and draft minutes thereof with a goal (but not obligation) of distributing draft minutes to the Administrator within thirty-five (35) days following a Board meeting; ▪ Attend (in-person or telephonically) Pricing Committee meetings and draft minutes thereof; ▪ Prepare and coordinate the filing of (1) annual post-effective amendments to the Trust’s registration statement (not including the initial registration statement or related to the addition of one or more classes of shares or series or the combining of multiple prospectuses into one prospectus or the splitting of one prospectus into multiple prospectuses) (including a secondary review of the iXBRL tagging, after completion of the tagging by the Workiva team (or a successor provider to that team) and review by the Administrator, and prior to the applicable filing), (2) annual summary prospectus filings and (3) prospectus and Statement of Additional Information supplement filings as directed by Trust counsel; ▪ Prepare and coordinate annual and quarterly trustee questionnaires; ▪ Provide reasonable assistance to the Administrator and Trust counsel with respect to written consents for the Trust; ▪ Prepare and coordinate the filings of Form N-CSR; ▪ Prepare and coordinate the Trust’s Fidelity Bond filings with the SEC; ▪ Prepare and coordinate the filing of Form N-PX (with the Trust supplying the voting records in the format required by BNY Mellon); ▪ Assist the Trust in the handling of SEC examinations by providing requested documents in the possession of BNY Mellon that are on the SEC examination request list; and ▪ Assist with and/or coordinate such other filings, notices and regulatory matters on such terms and conditions as BNY Mellon and the Administrator may mutually agree upon in writing from time to time. ▪ eBoard Book Services [*Vendor Eligible Service] • Permit persons or entities entering a valid password to...
REGULATORY ADMINISTRATION SERVICES. BNY Mellon shall provide the following regulatory administration services for each Fund: · Prepare and coordinate the filing of annual post-effective amendments to a fund’s registration statement including a summary prospectus(es) (not including the initial registration statement or related to the addition of one or more classes of shares or series); · Prepare and coordinate the filing of Forms N-CSR, N-Q, and N-PX, as applicable (with a fund supplying the voting records in the format required by BNYM)1; · Prepare and coordinate the filing of the fidelity bond for a fund in accordance with the requirements of Rule 17g-1 under the 1940 Act; · Draft agendas (with the final selection of items to be made by a fund’s counsel), resolutions and materials for quarterly board meetings. For special board meetings1 as may be requested by a fund and agreed to by BNYM; · Coordinate the preparation, assembly and mailing of quarterly board meeting materials. Materials for special board meetings1 as may be requested by a fund and agreed to by BNYM; · Attend (in person or telephonic) quarterly board meetings and draft minutes thereof. Attend and prepare the same for such special board meetings1 as may be requested by a fund and agreed to by BNYM; · Maintain a compliance calendar that identifies the required SEC filing and board approval deadlines; · Maintain copies of a Fund’s agreements and governing documents; · Assist a fund in the handling of SEC examinations by providing requested documents in the possession of BNYM that are on the SEC examination request list; · Provide such other regulatory and administrative services as the parties may agree from time to time in writing; · Provide Regulatory Administration Newsletter on relevant regulatory and industry developments;
REGULATORY ADMINISTRATION SERVICES. Citi will provide the following regulatory administration services to the Client:
REGULATORY ADMINISTRATION SERVICES. (i) Assemble and distribute Board materials for meetings of the Board, including the drafting of agendas and resolutions for such meetings of the Board.
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. 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 for quarterly meetings of the Board, including the drafting of agendas and resolutions for such quarterly meetings of the Board; • Attend quarterly Board meetings and 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; and • Assistance with the preparation of notices of annual or special meetings of shareholders and proxy materials relating to such meetings • 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.